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https://openalex.org/W2152143769
https://pp.bme.hu/ar/article/download/27/27
English
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The orthogonal grid as the planned urban fabric
Periodica polytechnica. Architecture
2,007
cc-by
5,067
Received 2007-03-18 Received 2007-03-18 The classical town-history traditionally analyses the typical elements of the different eras. But in reality the town is a never ended artefact. It always changes – apart from the lethal catastrophes – it supersedes architectural eras, its future is ines- timable. The analysis of the interaction of the eras, the changes of the town are left to other disciplines (history, sociology), al- though the pattern of the layout of the town – the ground system, the streets, the squares and the changes in the borders – preserve the changes of times more than anything else. Keywords orthogonal urban grid · supergrid · additive/structural laying or transformation · open/closed grid · homogenous/complex sys- tems · superordinate/coordinate/subordinate relationship · jux- taposition/intersection Abstract Its background is the article The orthogonal urban grid as an urban attribute [1] which reviews the historical and geographi- cal appearance of this most frequently used urban pattern. This essay wants to organise and define the main structural char- acteristics of the orthogonal grids, paying special attention to those, which can be used in the description of the changes of the urban fabrics. Finally it analyses briefly the orthogonal patterns of a town – Turin – laid on various eras by various reasons. The appearance of the orthogonal grid – was it to be on a geo- graphical, a settlement or a building scale – is generally the sign of planning, it is the most widespread designing method used for territorial structuring. The orthogonal grid becomes significant in urban architecture because, as an urban attribute, it appears in the whole verticum of urban cultural history, irrespective of time, place or culture. Acknowledgement The orthogonal structure is not merely a form, it is a method of establishing an urban system. Because of its simplicity and great flexibility, from the extensive home construction up to in- dividual parcelling out, it is the far most frequently used struc- ture in settling the exceedingly increasing urban territories of the 20th century. This overwhelming quantity of constructions is the reason the grid and its research, the analysis of its nature, deficiencies and values cannot be avoided. This work has been carried out within the framework of the Copernicus Program, ERBIC15 BECEP project CT980508. The grid is the place of our life. Its changes are provoked by life and the usage. Because of this, the examination of the already working grids’ usage and changes can show its weak- nesses and it can give planning directions to the application of this highly used, ordinary and simple planning element. This document tries to find the answer to in which situations and how do we use the orthogonal grid and how does it distort during the usage. What causes these changes and does the origi- nal character remain the same – to put it in other words, how do the grids survive the changes and the incoming new elements? Mariann Fonyódi Ŕ periodica polytechnica Architecture 39/1 (2008) 19–25 doi: 10.3311/pp.ar.2008-1.03 web: http://www.pp.bme.hu/ar c⃝Periodica Polytechnica 2008 Mariann Fonyódi RESEARCH ARTICLE Geographical scale The geographical scale: when the grid also structures the space outside the aggregation, creating a structured view. If the survey, the ownership and the agricultural cultivation of the ground and/or the routes between the ground works in a rectan- gular grid and it gives a pattern to the space. For example, the North-American Jefferson [2] grid or the Roman’s structure of the centuries.[3] A bit different but it showed in Teotihuacan’s orientation as well, which overlapped the urban border.[4] Aggregational scale Aggregational scale The aggregational scale: the grid can define the settlement fabric whole or partial structure, but it can appear in urban public space organisation as well: • It is the organisational guideline for the whole settlement: the town is divided into streets and blocks with an orthogonal grid elevation. The most typical examples are the settlements founded with colonisation purposes, like the Roman castrums and the Latin-American ‘Law of Indies’. 1.3 The different ways of laying down an orthogonal grid The orthogonal grid as an aggregational fabric traditionally appears in the form of orthogonal parcel6building blocks and the roads going between them. They can come into existence in an additive or a structural way, or by transformation [5]. Additive: • It organises the architectural composition within a block or a unit. For example La Villette, Les Folies putting red houses onto the main points of the grid. Another example is the ex- citing situation of the ‘town in the town’ – Candilis, Woods: Freie Universität, Berlin. The system of the block is gived by the pre-defined size of the parcels, where the parcels are traditionally created by the braking offthe double parcel lines into sections. For example the early ancient Roman colony towns, but it was frequently used in the planted towns of the Middle Ages as well. There are lots of examples since this is the easiest way to plant a town. • It is the organiser of public places, the cladding and superfi- cial designs: the main square of Lyon, where the water-jets are placed in an orthogonal grid. Religious, world conceptual, symbolic appearance Religious, world conceptual, symbolic appearance The orthogonal grid can appear on the geographical, aggrega- tional and building scale of the structuring of the space. The first category includes grids arising from the symbolically formed entity of urban ground plans (e.g.: pre-planned Indian and Chinese cities, the Roman castrums); grid structures deriv- ing from the special significance of the four cardinal points (e.g.: the Egyptian necropolis and civilian cities, the Assyrian cities); and grids to be found at orientated religious centres (e.g.: Teoti- huacan). The grid structure subordinated to central configura- tion also appears in the symbolically designed ideal city-model revived in the Renaissance. Modernisation This is the most frequently used method for expanding al- ready existing cities; it has appeared as a primary urban structure (e.g.: Barcelona, the Northern American cities) and a filling-out unit (e.g.: Budapest, compressing the city-body within the inter- mediate space of great urban main roads). • In cases of block-street structured quarters the orthogonal grid planning organises several blocks of towns, but it is not ap- plied to the whole town. This is most frequent in European cities: when the town is growing it is the basic organisation pattern in the areas between the main streets. Building scale The building scale: from the structural screen distribution of the plan, through the order of the elements of the building, to external patterns it can occur everywhere – however, this part is out of scope in this essay since I dedicated it to the aggregational scale and I only detail the geographical scale in an extent it is needed. Structural: the laid grid structure is ready – a supergrid – how- ever, the occupation of the area and the distribution of the land only happens later. The most obvious example is the North- American system, where the one square meter parts of the grid were re-distributed according to their own taste by the new own- ers after the national land-measuring1. Milton Keyes’ one kilo- metre grid is like this. It was only filled with function after the 1 The formal description and definition of the urban grid 1.1 The orthogonal grid on the different occurrences of space Colonisation The orthogonal grid structure is a characteristic settlement form for all types of colonisation, both in forming the urban blocks and in the division of agricultural plots. The grid struc- ture could be established in an additive way (e.g.: the Hellenic structure) or structurally (e.g.: Roman centuria, the Northern American survey system). In a later urbanisation of agricultural territories the division of cultivated plots was a point of main importance for the establishment of the plot and road structure. 1 Op.cit. Mariann Fonyódi M˝uegyetem rkp. 3., Hungary M˝uegyetem rkp. 3., Hungary e-mail: fm9@freemail.hu 2008 39 1 The orthogonal grid as the planned urban fabric 19 element into 3 major groups: 1. religious, world conceptual, symbolic appearance; 2. colonisation; 3. modernisation. 1 The formal description and definition of the urban grid 1.1 The orthogonal grid on the different occurrences of space The orthogonal grid can appear on the geographical, aggrega- tional and building scale of the structuring of the space. 1.4 The limits of the orthogonal grid Although the relation between the structure and the bound- ering of the grid was different in different historical eras and cultures, it shows certain well describable characteristics. Closed grid: the bordering of the grid was a certain shape, and usually strengthened by a wall. These towns were typically de- fined or walled-in and followed a religious or other symbolism (Chinese, Indian planted towns) or had a preventive function (Roman, Middle Ages, renaissance or baroque European)4. The prevention of the new inhabitants and the conquered land was an important function of the colonised towns in the first period of the settling down in each era and each continent. Therefore they were surrounded by walls, which were not necessarily perfect bordering contours5. The grids appearing as tools of the modernisation were often used as fragments or fillings. Because of that, one cannot call them borders in the traditional way, those were merely thematic border lines towards the neighbouring grids. According to the reasons of their planning – the expansion of urban areas – these can be classified as open grids. Open grid: The grid can be always continued according to real estate in- vestments, it has no borders. A classic example was Miletos. Al- though it had a wall system, it was surrounding the polis not the living space. Another typical example is the North-American colonist town. The conditions are easily measurable even today, because they were easy to enlarge, owing to their openness. Transformation: Transformation: the changing of the previous agricultural parcel system during urbanisation. This is quite frequent if the town grows on agricul- tural parcels. For example in the case of the streets and blocks of Erzsébetváros, [3] but it is also true for the major part of Bu- dapest as well. The inside of the blocks is divided by the old lines of the parcel system. Their size is variable; their direction usually differs from the street coordinates. 2 The approach of the orthogonal grid to whole settle- ment and to the neighbouring territories’ fabric If we examine the relationship of the grid and the surrounding fabrics and the whole settlement, we can trace the role of the grid, the circumstances of its laying and the changes afterwards. The orthogonal grid can appear as a settlement fabric on its own or combined with other fabrics as well. According to this, grids can be: The closed, definite ended grids according to the relation be- tween the shape of the surrounding form and the inner construc- tion can be: • Regular, adequate – towns surrounded by a square-shape or wall. In these cases the blocks can join the surrounding wall without any obstacles. For example the Roman castrum, the • Clear/homogenous systems 2 In the case of Jaipur, we should call the cells of the grid sectors instead of blocks. They contain whole quarters of towns. • Combined/complex systems, where the orthogonal grid is: hierarchically in a super-ordinate relationship, non-hierarchic coordinate relationship: juxtaposition or in- tersection hierarchically in a subordinate relationship with the sur 3 The orthogonal grid only appears as a supporting grid of the planting struc- ture. It only superficies directly in other elements, such as the traffic structure planning. non-hierarchic coordinate relationship: juxtaposition or in- tersection 4 The grid was defined by a religious siting, but these were open systems, for example the Latin-American Indian cities, the before mentioned Teotihuacan, Cuzco, Ollaytantambo, Chanchan, but it was also typical to the smaller settle- ments as well. (Benevolo 1994: 126-130) (Kostof 1991: 115) (Kagan 2000) hierarchically in a subordinate relationship with the sur- rounding systems. 1.2 The reason for the application of the orthogonal grid 1.2 The reason for the application of the orthogonal grid In the history of towns, we can classify the occurrence of the orthogonal grid as an urban or geographical space-structuring Mariann Fonyódi Per. Pol. Arch. 20 Middle Age bastides, the Chinese emperor-town, Egyptian settlement of workers. investments. You can also trace this system in the Oriental coun- tries as well: the 10th century emperor town of China, and the ancient Indian towns, such as Jaipur2. • Regular, inadequate – towns bordered by another regular, symmetric form (circle, polygon), but not an orthogonal one. The ending of the blocks or streets is not simple. Remaining spaces or irregular blocks fill out the variety of forms. For example the renaissance and baroque military towns. • Regular, inadequate – towns bordered by another regular, symmetric form (circle, polygon), but not an orthogonal one. The social type housing estates form a separate, unique sub- division in the relation of the grid and the parcel system. Since the whole area was owned by the state, usually the parcels be- longing to the buildings were not distributed. This way, parcels with the size of a block – block-parcels – came to existence, but it only happened because the bordering streets were public spaces3. The ending of the blocks or streets is not simple. Remaining spaces or irregular blocks fill out the variety of forms. For example the renaissance and baroque military towns. • Irregular, inadequate – towns bordered by irregularly planned wall contour but inside witrh an orthogonal or block struc- tured. The contour girdles the blocks loosely. For example the colonised towns of the 13th-14th century, which had a big role in the settlement of Central-Europe (Silesia, Bohemia and Moravia); or the irregular polygon shaped, wall-surrounded Italian terra muratas and Latin-American colonisation towns as Lima or Santo Domingo. • Irregular, inadequate – towns bordered by irregularly planned wall contour but inside witrh an orthogonal or block struc- tured. The contour girdles the blocks loosely. For example the colonised towns of the 13th-14th century, which had a big role in the settlement of Central-Europe (Silesia, Bohemia and Moravia); or the irregular polygon shaped, wall-surrounded Italian terra muratas and Latin-American colonisation towns as Lima or Santo Domingo. The orthogonal grid as the planned urban fabric 2 In the case of Jaipur, we should call the cells of the grid sectors instead of blocks. They contain whole quarters of towns. 2.1 Clear/homogenous system 5 To make the settlement of the new land easier, they usually kept reserve lands inside the walls for the ‘late-comers’. After the consolidation of the power of the conquerors, there was no need to have walls at all (Kostof, 1991. p. 121). For example surrounded by wall, regular: Pondychéry; surrounded by wall, irregular: Lima; open: Manhattan. 5 To make the settlement of the new land easier, they usually kept reserve lands inside the walls for the ‘late-comers’. After the consolidation of the power of the conquerors, there was no need to have walls at all (Kostof, 1991. p. 121). For example surrounded by wall, regular: Pondychéry; surrounded by wall, irregular: Lima; open: Manhattan. A clear or homogenous system applies when the planning of the pattern in question only consists of orthogonal grids. It ap- pears when: • the original orthogonal grid remains untouched or • the original orthogonal grid remains untouched or 2008 39 1 2008 39 1 21 dian Jaipur11. The conscious town development of the 20th cen- tury rediscovered the super-grid as a tool. Take for example the Chandigarh12 of Le Corbusier or the British Milton Keynes. • the original orthogonal grid widens with another orthogonal grid structure, as the territorial expansion of the grid, or it is further distributed territorially into blocks. • the original orthogonal grid widens with another orthogonal grid structure, as the territorial expansion of the grid, or it is further distributed territorially into blocks. The purely clear and preserved structure is really rare. Usually it only appears in one era or in a part of the settlement. We should take into consideration that the homogeneity only ap- plies to the settlement’s fabric. It does not necessarily mean identity/homogeneity and non-hierarchic relationship in the ter- ritorial sense. The best example is the structure of the Roman castrum, which is an example of the ambiguity of expressive character6: the Roman castrum is equilibrious, centralized and directional7. The variety of the blocks of Alexandria is the reac- tion to the social and environmental differences. Combined/complex – co-ordinate relationship - juxtaposi- tion A juxtaposed, independent, non-hierarchic relationship comes into existence when a new settlement fabric is based next to an already existing one, and the relationship between them is only neighbouring, not structural. A great example is the 18th century expansion of Berlin with the Friedrichstadt district of the town. 2.1 Clear/homogenous system It is the grid-based amplification of an organic town, where the independent juxtaposed condition is increased by a different character of town structure and additionally a dividing wall as well [6]. Such a relationship can appear between or- thogonal grids too: the structure of Manhattan before the 1811 plan. 2.2 Combined/complex structure Combined or complex structures come into existence when the orthogonal grid is amplified with another structure, when an- other system is amplified with an orthogonal grid – territorial ex- pansion or the further territorial distribution of the parts/blocks – and when the structure is originally a mixed one. The ex- amination of the created hierarchical relationship can tell lots of thongs about the circumstances of the laying of the grid and about the settlement’s history as well. Combined/complex – co-ordinate relationship – Intersec- tion We call intersection the mutual and non-hierarchy relation- ship between two different types of geometries, where usually both structures change because of their interaction. This can happen for example with the adjusting of organic and irregu- lar fabric: the 1863 structuring of Lyon; 13; the ruining of the orthogonal order in the re-settling of the Roman castrums in the Middle Ages. Intersection occurs as well by the laying of two geometries projected on each other originally: grid com- bined with a different geometrical plan, such as L’Enfant’s plan of 1791 to settle Washington’s structure. Combined/complex – super-ordinate relationship In a super-ordinated relationship, the orthogonal grid usually appears as the main organising structure, when its laying hap- pens structurally, as a super-grid8. The original orthogonal grid pattern is divided by different types of structures, which do not necessarily create a new, coherent structure. The size of the grid is usually even and pre-defined because of the structural plan- ning. Because it supersedes the size of a normal, parcel struc- tured block, it needs to be distributed further9. There are ex- amples in various eras and cultures. The most important by its cultural and territorial impact is the North-American Jefferso- nian grid. It resembles the Southern European centuralisation. Its impact on the town’s spatial structure is only indirect, it usu- ally superficies in the urbanisation of the agricultural territories. The impact of the grid-based plan of the Chinese imperial towns can be seen in the grids, which organise several blocks of the Japanese Heijokio10 imperial town, founded in 710, or the In- serves as a super-grid. Its block size is variable and consists of other blocks, not necessarily with an orthogonal structure. (Kostof 1991: 140 picture) 11 It was founded by Sawai Jai Singh, emperor, astronomer (1727). The orig- inal super-grid was not totally filled out by the settlement. It had no impact on the town structure afterwards. (Moholy-Nagy 1968: 173 picture) 12 The plan of Le Corbusier Ville Radieuse (1933) projects more grids to each other. The smaller, 300m side long blocks grid organises the place of living. Only every third street runs towards the industrial/working place areas, creating a hierarchically super-ordinated super-grid, based on the traffic. He places a bigger, 1500m long diagonal grid on this complete structure, which is not in super-ordinated position, but in penetration according to its position in the town. The placing of the houses gives an orthogonal grid independent from the blocks. (Moholy-Nagy 1968: 269 picture) 13 The 1863 structuring of Lyon: the original, organic block system was divided by straight, parallel streets. The effect was a fabric, which followed the new lines in the vertical direction and the original ones in the longitudinal. (Kließ 1991: 166 picture) 12 The plan of Le Corbusier Ville Radieuse (1933) projects more grids to each other. The smaller, 300m side long blocks grid organises the place of living. Only every third street runs towards the industrial/working place areas, creating a hierarchically super-ordinated super-grid, based on the traffic. He places a bigger, 1500m long diagonal grid on this complete structure, which is not in super-ordinated position, but in penetration according to its position in the town. The placing of the houses gives an orthogonal grid independent from the blocks. (Moholy-Nagy 1968: 269 picture) 6 (Thiis-Evensen, 1999. p 54) 7 11 It was founded by Sawai Jai Singh, emperor, astronomer (1727). The orig- inal super-grid was not totally filled out by the settlement. It had no impact on the town structure afterwards. (Moholy-Nagy 1968: 173 picture) serves as a super-grid. Its block size is variable and consists of other blocks, not necessarily with an orthogonal structure. (Kostof 1991: 140 picture) 13 The 1863 structuring of Lyon: the original, organic block system was divided by straight, parallel streets. The effect was a fabric, which followed the new lines in the vertical direction and the original ones in the longitudinal. (Kließ 1991: 166 picture) 7 The blocks are almost square planned, identical blocks are in a square or almost square shaped wall contour. From the streets between emerge two main ones which are rectangular (cardo, decumanos). Their meeting point defines the place of the forum. 8 Super-grid: a lot bigger scaled than a normal sized town-block, wich or- ganisable into parcels. It organises more blocks, not necessarily orthogonal grid structured - it is superordinated hierarchically. The orthogonal grid as the planned urban fabric 14 The straight line of the streets is broken; the blocks are further distributed, at other places the streets are ‘mis-built’. 2.3 The – Turin The orthogonal grid as the planned town fabrics’ most fre- quent occurrence can hardly remain untouched after the clear conditions of the laying. It can change in its structure, its in- ternal division or during it’s expansion as well. The settlement conserves its history in its parcel and block system, the location of its buildings. It shows a town-collage image of the settlement. The investigation of the pasts planned towns or parts of towns gives the clues to this history. It compares the aims pinpointed by the foundation with the materialisation and its afterlife. Tab. 1. Tab. 1. Turin The reasons for the grid establishment The relation- ship to the contour The relationship of the new grid to the already existing structure Free spaces in the grid Roman era Religious/ colonisa- tion Closed / ade- quate clear Space in central position, central creating element The 1600s Military/ colonisation Closed / ade- quate “clear” “intersection”, coordination More spaces in non-central position: shift of centre 1620 Expansion / mod- ernisation Closed / ade- quate clear Clear-structured amplifica- tion A new larger space at the borders of two territories 1673 Expansion / mod- ernisation Closed / inad- equate clear Clear-structured amplifica- tion A new, larger space in a cen- tral position in a new location 1714 Expansion / mod- ernisation Closed / inad- equate clear Clear-structured amplifica- tion, intersection A new, larger space in cen- tral position in a new location 19th cen- tury Expansion / mod- ernisation open combined Clear-structured ampli- fication, clear structure/ super-ordinate, intersection, combined structure/sub- ordinated Accidental or definite po- sitioned by leaving out or building in spaces form is adequate, a square – it only breaks at the citadel. The walls are strengthened by new bastions. and Üll˝oi. It can be in subordinated relationship in a situation where it superficies formally but the diagonal highways are hi- erarchically above it – for example Barcelona. 4 Turin, 1673 The territory of the town is again amplified by a new orthog- onal grid in a South-eastern direction. The lines of the grid follow the castrum’s and the later amplification’s lines (clear- structured amplification). In the centre of the new fabric a consciously placed space is created. The square of the late castrum’s Eastern gate is expanded into a big, regular square. It became the fore field of the Middle Age palace. A diago- nally directed road ends here; it follows the lines of the old road. The grid remains closed, its form is inadequate and the amplification follows an irregular shape. It only conserves the contour of the castrum on two sides (the territory of the town is 160 hectare, the population is 40000 people). 1 Turin,(21) 1st century BC Regular, square-planned Roman castrum surrounded by walls, emphasised main roads (cardo/decumanos) and the fo- rum in central position. 2 Turin, 16th century The regular grid of the Roman castrums is ruined 14 by the 16th century (the intersection of the orthogonal grid by an organic pattern) but the orthogonal grid character and the block structure survive. The central positioned forum is set- tled; new, accidental spaces come into existence. The original square, wall-surrounded town is amplified with a pentagonal citadel (new element) but it does not really affect the orthog- onal grid (coordination, juxtaposition). The grid is closed, its 5 3 Turin, 1620 The territory of the town is amplified by a new orthogonal grid in the Southern direction. The lines of the grid are dis- torted from the original lines (clear-structured amplification). At the bordering of the two areas a new, bigger space is cre- ated. The grid is closed, its form is inadequate: the amplifi- cation follows an irregular form; the contour of the castrum is conserved on three sides (the territory of the town is 100 hectares, the population is 25000 people). Mariann Fonyódi Combined/complex – subordinate relationship The orthogonal grid, especially in Europe, is the most fre- quently used structure in this dimension. It is used to fill in the holes – for example spaces between highways and roads – in an already existing spatial structure by the expansion of the town’s territory. Budapest’s settlement is a great example to this rela- tionship: the territories between the old roads such as Soroksári 7 The blocks are almost square planned, identical blocks are in a square or almost square shaped wall contour. From the streets between emerge two main ones which are rectangular (cardo, decumanos). Their meeting point defines the place of the forum. 8 Super-grid: a lot bigger scaled than a normal sized town-block, wich or- ganisable into parcels. It organises more blocks, not necessarily orthogonal grid structured - it is superordinated hierarchically. 9 The size of the North-American grid was 36x1x1 miles, the centurias were 100x720x720m, the size of the Japanese jori system was 800m; the basic unit by Milton Keynes was 1km. (Kostof 1991: 133) (Meggyesi 1985: 106) 13 The 1863 structuring of Lyon: the original, organic block system was divided by straight, parallel streets. The effect was a fabric, which followed the new lines in the vertical direction and the original ones in the longitudinal. (Kließ 1991: 166 picture) 10 There is a multiple hierarchy in the case of Heijokyo (Nara). The distri- bution of the super-grid combines 4x4 units (squares). Also the basic square Mariann Fonyódi Per. Pol. Arch. 22 Map of Turin Fig. 1. Map of Turin 2008 39 1 2008 39 1 23 15 The area in question is rich in applying the traditional town planning tools. However, its analysis is out of scope in this essay. 6 Turin, 19th century 6 Turin, 19th century the territory of the town after the demolition of the walls is highly amplified by a new and regular orthogonal grid in the Southern direction (clear-structured amplification). Several blocks remain free – those create block-spaces. The sys- tem becomes open. The main roads function as super-grid (clear system, hierarchic relationship), which continues on the West side, in the part of town after the railway lines (intersec- tion). Here, the grid functions as filling in the spaces between the main roads based on the old road lines (combined struc- ture/subordination). Spaces are created in various situations in these areas: accidentally and consciously, leaving out and building blocks in as well15. The orthogonal grid as the planned urban fabric 5 Turin, 1714 The territory of the town is again amplified by a new orthogo- nal grid in a North-western direction (clear-structured ampli- fication). It partially reconstructs the area of the old castrum as well. It becomes regular again and it follows the central points of the original grid lines (intersection). In the centre of the constructed/reconstructed pattern, a consciously placed Per. Pol. Arch. Mariann Fonyódi 24 space is created. Around the citadel, a space remains free for military purposes. The grid remains closed, its form in- adequate. It follows an irregular form at the amplification again. The contours of the castrum are hardly conserved (the territory of the town is 180 hectare, the population is 60000 people). References 1 Fonyódi M, The orthogonal urban grid as an urban attribute., Építés- Építészettudomány (2005), no. 3-4. 2 Benevolo L, A város Európa történetében, Atlantisz Könyvkiadó, Budapest, 1994. 3 , Storia della città, Laterza & Figli Spa, Roma-Bari, 1978. 4 Ekler D, Madách út vagy szerves városfejl˝odés, Országépít˝o (1994), no. 2. 5 Kagan RL, Marías F, Urban images of the Hispanic world: 1493-1793, Yale University Press, New Haven, London, 2000. 6 Kließ W, Urbanismus im Industriezeitalter, Von der klassizistischen Stadt zur Garden City, Ernst & Sohn, Berlin, 1991. 7 Kostof S, The City Shaped: urban patterns and meanings through history, Little, Brown and Company, Boston, Toronto, London, 1991. 8 Meggyesi T, Településtervezés, Budapest BME Építészmérnöki kar Urban- isztika Tanszék, 2003. egyetemi jegyzet. 9 , A városépítés útjai és tévútjai, M˝uszaki Könyvkiadó, Budapest, 1985. 10 Miller ME, World of Art: The Art of Mesoamerica from Olmec to Aztec, Thames and Hudson Ltd, London, 1986. 11 Moholy-Nagy S, Matrix of Man, An illustrated History of Urban Environ- ment, Frederick AP, New York, Washington, London, 1968. 12 Thiis-Evensen T, Archetypes of Urbanism - a method for esthetic design of 12 Thiis Evensen T, Archetypes of Urbanism a method for esthetic design of cities., Scandinavian University Press/Universitetsforlaget, Oslo, 1999. cities., Scandinavian University Press/Universitetsforlaget, Oslo, 1999. 2008 39 1 25
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Exorcising the “Ghosts” from the Government Payroll in Developing Countries in the Wake of the Covid-19 Pandemic: Ghana’s Empirical Example
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Journal of Economics and Business Quarm, Richmond Sam, Sam-Quarm, Rosemond, and Sam-Quarm, Richmond. (2020), Exorcising the “Ghosts” from the Government Payroll in Developing Countries in the Wake of the Covid-19 Pandemic: Ghana’s Empirical Example. In: Journal of Economics and Business, Vol.3, No.4, 1558-1571. ISSN 2615 3726 Journal of Economics and Business Quarm, Richmond Sam, Sam-Quarm, Rosemond, and Sam-Quarm, Richmond. (2020), Exorcising the “Ghosts” from the Government Payroll in Developing Countries in the Wake of the Covid-19 Pandemic: Ghana’s Empirical Example. In: Journal of Economics and Business, Vol.3, No.4, 1558-1571. ISSN 2615 3726 Journal of Economics and Business Journal of Economics and Business Quarm, Richmond Sam, Sam-Quarm, Rosemond, and Sam-Quarm, Richmond. (2020), Exorcising the “Ghosts” from the Government Payroll in Developing Countries in the Wake of the Covid-19 Pandemic: Ghana’s Empirical Example. In: Journal of Economics and Business, Vol.3, No.4, 1558-1571. Abstract The salary payment of government workers constitute a significant percentage of total government expenditure in developing economies, simply because the government remains the largest or biggest employer. The Government Payroll system, therefore, requires a robust control mechanism to detect and prevent the occurrence of “payroll fraud”, as the irregularity denies the state of huge sums of monies going down the drain and into private pockets, and which could have otherwise been channelled into some critical sectors of the economy; and to minimise the excessive borrowing by government to fill the gap. The several efforts and reforms by the Controller and Accountant-General’s Department (CAGD) and the Ghana Audit Service (GAS) in particular; and the Ministry of Finance (MoF) in general, to clean the Government Payroll of these “payroll frauds” consistently over the years have not yielded the desired results. The various studies conducted on “payroll fraud” in Ghana did not address themselves to the introduction of the “Electronic-Salary Payment Voucher (E-SPV) system since 2014, which was hailed by many as the final panacea to the “annual ritual of ghost workers on the government payroll”. To fill the gap, we conducted this empirical cross-sectional research on “payroll fraud” based on the “fraud triangle theory” and the “graft estimation model”. We employed non probability purposive, but convenient, sampling methodology by means of structured questionnaires and face-to-face interviews to arrive at our conclusion. Our major finding was that “payroll fraud” can never be eliminated (but only minimised), and must therefore be treated and necessarily managed to the barest minimum (between 1% and 5%), just as normal “bad debts” in Financial Statements. Policy makers will have to revisit the issues about “Ghost Workers”, in the midst of the novel and dreaded, and disastrous Convid-19 pandemic. Keywords: Biometric registration, CAGD, E-SPV, Establishment Warrant, GAS, Ghost workers, Last Pay Certificate, MDAs/MMDAs, Management Units, Payroll fraud, Separated Staff Keywords: Biometric registration, CAGD, E-SPV, Establishment Warrant, GAS, Ghost workers, Last P Certificate, MDAs/MMDAs, Management Units, Payroll fraud, Separated Staff Exorcising the “Ghosts” from the Government Payroll in Developing Countries in the Wake of the Covid-19 Pandemic: Ghana’s Empirical Example Richmond Sam Quarm1, Rosemond Sam-Quarm2, Richmond Sam-Quarm3 1 Department of Accounting, School of Business, University of Education, Winneba, Ghana 2 Ghana Audit Service, Accra, Ghana 3 mPharma Ghana Ltd, Accra, Ghana 1 Department of Accounting, School of Business, University of Education, Winneba, Ghana 2 Ghana Audit Service, Accra, Ghana 3 mPharma Ghana Ltd, Accra, Ghana ISSN 2615-3726 DOI: 10.31014/aior.1992.03.04.303 DOI: 10.31014/aior.1992.03.04.303 The online version of this article can be found at: https://www.asianinstituteofresearch.org/ Published by: The Asian Institute of Research The Journal of Economics and Business is an Open Access publication. It may be read, copied, and distributed free of charge according to the conditions of the Creative Commons Attribution 4.0 International license. The Asian Institute of Research Journal of Economics and Business is a peer-reviewed International Journal. The journal covers scholarly articles in the fields of Economics and Business, which includes, but not limited to, Business Economics (Micro and Macro), Finance, Management, Marketing, Business Law, Entrepreneurship, Behavioral and Health Economics, Government Taxation and Regulations, Financial Markets, International Economics, Investment, and Economic Development. As the journal is Open Access, it ensures high visibility and the increase of citations for all research articles published. The Journal of Economics and Business aims to facilitate scholarly work on recent theoretical and practical aspects of Economics and Business. The Asian Institute of Research Journal of Economics and Business Vol.3, No.4, 2020: 1558-1571 ISSN 2615-3726 Copyright © The Author(s). All Rights Reserved DOI: 10.31014/aior.1992.03.04.303 The Asian Institute of Research Journal of Economics and Business Vol.3, No.4, 2020: 1558-1571 ISSN 2615-3726 Copyright © The Author(s). All Rights Reserved DOI: 10.31014/aior.1992.03.04.303 Keywords: Biometric registration, CAGD, E-SPV, Establishment Warrant, GAS, Ghost workers, Last Pay Certificate, MDAs/MMDAs, Management Units, Payroll fraud, Separated Staff 1. INTRODUCTION The constant revelation of “Ghosts Workers” on the Government Payroll has become an “annual ritual” in almost all developing countries around the globe, including Ghana. Payroll fraud, is an activity whose participants are not necessarily those who are so much sunk in abject poverty, but rather those who are in a position to determine that 1558 Journal of Economics and Business Vol.3, No.4, 2020 Asian Institute of Research the risk of detection, arrest, and punishment is so remote; and, therefore, there is no credible deterrence to prevent them undertaking their criminal activities (Amoako-Tuffour, 2002). the risk of detection, arrest, and punishment is so remote; and, therefore, there is no credible deterrence to prevent them undertaking their criminal activities (Amoako-Tuffour, 2002). In most developing economies, the creation of “Ghost Names” (Hossain, 2013) is a common payroll fraud that occurs in the public sector. Inadequate research on “Ghost Names” in Ghana, in the face of the introduction of the Online “Electronic-Salary Payment Voucher (E-SPV) since the year 2014, continues to create a gap in literature with regards to “payroll fraud” on the Government Payroll. According to Tanzi (2013), ghost workers are those employees who receive salary from an organisation without showing up for work, or who may not exist but their names are kept on the payroll and their salaries appropriated by someone else. Thus, ghost workers constitute a major drain on public funds and deprive countries of the badly needed resources for development (Gee, Button and Brooks, 2010). Despite this huge drain on public funds, Reinikka and Svennson (2006) assert that only a handful of studies exist on the phenomenon of ghost workers in the public services of countries. The overriding need to inject greater accountability for, and discipline in, public spending, more especially in the wake of the Covid-19 pandemic, has suddenly kindled some extraordinary interest in “Ghosts Names” on the Public Sector Payroll worldwide. However, the stakes have risen so high for countries that are in the frenzied mood to organise national or general elections within the next twelve months, and Ghana is no exception. Payroll processing in Ghana has passed through several changes from the days of yore, through a “manual type- written system” in 1896 (when the Government Treasury was established in the Gold Coast by the British Colonial Government), to an “Electronic-Salary Payment Voucher (E-SPV)” system introduced in September, 2014. 1. INTRODUCTION In spite of these “seeming electronic control measures”, the spectre of “Ghosts Workers” on the Government Payroll increases by leaps and bounds on an annual basis, with more and better coordination and sophistication by the perpetrators, far ahead of the payroll management body itself, the CAGD. The primary objectives of this research were: a. To ascertain the true existence of “active employees” on the Government Payroll; a. To ascertain the true existence of “active employees” on the Government Payroll; b. To ascertain whether the current Payroll System administered by CAGD was secure; and that the individual Payroll Files are consistent with the actual Personnel Records of Government Employees; c. To determine the ratio of “Payroll Fraud” to the Compensation of Government Employees; and d To determine if Ghost Names on the Government Payroll can ever be eliminated b. To ascertain whether the current Payroll System administered by CAGD was secure; and that the individual Payroll Files are consistent with the actual Personnel Records of Government Employees; c To determine the ratio of “Payroll Fraud” to the Compensation of Government Employees; and y p y ; c. To determine the ratio of “Payroll Fraud” to the Compensation of Government Employees; and d. To determine if Ghost Names on the Government Payroll can ever be eliminated. c. To determine the ratio of “Payroll Fraud” to the Compensation of Government Emp d. To determine if Ghost Names on the Government Payroll can ever be eliminated. Flowing from the objectives, the legitimate questions to ask, are: Flowing from the objectives, the legitimate questions to ask, are: • What do we mean by “ghost workers”? • Why do ghost workers exist on the “government payroll? • What makes this business possible and profitable? • Is the incidence of payroll fraud confined to a particular government ministry, department, or agency? • How much of Ghana’s public sector wage bill is due to payroll fraud? • Can we rely on employee headcount alone to fix the problem of payroll fraud, more especially in the era of the novel and dreaded Covid-19 pandemic? • What can be done to make payroll fraud unattractive, if not completely eradicated or eliminated? Upon threats from some donor agencies in 2001, the Ministry of Education (MoE) removed some 10,000 “Ghost Names” on their payroll alone. On 21st August, 2007 “Joy FM Online” quoted the Controller and Accountant- General (Mr Christian Sottie) as saying that of the 19 trillion cedis budgeted for wages and salaries that year, 11trillion cedis (about 60%) was spent during the first half of the year. The primary objectives of this research were: Mr Sottie cautioned that the public payroll could be overrun by as much as 3 trillion cedis if nothing concrete was done to curb the excess expenditure. He attributed the bloated wage bill to “Ghost Names”. According to the Minister of Finance, Hon Kwadwo Baah Wiredu, the public sector wage bill as a share of total government spending fell from 33% in 2000 to 26% in 2003. 1559 Journal of Economics and Business Vol.3, No.4, 2020 Asian Institute of Research But according to the Minister, it rose again to nearly 29 percent in 2006, justifying a call for head count of public sector workers in 2007. But according to the Minister, it rose again to nearly 29 percent in 2006, justifying a call for head count of public sector workers in 2007. In September, 2014, the “Electronic-Salary Payment Voucher (E-SPV)” system was launched with welcoming relief and fanfare by the Minister of Finance, Seth Tekper, to end the menace of “Ghost Workers” on the “Government Payroll once and for all”. The system became fully operational in January, 2015. However, on November 20, 2015, less than a year of its introduction, the then Controller and Accountant-General (Ms Grace Francisca Adzroe) reported the shocking revelation and removal of “ghost names” to the tune of some “5,861 ghost workers” (Graphic Online, 2015). And the irregularity has become an “annual ritual”, according to the annual Auditor General’s Reports. Addressing the “May Day Rally” at the Independence Square in Accra in 2017, the President of the Republic, Nana Addo-Danquah Akufo-Addo announced the removal of some “26,589 Ghost Names” from the Government Payroll (Graphic Online, 2020). According to the President, this was to save the Ghanaian taxpayer some GHC433 million for the 2017 fiscal year alone. It is interesting to note, however, that in a quick rebuttal just the following day, the National Association of Graduate Teachers (NAGRAT), vehemently rejected the President’s statement, claiming that “13,800 of the so-called Ghost Names belonged to the Association”. On April 5, 2019, the then Controller and Accountant-General, Mr Eugene A. Ofosuhene, also reported that “his Department had cleared off all Ghost Names that existed on the Public Sector Payroll in the range of some 20,000 workers” (Graphic Online, 2019). And on September 23, 2020, (Graphic Online, 2020), again reported that the Acting Controller and Accountant-General had cleared “7,000 Ghost Names” from the Government Payroll. The primary objectives of this research were: Mr Kwasi Kwaning Bosompem was quoted as saying that the names were removed after a team of accountants and auditors from the CAGD and GAS had toured the country to enumerate workers (head count) on the government payroll. The above assertions by the three immediate Government Accountants, and buttressed by the President of the Republic himself, raises the legitimate questions, “What constitute Ghost Names?”, and “Why have the removal of Ghost Names on the Public Payroll become an ‘annual and political ritual’?”. The causes, effects, findings, and possible solutions to the menace of “ghost names on the public sector payroll in developing countries in general, and Ghana in particular”, formed the basis of this cross-sectional research. This study was necessitated to assess the impact of ghost workers on the public sector payroll in Ghana, despite the introduction of the “Electronic- Salary Payment Voucher (E-SPV) system, and in the likely probability that the phenomenon would increase in the wake of the novel, dreaded, and disastrous Covid-19 pandemic. The rest of the paper is presented sequentially according to literature review, theoretical framework, empirical studies, methodology, discussion of result and major findings, conclusion and recommendations. 2.1 From the Manual to the Online Electronic Salary Payment Voucher System Since the establishment of the Gold Coast Treasury in 1896 by the Colonial British Government, the payment of Civil and Public Servants had been done through a “manual type-written payment voucher system” at the “local management unit levels”. What happened in practice was that after the passage of the Appropriation Act, the votes of all MDAs/MMDAs and other Covered Entities were released to the various Heads/Spending Officers at the Headquarters in Accra. The Votes were broken down into “Recurrent Expenditure (of Items 1-5)”, and “Capital Expenditure (of Items 6-8)”. Heads/Spending Officers of the various MDAs/MMDAs and other Covered Entities at the Headquarters in Accra would then prepare “Financial Encumbrances/Financial Encumbrances Adjustments (FEs/FEAs) to the respective Regional/District Heads of Department. This meant that not a single pesewa of Recurrent Expenditure, including the ‘Votes for Wages and Salaries’ were kept at the Headquarters. Only the ‘Votes for Capital Expenditure’ were kept at the Headquarters. As a result, the Chief/Regional/District Treasury Offices of CAGD were responsible for all payments for Recurrent Expenditure, including Wages and Salaries at the Regional/District level. Thus, all payments at the Regional/District level were done via the “manual type-written payment vouchers” prepared by the Management Unit, and submitted to the Chief/Regional/District Treasury Offices of the CAGD (as the case might be). New employees were recruited and paid by the local management units through “Establishment Warrants (EWs)”, while old employees on transfer were paid using their “Last Pay Certificates (LPCs)” from their previous management units. Thus, there was no “Payroll Processing Unit at the CAGD Headquarters in Accra” before 1985. As a general rule, and to all intents and purposes, the Monthly Wages and Salaries of Workers were paid ‘across the Accountant’s Table’. At the end of each month, any worker who chose to operate a Personal Bank Account would collect his/her wages/salaries across the Accountant’s Table, and then walk to his/her Bankers to deposit whatever portion of his/her salary into his/her bank account. Accountants of the Local Management Units were supposed to “pay into “Government Chest any unearned/unclaimed wages/salaries at the end of the month”. And this payment back into the “Government Chest/Consolidated Fund” of “unclaimed wages/salaries at the end of every month”, hardly occurred, if any. This had been the practice since 1896, until January, 1985 when the Payroll of some few selected MDAs/MMDAs were “piloted for centralisation and mechanisation” at the CAGD Headquarters in Accra. 2.1 From the Manual to the Online Electronic Salary Payment Voucher System With the “mechanisation in 1985”, came the “order” from the CAGD for the “opening of individual salary bank accounts of workers through which their monthly wages and salaries were to be credited”. For the next seven or more years to 1992, this “directive was more flouted than obeyed”, even in the face of a military dictatorship in Ghana. Who is responsible for the Management of the Public Sector Payroll in Ghana? The CAGD is the body responsible for public sector payroll management in Ghana. The payroll management division is one of the six divisions of the CAGD. It is headed by a Deputy Controller and Accountant-General. The division has two directorates – the “Active Payroll” directorate, which has ten sections and over 160 staff, and the Pension directorate with two sections and staff strength of more than 90. Its main responsibility is to process and pay compensation of employees to active and retired public servants and their beneficiaries under the “CAP 30 Pension Scheme” as required under the Public Financial Management Act 2016 (Act 921) and its Regulations, and the CAP 30 Pension Act. In this regard, the division is responsible for the management of the National Salary and Pension payroll. There are laid down procedures, responsibilities and clear timelines for the management of the national payroll. It is a shared responsibility between the CAGD and employer institutions or covered entities (MDAs/MMDAs). 1560 Journal of Economics and Business Asian Institute of Research Vol.3, No.4, 2020 Covered entities have Transaction Processing Centres (TPCs) which have been connected and given local access to the Payroll Processing System (PPS) at the CAGD. It is the responsibility of the employer institutions to ensure that the biodata, job classification and other relevant personal information of each staff member is captured or updated on the payroll system. They are also to validate the payment vouchers before the final payroll run. The payroll management division validates the data recorded at the employer level and processes the payment by the pay-day for each pay period. 2.2. Theoretical Framework for the Study: The Fraud Triangle This research was grounded on the “Fraud Triangle Theory” propounded by Cressey (1950) and amplified into the “Fraud Diamond” by Wolf and Hammond (2004). The research was also propped up by the “Graft Estimation Model” developed by Reinikka and Svennson (2004). The fraud triangle is a theory that explains the motives for committing fraud (Dorminey et al, 2012). However, the graft estimation model measures the extent of losses or theft of public funds in government agencies (Zhang, 2012). 1561 Journal of Economics and Business Vol.3, No.4, 2020 Asian Institute of Research The “Fraud Triangle theory” was developed by Cressey (1950), a renowned criminologist, educator, and a writer whose work has provided the framework for understanding the motives for fraud, and the characteristics of fraudsters (Kassem and Higson, 2012). Cressey hypothesized that for individuals to commit fraud, three factors must always be present and they are; pressure, opportunity, and rationalisation. According to Albrecht et al (2008), and Gbegi and Okoye (2013), these factors must necessarily be present for fraud to occur, irrespective of whether the perpetrator benefited directly, or the benefit went to his/her organisation. The “Fraud Diamond” was developed by Wolf and Hammond (2004) who introduced the “capabilities of the fraudster” as the fourth component to the fraud triangle. The principles underlying the fraud diamond is that “fraud will not occur without the right person with the right capabilities”. Various fraud and corruption studies in public sector organisations, with particular reference to the government payroll, health and education, have relied on the fraud triangle theory (Fitzsimons, 2009; Reinikka and Svennson, 2006). 2.3. The Graft Estimation Model The Graft Estimation Model by Reinikka and Svennson (2004) was used by Olken and Pande (2012) to determine leakages or theft of public funds in government institutions. Graft is measured by comparing the budgeted amount allocated or released to a government organisation by the “Central Government”, and the actual amount received at the local level; the difference represents graft or corruption. The instrument used to measure graft is the Public Expenditure Tracking System (PETS). One study of the leakage rate in the educational sector in Uganda was 87% (Pande, 2012). In Papua New Guinea, the rate of ghost teachers was 15% in 2002 (World Bank, 2004), and 23% in Honduras in 2010 (World Bank, 2010). The percentage might certainly have been worse in Ghana. 2.4. Empirical Studies on Ghost Workers on Government Payroll An empirical review of the literature on Ghost Workers shows a widespread phenomenon, not only from the developing economies, but also from the very advanced countries as well. Four major concepts could be derived from the fraud triangle theory. The first concept is the possibility of individuals to violate the trust reposed in them by their superiors. Second, there are forces that motivate individuals to commit fraud in violation of the trust reposed in them (Brody et al 2012). Third, fraud can be committed by individuals within an organisation, irrespective of their positions or status (Trompeter et al, 2012). Finally, fraud can be minimised if the factors encouraging fraud can also be minimised (Gbegi, & Okoye, 2013). In a study on why corruption persisted in the public service of Nigeria, Ibietan (2013) observed that for as long as the fraud triangle of need, opportunity, and weak sanctions subsists, corruption in the Nigerian public service will never be tamed; but that it will rather continue to have more powerful and sophisticated active converts. A study conducted by Chevis and Barrum (2012) showed similar results of fraud in the Papua New Guinea public service According to the World Bank (1995), “ghost workers” are public sector employees who have died, retired, or completely left the public service, and yet have their names on the government payroll. In payroll fraud research, the number of employees in the organisation determines the size of the organisation. According to the fraud triangle, as the size of an organisation increases, the internal control system of the organisation becomes weak (due to the enhanced complexities of its operations), leading to the perpetration of fraud. Amoako-Tuffour (2002) estimated that ghost workers represented 5.8% of government expenditure on wages and salaries every year. In the same year, the Minister of Finance in a budget statement to Parliament (2002), indicated that “10% of the total amount spent on civil and public servants were lost every month through the insertion of ghost names on the government payroll”. The crux of the matter is that “ghost workers drain public funds, and deprive nations of the scarce resources for development” (Gee et al, 2010). The solution to this canker was what this research sought to achieve. 3. 2.4. Empirical Studies on Ghost Workers on Government Payroll METHODOLOGY 1562 Journal of Economics and Business Vol.3, No.4, 2020 Asian Institute of Research The study was cross-sectional and it adopted the non-probability quota sampling method to select the management units for the survey (Tansey, 2007). The study also used the Public Expenditure Tracking Survey (PETS) as developed by Reinikka and Svennson (2004), in conjunction with the Appropriation Acts for the data collection. This was because after the first successful implementation of PETS in Uganda in 1999 (Olken & Pande, 2012), it has now become a standard practice for financial data measurement in the public services. The population of this research consisted of the Heads and the Finance Officers of the various MDAs/MMDAs; HR Staff responsible for Employee Personal Records and the Payroll Processing Section (PPS) and the Internal Audit Units of the various MDAs/MMDAs; Staff of the Payroll Processing Section (PPS) and the Integrated Payroll Processing Division (IPPD) of the CAGD; the Audit and Investigations Division of the CAGD; and the Staff of GAS. Purposive sampling methodology was employed. As a result of the ramifications of the novel and deadly Covid- 19 Pandemic, some virtual interviews were conducted through some social media applications. Moreover, both open-ended and closed-ended structured questionnaires were set up and sent to the various respondents through the use of ‘Google Forms’. A total of 150 respondents were sampled. From the virtual interviews and structured questionnaires, adequate data was obtained on the following: A total of 150 respondents were sampled. From the virtual interviews and structured questionnaires, adequate data was obtained on the following: • Employee Personal Data from the MDAs/MMDAs. We enquired to know how often Employee Personal Records and documents such as academic and professional certificates, appointment letters, confirmation and promotion letters, contract extensions, SSNIT Biometric Registration Card, and Biometric Data were reviewed. • Employee Personal Data from the MDAs/MMDAs. We enquired to know how often Employee Personal Records and documents such as academic and professional certificates, appointment letters, confirmation and promotion letters, contract extensions, SSNIT Biometric Registration Card, and Biometric Data were reviewed. Biometric data on Government Employees and Pensioners from the MoF. • Biometric data on Government Employees and Pensioners from the MoF. • Details and payroll processes of the Electronic Salary Payment Voucher System (E-SPVs) from the CAGD. 2.4. Empirical Studies on Ghost Workers on Government Payroll Data on Report 11 (this report contains information on the amount paid to Government Employees an P i h th b k) • Data on Report 11 (this report contains information on the amount paid to Government Employees and Pensioners each month per bank). ata o epo t (t s epo t co ta s o at o o t e a ou t pa d to Gove e t p oyees a d Pensioners each month per bank). Pensioners each month per bank). From then, data collection instruments were used to capture both primary and secondary data relevant to the objectives of the research. The information collected were analysed and presented in tables, charts, and graphs and consequently discussed both qualitatively and quantitatively. From then, data collection instruments were used to capture both primary and secondary data relevant to the objectives of the research. The information collected were analysed and presented in tables, charts, and graphs and consequently discussed both qualitatively and quantitatively. 4. RESULTS AND DISCUSSION 4.2 Top 10 MDAs/MMDAs Employees on the Government Payroll as at June, 2018 Here, the number of employees on Government Payroll as at June, 2018 were reported for the top ten MMDAs/MMDAs in Ghana. Table 1: Top 10 MDAs/MMDAs Employees on Government Payroll No. MMDA/MMDA Number of Employees 1 2 3 4 5 6 7 8 9 10 Ministry of Education Ministry of Health Ministry of Local Government Ministry of Interior Ministry of Lands and Natural Resources Judicial Service Environment, Science, Technology and Innovation Finance Information Food and Agriculture Remaining (11) 317, 512 108,927 27,186 23,722 5,334 4,896 4,612 4,315 2,227 2,061 21,686 Total 522,478 4.1 Demographic Statistics of Employees on Government Payroll This section presents the summary statistics of government employees on the public payroll during the period of the research. Table 1 below shows the demographics of employees according to age, sex, MDAs, and regions. Figure 1: Regional Summary of Active Employees on the Government Payroll in 2018 Figure 1: Regional Summary of Active Employees on the Government Payroll in 2018 Figure 1: Regional Summary of Active Employees on the Government Payroll in 2018 1563 Journal of Economics and Business Asian Institute of Research Vol.3, No.4, 2020 Figure 1 above shows that the Ashanti Region houses the majority of active employees on the government payroll and this could be attributed to the fact that this region in Ghana holds the greatest land size and definitely has a huge population. The capital region of Ghana, Greater Accra, follows the Ashanti Region in the number of active employees. This region has the densest population. The upper parts of Ghana hold the lowest number of active employees on the Government payroll, with the Upper West Region recording the least of the employees. 4.6 Discontinued Staff still on the Government Payroll A review of the data showed that a total of some 6,307 employees declared as “discontinued staff” through the E- SPV System, continued to receive their monthly salaries 4.5 Salary-Grade Mismatch Our research revealed that the personnel records showed a mismatch in the salary grades of some 1,200 employees, when compared with their actual grades on their Appointment/Promotion Letters. 4.3 Gender and Age Profile of Employees on the Government Payroll This section describes the demographics (gender and age) of employees on the Government Payroll. It is found that 57.2 percent of the employees were males whereas 42.8 percent were females. This section describes the demographics (gender and age) of employees on the Government Payroll. It is found that 57.2 percent of the employees were males whereas 42.8 percent were females. Table 3: Gender and Age Profile of Employees on Government Payroll as at June, 2018 Table 3: Gender and Age Profile of Employees on Government Payroll as at June, 2018 1564 Journal of Economics and Business Vol.3, No.4, 2020 Asian Institute of Research 4.4 Table Showing Ghost Employees on the Government Payroll as at 30/06/2018 No. MMA/MMDA Ghost Employees Gross Amount 1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20 21 Ministry of Education Ministry of Health Local Government Service Ministry of Interior Ministry of Lands and Natural Resources Ministry of Environment, Science & Technology Ministry of Food and Agriculture Ministry of Local Government Ministry of Communication Ministry of Chieftaincy Ministry of Tourism Justice and Attorney General Ministry of Trade and Industry Ministry of Finance Ministry of Roads and Highways Judicial Service Ministry of Transport Gender, Children and Social Protect Ministry of Foreign Affairs Ministry of Information Ministry of Youth and Sports 5,074 1,388 548 295 136 90 81 75 26 23 23 21 16 7 6 4 3 3 2 1 1 233,269,901 127,268,356 34,584,009 24,465,320 9,980,826 9,785,663 7,220,148 4,827,268 2,752,290 1,939,155 1,885,666 5,236,443 1,705,108 1,361,054 307,298 107,980 204,961 207,479 221,289 255,571 49,007 Total 7,823 467,634,792 4.7 Overaged Employees on Government Payroll From the data gathered, it became obvious that the payroll system had not been properly configured to automatically terminate the records of employees who attain the statutory retirement age of 60 years. Our research revealed that the names of some 84 employees who had attained the compulsory retirement age of 60 years, and had no contract extension, were still on the Government Payroll. 4.8 Employees without Biometric Details. 4.8 Employees without Biometric Details. 4.8 Employees without Biometric Details. 4.8 Employees without Biometric Details. No. MDA/MMDA Number of Employees 1 2 3 4 5 6 7 8 Judicial Service Local Government Service Ministry of Finance Ministry of Communication Ministry of Defence Ministry of Education Ministry of Employment Ministry of Environment 3 17 51 1 4 81 2 3 1565 Journal of Economics and Business Vol.3, No.4, 2020 Asian Institute of Research 9 10 11 12 13 14 Ministry of Food and Agriculture Ministry of Foreign Affairs Ministry of Health Ministry of Interior Lands and Natural Resources Justice and Attorney General 6 1 27 2 3 1 Total 202 The Biometric Verification System (BVS) serves as a pre-condition for the payment of salaries to Government Employees. Despite this control, our research revealed that the names of some 202 employees who had not gone through the Biometric Registration were miraculously on the Payroll. The Ministry of Education records the highest number of employees with biometric registration. This is illustrated in the figure below. Figure 2: Employees without Biometric Details Figure 2: Employees without Biometric Details 4.9 Suspected Cases of Personation No. MDA Number of Employees 1 2 3 4 5 6 7 8 9 10 11 12 Judicial Service Local Government Service Ministry of Finance Ministry of Education Ministry of Food and Agriculture Ministry of Health Ministry of Information Ministry of Interior Ministry of Lands and Natural Resources Ministry of Roads and Highways NCCE Head of Civil Service 2 10 3 261 1 67 1 10 8 1 1 1 Total 366 g p y 4.9 Suspected Cases of Personation 4.9 Suspected Cases of Personation No. MDA Number of Employees 1 2 3 4 5 6 7 8 9 10 11 12 Judicial Service Local Government Service Ministry of Finance Ministry of Education Ministry of Food and Agriculture Ministry of Health Ministry of Information Ministry of Interior Ministry of Lands and Natural Resources Ministry of Roads and Highways NCCE Head of Civil Service 2 10 3 261 1 67 1 10 8 1 1 1 Total 366 No. 5.1. Conclusion Before the centralisation of the preparation and payment of wages and salaries at the CAGD Headquarters in Accra in 1985, the country was probably losing about 75 percent of the Total Employee Compensation to “Ghost Workers”. This was because there existed a fraud triangle between unscrupulous management unit heads of MDAs/MMDAs, District/Regional/Chief Treasury Officers of the CAGD, and Officers of GAS. Studies on “Payroll Fraud” did not receive the desired academic research into the phenomenon, despite the huge and glaring “revenue leakages” as a direct result of the “manual and type-written Wages and Salaries Payments Vouchers” prepared and paid at the local level (Amoako-Tuffour, 2002; Reinikka and Svennson, 2001). In fact, Amoako- Tuffour’s estimation of 5.8% revenue leakage due to “ghost workers in 2002”, was dangerously an understatement. And the above conclusion is premised on the fact that if after the implementation of the E-SPV, the three immediate Controller and Accountant-Generals could be talking of expunging about 5,861; 20,000; and 7,000 “ghost names” respectively from the Government Payroll, then one could easily imagine what was happening during the “manual type-writer days”, and the pre-E-SPV era. One major flaw of the CAGD over the years, has been its quick readiness to always declare the number of “Ghost Names” on the Government Payroll that have been cleared, but would always shy away from providing the actual amount that have gone down the drain, and into private pockets. It is, therefore ‘impossible to provide the actual amount of monies that have gone down the drain, specifically due to Ghost Names’ for any empirical analysis to be made. This conclusion was confirmed by the Auditor-General’s Report on the “National Payroll and Personnel Verification Audit”, as at June, 2018. The “Outturns” provided in the Annual Budgets Statements on Employee Compensation are an “omnibus figure”, without showing the “actual amount lost through Ghost Names”. It is highly recommended that the CAGD will do the needful, going forward, to enable a better and more critical analysis of monies lost through the existence of Ghost Names on the Government Payroll to be made. The International Monetary Fund (IMF) in its October, 2020 Fiscal Monitor Publication, has predicted that Ghana’s fiscal deficit will reach 16.4 percent of GDP this year (up from the initial government projection of 4.7 percent of GDP), the largest in the country’s history. 4.8 Employees without Biometric Details. MDA Number of Employees 1 2 3 4 5 6 7 8 9 10 11 12 Judicial Service Local Government Service Ministry of Finance Ministry of Education Ministry of Food and Agriculture Ministry of Health Ministry of Information Ministry of Interior Ministry of Lands and Natural Resources Ministry of Roads and Highways NCCE Head of Civil Service 2 10 3 261 1 67 1 10 8 1 1 1 Total 366 4.10 Shared Bank Accounts 1566 Journal of Economics and Business Vol.3, No.4, 2020 Asian Institute of Research The Ministry of Education has 91 employees with shared bank accounts. The values are lower for the Ministry of Health with 8 employees and the Ministry of Lands and Natural Resources with 2 employees having shared bank accounts. The Ministry of Education has 91 employees with shared bank accounts. The values are lower for the Ministry of Health with 8 employees and the Ministry of Lands and Natural Resources with 2 employees having shared bank accounts. Figure 3: Shared Bank Accounts 1567 4.11 Employees with Same SSNIT Biometric Registration Number No. MDA/MMDA Number of Employees 1 2 3 4 5 6 7 Ministry of Interior Ministry of Education Ministry of Local Government Ministry of Food and Agriculture Ministry of Fisheries Ministry of Health Ministry of Lands and Natural Resources 6 21 1 1 2 1 2 Total 34 This is illustrated graphically below. Figure 4: Employees with same SSNIT Biometric Registration 4.11 Employees with Same SSNIT Biometric Registration Number No. MDA/MMDA Number of Employees 1 2 3 4 5 6 7 Ministry of Interior Ministry of Education Ministry of Local Government Ministry of Food and Agriculture Ministry of Fisheries Ministry of Health Ministry of Lands and Natural Resources 6 21 1 1 2 1 2 Total 34 This is illustrated graphically below. 4.11 Employees with Same SSNIT Biometric Registration Number No. MDA/MMDA Number of Employees 1 2 3 4 5 6 7 Ministry of Interior Ministry of Education Ministry of Local Government Ministry of Food and Agriculture Ministry of Fisheries Ministry of Health Ministry of Lands and Natural Resources 6 21 1 1 2 1 2 Total 34 This is illustrated graphically below. 4.11 Employees with Same SSNIT Biometric Registration Number 4.11 Employees with Same SSNIT Biometric Registration Number 1567 Journal of Economics and Business Vol.3, No.4, 2020 Asian Institute of Research 4.12 Poor Migration of Payroll Data of Employees As stated earlier in the write-up, the CAGD first implemented a “Mechanised Payroll System” in 1985, away from the hitherto “Decentralised, Manual and Type-Writer-Based System”. Although that Payroll System was centralised in Accra at the Treasury Headquarters, “it was more manual, than computerised.” This manual system continued to be operated until 1992 when the CAGD implemented its first “Integrated Personnel and Payroll Database (IPPD 1)” system for all employees on the Government Payroll. In 2000, the CAGD migrated all Government Employees from IPPD1 to IPPD2. However, in 2010, owing to the sheer numbers of personnel of the Ministry of Education, coupled with the implementation of the Single Spine Salary Structure (SSSS), the CAGD migrated the Staff of the Ministry of Education to the newly installed IPPD3, whilst maintaining the workers of all other MDAs/MMDAs on IPPD2. The poor changeover resulted in the loss of all the historical records of the staff and Teachers of the Ministry of Education across the country. 5.1. Conclusion The projection is not only the highest in Ghana’s history, but will also become the biggest deficit in sub-Saharan Africa. The record deficit projection comes on the back of the devastating effect of the Covid-19 pandemic, which caused a huge shortfall in government’s revenues amidst bigger-than expected spending in a frantic effort to contain the disease (such as the payment of salaries to all workers on the government payroll despite the shutdown of non-essential public services, and a 50% increase in the “basic salaries of frontline health workers)). 1568 Journal of Economics and Business Vol.3, No.4, 2020 Asian Institute of Research In a face-to-face interview with the Controller and Accountant-General, he asserted that the phenomenon of “Ghost Names” on the Government Payroll, “can never be completely eliminated”. According to him, if anything at all, it can only be “minimised to between 1 percent and 5 percent”; and such a percentage is to be tolerated at any time “t”, and treated as “bad debts” in the course of “normal business accounting practice”. This is because at any given point in time, some employees may resign from the government service, or may die, or may travel outside the country. The date of such a discontinuance of work, and the time this might take for the information to come to the attention of the Head of the Management Unit, for the necessary “payroll input” to be prepared and forwarded to the Headquarters of the respective MDA/MMDA for certification and onward transmission to the Payroll Section of the CAGD for processing, “will never take less than three months”. Within this minimum period of three months, “a ghost name would have been inadvertently created or occurred on the government payroll”, through nobody’s fault, he asserted. From our research and responses from respondents, it was evident beyond any scintilla of doubt that the removal of “Ghost Names” from the Government Payroll is, and must be, a shared responsibility from the Heads of Local level Management Units of MDAs/MMDAs through to the National Level; plus officers of the HR division of the various MDAs/MMDAs; staff of the Controller and Accountant General’s Department (CAGD); staff of the Ghana Audit Service, (GAS); the Banks; and the Ministry of Finance. 5.1. Conclusion Finally, since the fact still remains that due to the numerous restrictions and lockdowns of most MDAs/MMDAs as a direct result of the novel and dreaded Covid-19 pandemic, why on earth should Heads of Management Units still be required to “verify their staff electronically online, and take full responsibility for any Ghost Names?” Future researchers are encouraged to consider the “concept of ghost workers in a post-Covid-19 pandemic era, where online and remote working will become the norm, rather than the exception” References Albrecht, C., Albrecht, C., Landau, S., and Melagueno, R. (2008). Financial statement fraud: Learn from the mistakes of the US or follow up in the footsteps of its errors. Internal Auditing, 23(2), 30-37. Retrieved from: http://repository.essex.ac.uk/id/eprint/4761 p p y p Amoako-Tuffour, J. (2002). Ghost names, shadow worker, and the public sector wage bill. Occasional Papers, 34, 1-22. Accra, Ghana: Institute of Economic Affairs. Association of Certified Fraud Examiners (2012). Report to the nation on Occupational Fraud and Abuse. Global Fraud Report, 1-74. Retrieved from: Association of Certified Fraud Examiners (2012). Report to the nation on Occupational Fraud and Abuse. Globa Fraud Report, 1-74. Retrieved from: http://www.acfe.com/uploadedFiles/ACFE_Website/Content/documents/2006- Fraud Report, 1-74. Retrieved from: http://www.acfe.com/uploadedFiles/ACFE_Website/Content/documents/2006- http://www.acfe.com/uploadedFiles/ACFE_Website/Content/documents/2006- Audit Service Act (2000). Act 584, Republic of Ghana Brody, R., G., Melendy, S., R., and Perri F., S. (2012). Commentary from the American Accounting Association’s 2011 annual meeting panel on emerging issues in fraud research. Accounting Horizons, 26(3), 513-531. doi: http://dx.doi.org/10.2308/acch- p g Certified Practising Accountants (2011). Employee fraud: A guide to reducing the risk of employee frau what to do when the fraud is detected. CPA Australia, 2-14. Retrieved from: www.cpaaustralia.com p g fied Practising Accountants (2011). Employee fraud: A guide to reducing the risk of employee fraud, and what to do when the fraud is detected. CPA Australia, 2-14. Retrieved from: www.cpaaustralia.com.au Chevis, J., and Barrum, B. (2012). Applied forensic accounting – Experiences from the Papua New Guinea Financial Intelligence Unit. National Forensic Accounting Teaching and Research Symposium 2012 – (Re) defining the Forensic Accountant, merging practice, research and education: Retrieved from: htt //b i d / t t/ / bli /@ b/@ /@ Chevis, J., and Barrum, B. (2012). Applied forensic accounting – Experiences from the Papua New Guinea Financial Intelligence Unit. National Forensic Accounting Teaching and Research Symposium 2012 – (Re) defining the Forensic Accountant, merging practice, research and education: Retrieved from: http://business.uow.edu.au/content/groups/public/@web/@commerce/@econ Controller and Accountant-General’s Department (2012). Report and Financial Statements on the Public Accounts (Consolidated Fund) of the Republic of Ghana for the Year Ended December, 31, 2012. Financial Administration Regulation, 2004 (LI 1802), Republic of Ghana. Controller and Accountant-General’s Department (2012). Report and Financial Statements on the Public Accounts (Consolidated Fund) of the Republic of Ghana for the Year Ended December, 31, 2012. Financial Administration Regulation, 2004 (LI 1802), Republic of Ghana. g ( ) p Dorminey, J., Fleming, A., Kranacher, M., and Riley, R. (2012). References Conference Proceedings, South African Association of Public Administration and Management (SAAPAM). Cape Town, South Africa. 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Using micro-surveys to measure and explain corruption. World Public Financial Management Act (2016). Act 921. Adventist Press, Accra Reinikka, R., and Svennson, J. (2006). Using micro-surveys to measure and explain corruption. World Development, 34(2), 359-370. doi:10.1016/j.worlddev.2005.03.009 Public Financial Management Act (2016). Act 921. Adventist Press, Accra Reinikka, R., and Svennson, J. (2006). Using micro-surveys to measure and explain corruption. World D l 34(2) 359 370 d i 10 1016/j ldd 2005 03 009 Reinikka, R., and Svennson, J. (2006). Using micro-surveys to measure and explain c Development, 34(2), 359-370. doi:10.1016/j.worlddev.2005.03.009 Reinikka, R., and Svennson, J. (2001). Explaining leakage of public funds. WIDER Discussion Papers/World Institute for Development Economics (UNU-WIDER) (No. 2001/147).Washington, DC: The World Bank. Tanzi V (2013) Corruption and the Economy Filozofija i drustvo 24(1) 33-59 DOI:10 2298/FID1301033T ( ) p y f j ( ) Trumpeter, G., M., Carpenter, T., D., Desai, N., Jones, K., L., and Riley Jnr, R., A. (2012). A synthesis of fraud- related research. Auditing: A Journal of Practice & Theory, 32(1), 287-321. doi: Trumpeter, G., M., Carpenter, T., D., Desai, N., Jones, K., L., and Riley Jnr, R., A. (2012). A synthesis of fraud- related research. Auditing: A Journal of Practice & Theory, 32(1), 287-321. doi: http://dx.doi.org/10.2308/ajpt-50360 p g jp World Bank (2010). Public Expenditure Tracking and Service Delivery Survey: Education and Health in Honduras – Background Chapters, Washington, DC. Retrieved from: http://openknowledge.worldbank.org/handle/10986/3006 World Bank (2010). Public Expenditure Tracking and Service Delivery Survey: Education and Health in Honduras – Background Chapters, Washington, DC. 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Integrated Financial Management Information Systems: guidelines for effective implementation by the public sector of South Africa: original research, South African Journal of Information Management, 15(1), 1-9. doi: 10,4102/sajim.v14i1.529 Hendriks, C., J. (2013). Integrated Financial Management Information Systems: guidelines for effective implementation by the public sector of South Africa: original research, South African Journal of Information Management, 15(1), 1-9. doi: 10,4102/sajim.v14i1.529 Hossain, M., I. (2013). Measuring the Effectiveness of Public Expenditure in Bangladesh: A Survey Based Case Study in the Education Sector. Ritsumeikan Asia Pacific University (RCAPS). Working Papers Series. RWP – 13002. Japan, Oita Beppu: Ritsumeikan Asia Pacific University. Hossain, M., I. (2013). Measuring the Effectiveness of Public Expenditure in Bangladesh: A Survey Based Case Study in the Education Sector. Ritsumeikan Asia Pacific University (RCAPS). Working Papers Series. 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(2014, July, 17). Electronic payslip system to capture government workers Daily Graphic. Retrieved from: http://www.graphic.com.gh Lekubu, B., K. (2013). Issues of Corruption in South Africa’s Municipalities. References The evolution of fraud theory. Issues in Accounting Education, 27(2), 555-579. doi.org/10.2308/iace-50131 Dorminey, J., Fleming, A., Kranacher, M., and Riley, R. (2012). The evolution of fraud theory. Issues in Accounting Education, 27(2), 555-579. doi.org/10.2308/iace-50131 Dorminey, J., Fleming, A., Kranacher, M., and Riley, R. (2010). “Beyond the Fraud Triangle: Enhancing the Deterrence of Economic Crimes”. CPA Journal, 80(7), 17-23. New York, NY: New York Society of CPAs. Eme, O., I., and Andrew, V., O. (2013). Civil Service and Cost of Governance in Nigeria. International Journal of Accounting Research, 1(2), 27-48. Retrieved from: Dorminey, J., Fleming, A., Kranacher, M., and Riley, R. (2010). “Beyond the Fraud Triangle: Enhancing the Deterrence of Economic Crimes”. CPA Journal, 80(7), 17-23. New York, NY: New York Society of CPAs. Eme, O., I., and Andrew, V., O. (2013). Civil Service and Cost of Governance in Nigeria. International Journal of Accounting Research, 1(2), 27-48. Retrieved from: h // bi jb / df /AC VOL 1 2/4 df p j p p Financial Administration Act (2003). Act 654, Adventist Press, Accra 1569 Asian Institute of Research Journal of Economics and Business Vol.3, No.4, 2020 Fitzsimons, V., G. (2009). A troubled relationship: corruption and reform of the public sector in development. Journal of Management Development, 28(6), 513-521. DOI: 10.1108/02621710910959675 Gbegi, D., O., and Okoye, E., I. (2013). An evaluation of the effect of fraud and related financial crimes on the Nigerian economy. Kuwaiti Chapter of Arabian Journal of Business and Management Review, 2(7), 81-91. 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English
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Significant Influence of Annealing Temperature and Thickness of Electrode on Energy Conversion Efficiency of Dye Sensitized Solar Cell: Effect of Catalyst
International letters of chemistry, physics and astronomy
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cc-by
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ABSTRACT Dye sensitized solar cell (DSSC) shows great promise as an alternative to conventional p-n junction solar cells due to their low fabrication cost and reasonably high efficiency. DSSC was assembled by using natural dye extracted from red amaranth (Amaranthus Gangeticus) as a sensitizer and different catalysts for counter electrode were applied for maximum energy conversion efficiency. Annealing temperature and thickness of electrode were also investigated and optimized. Catalyst, annealing temperature and thickness were optimized by the determination of cell performance considering photoelectrochemical output and measuring current and voltage; then calculating efficiency and other electrical parameters. The experimental results indicated that samples having 40 µm electrode thickness and prepared at 450 °C annealing temperature showed the best performance. eywords: Dye Sensitized Solar Cell; Sensitizer; catalyst; annealing temperature and thickness International Letters of Chemistry, Physics and Astronomy ISSN: 2299-3843, Vol. 39, pp 78-87 doi:10.56431/p-1tomyu CC BY 4.0. Published by Academic Open Access LTD, 2014 International Letters of Chemistry, Physics and Astronomy ISSN: 2299-3843, Vol. 39, pp 78-87 doi:10.56431/p-1tomyu CC BY 4.0. Published by Academic Open Access LTD, 2014 Online: 2014-10-02 Significant Influence of Annealing Temperature and Thickness of Electrode on Energy Conversion Efficiency of Dye Sensitized Solar Cell: Effect of Catalyst Jasim Uddin2, Jahid M. M. Islam1, Shauk M. M. Khan1, Enamul Hoque2, Mubarak A. Khan1,* 1Institute of Radiation and Polymer Technology, Bangladesh Atomic Energy Commission, P.O. Box 3787, Dhaka - 1000, Bangladesh *Fax: +880 2 7789343, *Phone: +880 2 7788245 2Department of Physics, Jahangirnagar University, Savar, Dhaka - 1342, Bangladesh 2Department of Physics, Jahangirnagar University, Savar, Dhaka - 1342, Bangladesh *E-mail address: makhan.inst@gmail.com This paper is an open access paper published under the terms and conditions of the Creative Commons Attribution license (CC BY) (https://creativecommons.org/licenses/by/4.0) International Letters of Chemistry, Physics and Astronomy Vol. 39 79 made of low-cost materials and do not need elaborate apparatus to manufacture. Conventional DSSCs consist of mainly five components: (1) a conductive and transparent mechanical support, (2) a wide band gap semiconductor film, (3) a sensitizer, (4) redox couple (usually I3ˉ/Iˉ) in an organic solvents and (5) a counter electrode. The successful combination of the materials involved in cell fabrication, as well as the precise methods used, will determine the final cell performance. In order to further improve the performances of DSSCs, extensive efforts are on-going for each of its constituent components and conditions including dye for sensitizer, electrolyte, paste formulation, catalyst for counter electrode [5], thickness of electrode [6-8] and annealing conditions [9-11] etc. In this paper our concentration is on catalyst, thickness and annealing temperature. Among these parameters the counter electrode is one of the most important components in the dye sensitized solar cell (DSSC). The task of the counter electrode is the reduction of the redox species used as a mediator in regenerating the sensitizer after electron injection or collection of the holes from the conducting material in a solid-state DSSC [12]. Recently, some carbon materials and conducting polymers were used as efficient catalysts on the counter electrode of DSSCs [13,14]. To make an inexpensive cell one should consider a low cost material such as a carbon catalyst for counter electrode. Here our objective is to find out a low cost suitable carbon catalyst for DSSC. On the other hand another parameter that influences the performance of DSSC significantly is thickness. Therefore, it is necessary to analyze the influence of various TiO2 film thickness values on electron transport to improve DSSC efficiency. A number of studies on the influence of TiO2 film thickness have focused on the transition of open circuit voltage, current density, fill factor, and efficiency and it is found that the cell’s overall energy conversion efficiency strongly depends on the surface and electronic properties of the electrode with thickness varying from several hundred nanometers up to 20 µm [15,16]. Recently, Shin et al. analyzed the effect of TiO2 film thickness on DSSC characteristics using electrochemical impedance spectroscopy [17]. Kao et al. and Barglio et al. reported the effect of TiO2 film thickness on DSSC performance and electrochemical behaviour [18,19]. K. Park et al. 1. INTRODUCTION Most of the power generated nowadays is produced using fossil fuels, which emit tons of carbon dioxide and other pollution every second. More importantly, fossil fuel will eventually run out. So people are looking for new source of substitute clean energy in order to make the development of our civilization sustainable and cause less harm to our environment. Although the photovoltaic devices promise to offer a clean solution to these problems, current silicon-based photovoltaic technologies are hindered by serious combustion pollution and high production cost. As a novel renewable and clean solar-to-electricity conversion system, dye-sensitized solar cells (DSSCs) have attracted the attention of researchers since they were introduced by O’Regan and Gratzel [1]. Since then, DSSCs have been widely explored as a matter of tremendous interest to academic and commercial researchers due to their low cost fabrication and relatively high conversion efficiencies (>10 %) [2-4]. These cells are extremely promising because they are International Letters of Chemistry, Physics and Astronomy Vol. 39 2. 4. Annealing electrode The electrodes were annealed at temperature ranging from 200 ºC – 550 ºC (200 ºC, 250 ºC, 300 ºC, 350 ºC, 400 ºC, 450 ºC, 500 ºC, 550 ºC) for half an hour with the help of a furnace. After the annealing was completed, the TiO2 coated conductive glass was allowed to cool slowly at room temperature and then the TiO2 coated glass plate was prepared for dye soaking. 2. 1. Materials Materials used in this experiment were Indium Tin Oxide (ITO) coated glass plate (Dyesol, Australia), TiO2 (Degussa P25, USA) Citric acid (C6H8O7), Polyethylene Glycol (PEG), Titanium IV Isopropxide (TTIP) (Merck, Germany), Triton X-100 (Merck, Germany), Acetone (BDH, UK), Ethanol (BDH, UK), Methanol (BDH, UK), Dye extracted from red amaranth (Amaranthus gangeticus, local Bangladeshi name lalshak) in our lab, Carbon, Potassium Iodide and Iodine. 2. 2. Preparation of TiO2 Paste 2 g of Degussa P25 powder was deposited in a beaker mixed with 0.1 M, 6 mL citric acid, 0.2 mL polyethylene glycol, 0.2 mL titanium (IV) isopropxide and 0.1 mL nonionic surfactant triton X-100. The mixture was well mixed with the help of a glass rod and then kept in an ultrasonic bath for half an hour for the production of suspension with a consistency of a thick paint produced. The prepared paste was coated on ITO glass with surface resistance of 10-30 ohms by using doctor blade technique. International Letters of Chemistry, Physics and Astronomy Vol. 39 concluded that an excessively thick TiO2 is not good for DSSC performance because of the electron recombination and the maximum photovoltaic conversion efficiency was achieved for a TiO2 film thickness of 9 µm [20]. Again another most important parameter that affects Dye-Sensitized Solar Cell (DSSC) characteristics is porosity. There are many aspects that can influence the porosity such as particles size of TiO2, annealing temperature and processing parameter or fabrication itself. In this paper, one of important parameter will be discussed, i.e., effect of annealing on characterization of TiO2 thin layer. Several researchers investigated the effect of annealing conditions and concluded that it has an important role in the efficiency of DSSC [21,22]. It is assumed that annealing process will improve electrical properties of this cell due to porosity effect. Annealing process can remove the binding and solvent which can increase electrically-connected network of TiO2 particles [23]. This condition will increase TiO2 performance as the electron transport. According to Chang-Ryul et al. [24] porosity is related with annealing duration and temperature, which affecting photocurrent density and the amount of absorbed dye. Now our objective of this research is to optimize annealing temperature and thickness of electrode and find out available suitable catalyst for counter electrode and then fabricate a complete DSSC. For this purpose firstly we searched a suitable catalyst keeping thickness and annealing temperature remained unchanged. After choosing catalyst thickness is optimized keeping temperature remain unchanged. Finally annealing temperature is optimized. Optimal ILCPA Volume 39 80 parameters were determined by measuring current and voltage with the help of a precision multimeter and then calculating maximum power point, fill factor and cell efficiency. 2. 3. Controlling the Thickness The thickness of the coating was controlled using the simplest and most widely used doctor-blade method. With this technique, the thickness of the paste layer is determined by the thickness of a spacer placed on both sides. Using the Scotch tape which has a thickness of 20 µm, 2 Layer = 40 µm, 3 Layer = 60 µm, 4 Layer = 80 µm and 5 Layer = 100 µm, with the conductive side facing up, apply two parallel strips of tape on the edges of the glass plate. The area of the middle of the glass is uncovered and where the TiO2 paste will be deposited. After depositing the paste remove the scotch tape. Two bare edges masked by the tape will give then room for future sealing and electrical contacts. where in P is the power of incident light. where in P is the power of incident light. where in P is the power of incident light. 2. 7. Assembling the Cell Electrode and counter electrode were combined together keeping TiO2 paste coated surface and the carbon coated surface face to face. 2/3 drops of electrolyte solution was given in the contact of two glasses and by the capillary action the electrolyte was uniformly distributed throughout the stained TiO2 film. Excess electrolyte from the exposed area of the glass was wiped off by using cotton or tissue. The complete cell was then taken to sunlight for harvesting energy. 2. 6. Preparing counter electrode and Electrolyte Carbon from various available sources has been collected to investigate its effect as a catalyst. Wood coal, char coal, soft pencil, hard pencil, carbon from recycled battery and tip of candle flame were used as catalyst. To prepare electrolyte 8.3 g of 0.5 M potassium iodide and 1.27 g of 0.05 M iodine was mixed in ethylene glycol until it is 100 mL. The solution was stored in a black bottle and was used when necessary. 2. 5. Extraction of natural dye and staining the electrode Red amaranth leaves were collected from local market and then washed and kept them some times for dried. 100 g of leaves were weighted and crushed in a mortar and pastel adding 50 mL of solvent. The extracted dye was filtered three times with a cotton cloth and stored in a dark bottle covered with aluminium foil paper. The TiO2 coated glass plate was soaked in dye and was kept at a dark place. The glass plate was washed by distilled water and then ethanol and dried in air for 30 minutes International Letters of Chemistry, Physics and Astronomy Vol. 39 International Letters of Chemistry, Physics and Astronomy Vol. 39 81 2. 8. Measuring electric properties Electrical properties were measured by using two digital multimeter keeping the cell in sunlight of approximately 100 mW/cm2 illumination. Current and voltage were measured by multimeters changing with resistance with the help of a variable resistor. Based on I-V curve, the fill factor (FF) was defined as ) /( ) ( max max oc sc V I V I FF    where max I and max V are the photocurrent and photovoltage for maximum power point ) ( max P . sc I and oc V are the short-circuit photocurrent and open-circuit photovoltage respectively. The overall energy conversion efficiency ) (is defined as where max I and max V are the photocurrent and photovoltage for maximum power point ) ( max P . sc I and oc V are the short-circuit photocurrent and open-circuit photovoltage respectively. The overall energy conversion efficiency ) (is defined as in oc sc P FF V I /) (     where in P is the power of incident light. 3. 1. Effects of Catalyst for Counter Electrode 3. 1. Effects of Catalyst for Counter Electrode Counter electrode (CE) of dye-sensitized solar cell (DSSC) can be prepared with different materials and methods. Here we prepared six samples of different catalyst and one for no catalyst. The photovoltaic performances of the DSSC based on different carbon catalysts counter electrode are shown in Fig. 1. ILCPA Volume 39 82 Fig. 1. Photovoltaic characteristic parameters of the DSSC with different Catalysts for counter electrode (A) Power density (B) Short circuit current density (C) Open circuit voltage. Fig. 1. Photovoltaic characteristic parameters of the DSSC with different Catalysts for counter electrode (A) Power density (B) Short circuit current density (C) Open circuit voltage. Open circuit voltage (Voc), short circuit current density (Jsc) and power density obtained for each DSSC are summarized in Table 1. Amongst the different catalyst of counter electrode the DSSC with tip of candle flame has shown maximum open circuit voltage 0.480 V and short circuit current density 0.85 mA/cm2 resulting maximum power density 0.408 mW/cm2. This indicates that tip of candle flame has strong catalytic activity toward the reduction of iodine electrolyte. Table 1. Photovoltaic parameters of the DSSC made with different Carbon catalyst for counter electrode. Name of Catalyst Voc[V] Jsc [mA/cm2] Power Density [mW/cm2] Wood coal 0.402 0.07 0.029 Char coal 0.442 0.05 0.022 Carbon from 4B Pencil 0.480 0.07 0.037 Carbon from HB Pencil 0.350 0.09 0.032 Table 1. Photovoltaic parameters of the DSSC made with different Carbon catalyst for counter electrode. Carbon from recycled battery 0.420 0.04 0.017 Tip of candle flame 0.480 0.85 0.408 No catalyst 0.418 0.07 0.030 International Letters of Chemistry, Physics and Astronomy Vol. 39 83 International Letters of Chemistry, Physics and Astronomy Vol. 39 83 Carbon from recycled battery 0.420 0.04 0.017 Tip of candle flame 0.480 0.85 0.408 No catalyst 0.418 0.07 0.030 3. 2. Effects of Thickness of TiO2 Film on Electrode TiO2 layer is the carrier of electron after it is excited by the organic dye. So it is necessary to recognize the semiconductor layer thickness dependency. In this experiment the thickness of TiO2 was controlled by the thickness of tape. Thus, by layering several pieces of tape on both sides of the ITO glass and then following the same rolling procedure as used for a normal cell, we can control the thickness of TiO2 in this simple way. However, it was only possible to measure several distinctive data point, i.e the integer times of thickness of the tape, because it is impossible to tape any decimal layer of tapes on the glass. All of the measurements were taken at the same temperature, amount of illumination and pressure. Fig. 2. shows the photovoltaic performances of the DSSC based on different thickness (20-80 µm) of TiO2 film. Open circuit voltage (Voc), short circuit current density (Jsc), fill factor (F.F.) and efficiency obtained for each DSSC are summarized in Table 2. The DSSC shows linear increase in efficiency, short circuit current density and fill factor with increase in thickness up to 40 µm and then decrease slightly as shown in Fig. 2.(A-C), respectively. p y Fig 2D shows that open circuit voltage decrease with increase in thickness. The efficiency, fill factor and short-circuit current density are maximum at the thickness of 40 µm and they are 0.20 %, 63 % and 0.70 mA/cm2 respectively. Therefore, the thickness was optimized and it was 40 μm. Table 2. Photovoltaic parameters of the DSSC for different thickness of TiO2 film. Sample number Thickness (µm) Voc[V] Jsc [mA/cm2] Pmax [mW] F.F. η % 1 20 0.485 0.62 0.186 0.62 0.19 2 40 0.455 0.70 0.200 0.63 0.20 3 60 0.377 0.32 0.067 0.56 0.07 4 80 0.362 0.24 0.047 0.54 0.05 5 100 Film was not stable Table 2. Photovoltaic parameters of the DSSC for different thickness of TiO2 film. ILCPA Volume 39 ILCPA Volume 39 84 Fig. 2. Photovoltaic characteristic parameters for the DSSC with various thickness of TiO2 film (A) Efficiency (B) Short circuit current density (C) Fill factor (D) Open circuit voltage. Fig. 2. Photovoltaic characteristic parameters for the DSSC with various thickness of TiO2 film (A) Efficiency (B) Short circuit current density (C) Fill factor (D) Open circuit voltage. 3. 3. Effects of Annealing Temperature of Electrode Table 3. Photovoltaic parameters of the DSSC annealed the electrode at various temperatures. Sample number Temperature [°C] Voc[V] Jsc [mA/cm2] Pmax [mW] F.F. η % 1 250 0.255 0.05 ----------- ----------- ----------- 2 300 0.360 0.09 ----------- ----------- ----------- 3 350 0.448 0.40 0.099 0.55 0.10 4 400 0.473 0.52 0.150 0.61 0.15 5 450 0.479 0.64 0.212 0.69 0.21 6 500 0.477 0.45 0.130 0.61 0.13 7 550 0.480 0.40 0.116 0.60 0.12 Table 3. Photovoltaic parameters of the DSSC annealed the electrode at various temperatures. International Letters of Chemistry, Physics and Astronomy Vol. 39 ational Letters of Chemistry, Physics and Astronomy Vol. 39 85 Fig. 3. Photovoltaic characteristic parameters for the DSSC with various Annealing temperature of TiO2 film (A) Efficiency (B) Short circuit current density (C) Fill factor (D) Open circuit voltage. Fig. 4. J–V and P-V curves of DSSC for maximum efficiency of 0.21 % using tip of candle flame as a catalyst for counter electrode, film thickness of electrode is 40 µm and annealing temperature was 450 °C. Fig. 3. Photovoltaic characteristic parameters for the DSSC with various Annealing temperature of TiO2 film (A) Efficiency (B) Short circuit current density (C) Fill factor (D) Open circuit voltage. Fig. 3. Photovoltaic characteristic parameters for the DSSC with various Annealing temperature of TiO2 film (A) Efficiency (B) Short circuit current density (C) Fill factor (D) Open circuit voltage. Fig. 4. J–V and P-V curves of DSSC for maximum efficiency of 0.21 % using tip of candle flame as a Fig. 4. J–V and P-V curves of DSSC for maximum efficiency of 0.21 % using tip of candle flame as a catalyst for counter electrode, film thickness of electrode is 40 µm and annealing temperature was 450 °C. Fig. 4. J–V and P-V curves of DSSC for maximum efficiency of 0.21 % using tip of candle flame as a catalyst for counter electrode, film thickness of electrode is 40 µm and annealing temperature was 450 °C. ILCPA Volume 39 86 Fig. 3. shows the photovoltaic performances of the DSSC based on different annealing temperature (250-550 °C) of the electrode. Open circuit voltage (Voc), short circuit current density (Jsc), fill factor (F.F.) and efficiency obtained for each DSSC are summarized in Table 3. Fig. 3 (A-C) shows that efficiency, short circuit current density and fill factor increase with temperature up to 450 °C and than decrease. Fig. 4. CONCLUSION In summary, counter electrodes for DSSC with different carbon materials were fabricated using the doctor blade method and was found that tip of candle flame is a suitable catalyst for energy conversion. Fabrication of photo-electrodes of different thicknesses (20 µm, 40 µm, 60 µm, 80 µm and 100 µm) revealed that an excessively thick TiO2 is not good for DSSC performance because of the electron recombination. The maximum photovoltaic conversion efficiency was achieved for a TiO2 film thickness of 40 µm. The influence of annealing temperature (250-550 °C) on the performance of DSSC with TiO2 films was studied and it was optimized at 450 °C. So, this paper describes a low cost and effective technique to fabricate dye sensitized solar cell using a novel locally available natural dye having promising energy conversion efficiency. 3. 3. Effects of Annealing Temperature of Electrode 3D shows that open circuit voltage increase with increase in temperature up to 400 °C and after that Voc was almost constant in spite of increasing temperature. It was found that annealing temperature had significant effects on the cell performance. Maximum cell efficiency was 0.21 % and it was for the temperature of 450 °C. ACKNOWLEDGEMENTS This work was funded by Ministry of Science and Technology, Government of Bangladesh and supported by the University Grand Commission of Bangladesh and Ministry of Education, Bangladesh. This work was carried out in Institute of Radiation and Polymer Technology (IRPT) lab of Bangladesh Atomic Energy Research Establishment (AERE) and Department of Physics of Jahangirnagar University. [6] K.H. Park, T.Y. Kim, J. H. Kim, H.J. Kim, C. K. Hong, J.W. Lee, Journal of Electroanalytical Chemistry 708 (2013) 39-45. References [1] B. O’Regan, M. Grätzel, Nature 353 (1991) 737-740 [2] N.G. Park, K.M. Kim, M.G. Kang, K.S. Ryu, S.H. Chang, Y.J. Shin, Advanced Materials 17 (2005) 2349-2353. ] K. Lee, S.W. Park, M.J. Ko, K. Kim, N.G. Park, Nat. Mater. 8 (2009) 665-671. [3] K. Lee, S.W. Park, M.J. Ko, K. Kim, N.G. Park, Nat. Mater. 8 (2009) 665-6 [4] W. Lee, S.J. Roh, K.H. Hyung, J. Park, S.H. Lee, S.H. Han, Sol. Energy 83 (2009) 690- 695. [4] W. Lee, S.J. Roh, K.H. Hyung, J. Park, S.H. Lee, S.H. Han, Sol. Energy 83 (2009) 690- 695. [5] U. Rehman, A. U. Asar, N. Ullah , R..Ullah, M. Imarn, International Journal of Engineering & Technology 12(05) (2012). [6] K.H. Park, T.Y. Kim, J. H. Kim, H.J. Kim, C. K. Hong, J.W. Lee, Journal of Electroanalytical Chemistry 708 (2013) 39-45. International Letters of Chemistry, Physics and Astronomy Vol. 39 International Letters of Chemistry, Physics and Astronomy Vol. 39 87 [7] J. Kr´ysa, M. Baudys, M. Zlámal, H. Kr´ysová, M. Morozová, P. Kluso, Photocatalytic and photoelectrochemical properties of sol-gel TiO2 films of controlled thickness and porosity, Catalysis Today xxx (2014) article in press. [8] M. Fitra, I. Daut, M. Irwanto, N. Gomesh, Y.M. Irwan, Energy Procedia 36 (2013) 278286. [9] L. Lu, R. Li, K. Fan, T. Peng, Solar Energy 84 (2010) 844-853. [10] K.C. Huanga, Y.C. Wang, P.Y. Chen, Y.H. Lai, J.H, Huang, Y.H. Chen, R.X. Dong, C.W. Chu, J.J. Lin, K.C. Ho, Journal of Power Sources 203 (2012) 274-281. [11] C.M. Chen, Y.C. Hsu, S.J. Cherng, Journal of Alloys and Compounds 509 (2011) 872- 877. [12] T.N Murakami, M Gratzel, Inorganica Chimica Acta 361 (2008) 572-580. [13] S. Ahmad, J.H. Yum, Z. Xianxi, M. Gratzel, H.J. Butt, M.K. Nazeeruddin, J. Mater. Chem. 20 (2010) 1654-1658. [14] J.D.R. Mayhew, D.J. Bozym, C. Punckt, I.A. Aksay, ACS Nano. 4 (2010) 6203-6211. [15] M. Grätzel, J. Photochem. Photobiol. C. 4 (2003) 145-153. [14] J.D.R. Mayhew, D.J. Bozym, C. Punckt, I.A. Aksay, ACS Nano. 4 (2010) 6203-6211. [15] M. Grätzel, J. Photochem. Photobiol. C. 4 (2003) 145-153. 6] L. Yang, Z.X. Zhang, S.H. Fang, X.H. Gao, M. Obata, Solar Energy 81 (2007) 717- [16] L. Yang, Z.X. Zhang, S.H. Fang, X.H. Gao, M. Obata, Solar Energy 81 (2007) 717 722. [17] Shin, H. Seo, M.K. Son, J.K. Kim, K. Prabakar, H.J. Kim, Curr. Appl. Phys. 10 (2010) S422-S424. [18] M.C. Kao, H.Z. Chen, S.L. ( Received 05 September 2014; accepted 14 September 2014 ) References Young, C.Y. Kung, C.C. Lin, Thin Solid Films 517 (2009) 5096-5099. [19] V. Baglio, M. Giolamo, V. Antonucci, S. Aroco, Int. J. Electrochem. Sci. 6 (2011) 3375-3384 [20] K.H. Parka, T.Y. Kim, J.H. Kim, H.J. Kim, C.K. Hong, J.W. Lee, Journal of Electroanalytical Chemistry 708 (2013) 39-45. [21] L. Lu, R. Li, K. Fan, T. Peng, Solar Energy 84 (2010) 844-853. [22] C.M. Chen, Y.C. Hsu, S.J. Cherng, Journal of Alloys and Compounds 509 (2011) 872877. [23] A.F. Nogueira, C. Longo, M.A. Paoli, Coordination Chemistry Reviews 248 (2004) 1455-1468. [24] C.R. Lee, H.S. Kim, N.G. Park, Front. Optoelectron. China. 4 (1) (2001) 59-64. ( Received 05 September 2014; accepted 14 September 2014 )
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Bioorthogonally Cross‐Linked Hyaluronan–Laminin Hydrogels for 3D Neuronal Cell Culture and Biofabrication
Advanced healthcare materials/Advanced Healthcare Materials
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1. Introduction Rasti Boroojeni, L. Civitelli, R. Selegård, D. Aili Laboratory of Molecular Materials Division of Biophysics and Bioengineering Department of Physics, Chemistry and Biology Linköping University Linköping 581 83, Sweden E-mail: daniel.aili@liu.se I. Matthiesen, S. L. Ludwig, T. E. Winkler, A. Herland Division of Micro and Nanosystems KTH Royal Institute of Technology Stockholm 100 44, Sweden E-mail: aherland@kth.se The ORCID identification number(s) for the author(s) of this article can be found under https://doi.org/10.1002/adhm.202102097 © 2022 The Authors. Advanced Healthcare Materials published by Wiley-VCH GmbH. This is an open access article under the terms of the Creative Commons Attribution License, which permits use, distribution and reproduction in any medium, provided the original work is properly cited. http://www.diva-portal.org http://www.diva-portal.org http://www.diva-portal.org This is the published version of a paper published in Advanced Healthcare Materials. Citation for the original published paper (version of record): Access to the published version may require subscription. http://urn.kb.se/resolve?urn=urn:nbn:se:kth:diva-310562 www.advhealthmat.de RESEARCH ARTICLE www.advhealthmat.de 1. Introduction Laminins (LNs) are key components in the extracellular matrix of neuronal tissues in the developing brain and neural stem cell niches. LN-presenting hydrogels can provide a biologically relevant matrix for the 3D culture of neurons toward development of advanced tissue models and cell-based therapies for the treatment of neurological disorders. Biologically derived hydrogels are rich in fragmented LN and are poorly defined concerning composition, which hampers clinical translation. Engineered hydrogels require elaborate and often cytotoxic chemistries for cross-linking and LN conjugation and provide limited possibilities to tailor the properties of the materials. Here a modular hydrogel system for neural 3D cell cultures, based on hyaluronan and poly(ethylene glycol), that is cross-linked and functionalized with human recombinant LN-521 using bioorthogonal copper-free click chemistry, is shown. Encapsulated human neuroblastoma cells demonstrate high viability and grow into spheroids. Long-term neuroepithelial stem cells (lt-NES) cultured in the hydrogels can undergo spontaneous differentiation to neural fate and demonstrate significantly higher viability than cells cultured without LN. The hydrogels further support the structural integrity of 3D bioprinted structures and maintain high viability of bioprinted and syringe extruded lt-NES, which can facilitate biofabrication and development of cell-based therapies. Neurological disorders caused by tumors, degeneration, trauma, infections, congeni- tal or structural defects are combined the second leading cause of death globally.[1,2] Access to physiologically relevant human neuronal tissue- and disease models is required to improve treatment outcomes and accelerate drug development, which has sparked considerable interest in tech- niques for generating organoids, organs- on-chips and 3D bioprinted constructs with tissue- and organ-like properties.[3–6] New innovative technologies have further facilitated this development for additive manufacturing and advancements in stem cell technologies.[7] The latter has also spawned many opportunities for exploring and translating novel therapeutic strategies for neurodegenerative disorders or trau- matic injuries.[8–11] Due to the high sen- sitivity of neural tissues to damage and their minimal regenerative capacity, repar- ative and regenerative treatment modali- ties based on stem cell transplantation offer L. Civitelli Nuffield Department of Clinical Neurosciences John Radcliffe Hospital West Wing University of Oxford Oxford OX3 9DU, UK T. E. Winkler Institute of Microtechnology Center of Pharmaceutical Engineering Technische Universität Braunschweig Braunschweig 38106, Germany A. Herland AIMES, Center for Integrated Medical and Engineering Science Department of Neuroscience Karolinska Institute Solna 171 65, Sweden A. Herland Division of Nanobiotechnology Department of Protein Science, Science for Life Laboratory KTH Royal Institute of Technology Stockholm 17165, Sweden M. Jury, F. M. Jury, F. Rasti Boroojeni, L. Civitelli, R. Selegård, D. Aili Laboratory of Molecular Materials Division of Biophysics and Bioengineering Department of Physics, Chemistry and Biology Linköping University Linköping 581 83, Sweden E-mail: daniel.aili@liu.se I. Matthiesen, S. L. Ludwig, T. E. Winkler, A. Herland Division of Micro and Nanosystems KTH Royal Institute of Technology Stockholm 100 44, Sweden E-mail: aherland@kth.se DOI: 10.1002/adhm.202102097 Adv. Healthcare Mater. 2022, 2102097 2102097 (1 of 16) Adv. Healthcare Mater. 2022, 2102097 © 2022 The Authors. Advanced Healthcare Materials published by Wiley-VCH GmbH © 2022 The Authors. Advanced Healthcare Materials published by Wiley-VCH GmbH www.advhealthmat.de www.advancedsciencenews.com photo-polymerization or involve reactions that are difficult to con- trol in a biological context due to cross-reactivity or poor sta- bility of the functional groups.[45] Bioorthogonal strategies, e.g., copper-free click chemistry, have emerged as attractive options for hydrogel cross-linking and can facilitate in situ cell encapsu- lation and biofabrication.[38,46–48] new possibilities to relieve symptoms and restore function after injury or disease.[12,13] Both the engineering of functional cellular architectures and the development of cell-based therapies require well-defined materials that can mimic the function of the native extracellular matrix (ECM).[14–16] The ECM offers structural sup- port for cells in all tissues and organs, orchestrates numerous cellular processes, and is critical for cell function and guiding cell behavior and differentiational fate.[17,18] The ECM is a dy- namic and spatially heterogeneous biomolecular material com- prised of glycosaminoglycans (GAGs), proteoglycans, glycopro- teins, and fibrous proteins.[19] In neural tissues the ECM has a unique composition with large quantities of lecticans and GAGs, such as hyaluronic acid (HA), whilst collagen, vitronectin, fi- bronectin, and other fibrous proteins are less abundant. [20,21] HA is critical for neuronal development and commonly local- ized in neural stem cell (NSC) niches.[22,23] The developing brain is also rich in laminins (LNs).[24] LNs are large heterotrimeric proteins (400–900 kDa), consisting of an 𝛼, 𝛽, and 𝜆-chain. LNs are abundant in the basal lamina and are closely associated with neuronal development and known to promote and guide neurite outgrowth[25] and to stabilize neuronal synapses.[26] More than sixteen different LN trimers have been identified, comprising dif- ferent combinations of the 𝛼, 𝛽, and 𝜆-chains,[27,28] and the iso- forms are named based on the respective combination of these chains. While several different laminins are relevant in the neu- rodevelopmental process, [29] we chose to work with the isoform LN-521 as it has previously been used for in vitro studies of NSC differentiation.[30,31] Because of the critical role of LNs in neural tissue development,[49] several different strategies have been de- veloped to incorporate full-size LN, including LN derived from Engelbreth-Holm-Swarm murine sarcoma,[50,51] as well as re- combinant LN-411, LN-111, and LN-521,[52] in engineered ECM mimicking hydrogels to mimic the native 3D microenviron- ment better. DOI: 10.1002/adhm.202102097 Whereas affinity-based interactions[53] or physical trapping of LN in the hydrogel network[52] reduce the risk of interfering with LN structure and function, the LN gradually dissociates from the hydrogels over time. Covalent conjugation can result in more efficient retention of LN in the hydrogels[54,55] but can compromise LN function if not carefully optimized. Difficulties in controlling and tuning both cross-linking kinetics and LN biofunctionalization simultaneously[50,51,56] can further complicate the development of generic LN-presenting hydrogel systems for cell-based therapeutics and bioinks. In this work, we have developed an injectable and 3D bioprinting-compatible modular HA-based hydrogel system that allows for convenient integration and efficient retention of re- combinant LN-521. LN-521 is expressed by both neuroepithelial cells and radial glial cells, along with LN-511 and LN-111, and are essential for the survival, proliferation, and differentiation of NSCs. We select recombinant LN-521 since it has been widely used for stem cell expansion and the generation of neural pro- genitor cells for disease models and stem cell therapies.[16,57,58] We cross-linked the LN-521 presenting hydrogels by bioorthog- onal copper-free click chemistry, which enabled tuning of ma- terial properties and creation of biologically relevant microen- vironments evidenced by supported encapsulation and culture of both human neuroblastoma cells (SH-SY5Y) and human- induced pluripotent stem cell (hiPSC)-derived lt-NES. The strat- egy for LN conjugation is generic and would also be applicable for other LN isoforms of relevance for neuronal applications, such as LN-111. Copper-free click chemistry based on a strain- promoted azide-alkyne cycloaddition (SPAAC) is a rapid and re- liable method for hydrogel cross-linking and does not require use of cytotoxic catalysts or UV light.[59] Furthermore, the tun- able rheological properties of the hydrogels provided a protective effect on the lt-NES during syringe extrusion in an in vitro model for cell injection therapy. In addition, 3D bioprinting of the cell- laden hydrogels allowed for the fabrication of structurally well- defined constructs with high cell viabilities, facilitating further development of advanced tissue and disease models. In addition to providing an adequate and biologically relevant microenvironment, ECM mimicking materials developed for bio- fabrication, and therapeutic applications must be compatible with the required processing conditions, including syringe extru- sion, while maintaining high cell viabilities. 2. Experimental Section Detailed methods can be found in the Supporting Information. DOI: 10.1002/adhm.202102097 Whereas biologically derived hydrogels, such as Matrigel, to a certain extent fulfill the requirements for biological relevance, these animal-derived ma- terials are poorly defined concerning composition and can suffer from large batch-to-batch variations that can compromise repro- ducibility and make clinical translation very challenging.[32–34] In addition, the limited possibilities to tailor the properties of bi- ologically derived ECM hydrogels make them difficult to adapt to a 3D bioprinting process or to integrate into microfluidic de- vices for the development of organ-on-chips. Engineered ECM mimicking materials are typically designed with the ambition to address these shortcomings. Biopolymers, such as alginate,[35] collagen,[36] elastin,[37] hyaluronic acid,[38] and synthetic poly- mers based on, e.g., poly(ethylene glycol) (PEG),[39] poly(vinyl alcohol),[40] or poly(2-hydroxyethyl methacrylate),[41] are widely used in the fabrication of ECM mimicking hydrogels. The po- tential to process the hydrogels and their performance for cell culture is, in addition to composition, highly dependent on poly- mer cross-linking chemistry and network topology as well as cross-linking kinetics and density.[42,43] Whereas supramolecular cross-linking strategies based on molecular self-assembly, or ion- coordination are well tolerated by cells and allow for in situ/in vivo gelation, the resulting hydrogels are inherently weak and dynamic, leading to uncontrolled and gradual dissolution over time.[44] Covalently cross-linked hydrogels are typically more ro- bust and can cover a wider stiffness range but often rely on chemistries that can harm cell viability, such as UV-triggered Adv. Healthcare Mater. 2022, 2102097 3.1. Hydrogel Design lt-NES[64] C9 were provided by the iPS Core facility (Karolinska Institute) and were previously derived from hiPSC C9.[65] 250 000 lt-NES were encapsulated in 50 μL 1% HA-based LN functional- ized hydrogels, five days after withdrawal of growth factors to in- duce spontaneous differentiation. lt-NES were allowed to differ- entiate spontaneously for an additional 7 days. The results were benchmarked against both Matrigel and 2D cultures on tissue culture plates. The effects of LN on differentiation and viability were investigated using AB at 1, 3, and 7 days of subculture. After 7 days of subculture, the mRNA expression of the stem cell mark- ers Sex determining region Y-box 2 (SOX2) and Nestin (NES) and the neuronal markers Doublecortin (DCX), Tubulin Beta 3 Class III (TUBB3), and Synapsin-1 (SYN1) were investigated with qPCR. The hydrogels were further stained for DCX, TUBB3, and F-actin to visualize the morphology of the cells including process outgrowth by confocal imaging. We developed a modular approach based on copper-free click chemistry to generate HA-based LN-521 functionalized hy- drogels with tunable stiffness for neural cell encapsulation. HA:PEG hybrid hydrogels were prepared by combining bicy- clo[6.1.0]nonyne (BCN) modified HA (≈100 kDa) and an 8-arm PEG with terminal azide (Az) groups ((PEG-Az)8) as previously described.[60,61] The SPAAC reaction between BCN and Az is rapid, allows for efficient and tunable cross-linking,[38,69] and re- sults in optically transparent hydrogels (Figure S1, Supporting Information). To obtain hydrogels with a modulus in the range of neural tissue (G′ ≈100–1000 Pa)[70,71] we prepared the hy- drogels at a ratio of BCN to Az of 10:1 and a concentration of 1 and 2% (w/v) of the polymers (Figure 1a), which also preserved a sufficient amount of BCN groups (≈90%) for coupling of LN. For conjugation of LN to the hydrogels, LN-521 was first mod- ified with Az groups using carbodiimide chemistry.[72] The Az groups were coupled to LN using linkers of two lengths to opti- mize LN conjugation and retention in the hydrogels. The longer linker comprised four ethylene glycol units, and the shorter was based on a three-carbon linker, referred to as LN-p-Az and LN-Az, respectively (Figure 1b). After purification, LN-Az/LN-p-Az (LN- (p)-Az) was combined with HA-BCN to allow HA-BCN to bind to LN. We then cross-linked the constructs by the addition of (PEG- Az)8 (Figure 1a). 3.1. Hydrogel Design In the absence of LN, the storage modulus (G′) of the hydrogels was ≈350 and 650 Pa for 1% and 2% (w/v) hy- drogels, respectively, which is in the desired range for the cul- ture of neurons (Figure 1c,d). Previous works by Saha et al.[73] and Banerjee et al.[74] have demonstrated that hydrogels in this stiffness range enhance proliferation and differentiation of NSCs compared to when cultured in stiffer gels. The addition of LN-Az or LN-p-Az (0.83 × 10−6 m) did not have any significant effect on the stiffness of the hydrogels (Figure 1c–e) nor the gelation kinetics (Figure 1f). The gelation point (G′ = G″) was reached directly after mixing the components at 37 °C in PBS, and the hydrogels reached close to final stiffness in about 20 min. This 2.5. Statistical Analysis ((PEG-Az)8) as previously described.[60,61] LN was modified with azide (Az) moieties using linkers of different lengths (LN-Az and LN-p-AZ) and was conjugated to HA-BCN, after which (PEG-Az)8 was added to form the final hydrogel at 37 °C. The hydrogels were analyzed by rheology and scanning electron microscopy. In addi- tion, the effect of Az-functionalization on LN retention was mea- sured using fluorescence spectroscopy. Image analysis was performed using ImageJ[66] or Fiji.[67] Sample sizes (N) and p-values (p) for all data sets are indicated in the cor- responding figure legends. The statistical analysis on AB assayed cell viability (Figure 3) and rheological measurements (Figure 1) was performed using ANOVA followed by a Tukey HSD post hoc test.[68] Error bars are mean ± standard deviation and significance was defined as p ≤0.05. The statistical analysis for the viability of 3D differentiation of lt-NES (Figure 4), mRNA expression (Fig- ure 5; Figure S6, Supporting Information) and survival of ejected lt-NES (Figure 6) was performed using Origin Pro (OriginLab, USA). N designates individual hydrogel replicates, and p-values were derived using linear mixed models (LMM). Outliers were removed with Grubb’s test (Figure 6). For qPCR data (Figure 5; Figure S6, Supporting Information), Ct higher than 35 as well as technical duplicates with values differing by more than 1 were removed. Additional details on calculations can be found in the Supporting Information. 2.2. SH-SY5Y Cell Culture and Differentiation SH-SY5Y (ATCC CRL-2266) is a neuroblastoma cell line origi- nally derived from a metastatic bone tumor and has been shown to express neuronal properties.[62,63] Both differentiated and un- differentiated SH-SY5Y cells were encapsulated in 1% and 2% w/v hydrogels, with and without LN, and cultured for 10 days. Cells were seeded at a density of 2000 cells per μL of hydrogel. Cell viability was assessed using an Alamar blue (AB) assay at 3, 7, and 10 days of culture, and stained for the HA-receptor cluster of differentiation 44 (CD44) and F-actin and imaged using con- focal fluorescence microscopy. 2.1. Laminin Labeling and Formation of Hydrogel Hyaluronan–poly(ethylene glycol) (HA:PEG) hybrid hydrogels were prepared by combining bicyclo[6.1.0]nonyne (BCN) mod- ified HA (≈100 kDa) and an 8-arm PEG with terminal azides 2102097 (2 of 16) © 2022 The Authors. Advanced Healthcare Materials published by Wiley-VCH GmbH www.advhealthmat.de www.advancedsciencenews.com © 2022 The Authors. Advanced Healthcare Materials published by Wiley-VCH GmbH © 2022 The Authors. Advanced Healthcare Materials published by Wiley-VCH GmbH Adv. Healthcare Mater. 2022, 2102097 Adv. Healthcare Mater. 2022, 2102097 2102097 (4 of 16) Adv. Healthcare Mater. 2022, 2102097 2102097 (4 of 16) 2.4. Syringe Ejection and 3D Bioprinting To test whether the hydrogel could serve as a protecting matrix for stem cell therapy applications, lt-NES were encapsulated in 1% HA:PEG hydrogels and ejected through a 27G syringe nee- dle using a syringe pump in 30 μL hydrogels with 100 000 cells each. Viability was compared to cells suspended in media and ejected under otherwise identical conditions. To optimize the ex- perimental setup, a 5 mg mL−1 collagen gel was used initially. After ejection, cell viability was determined both at an immedi- ate stage and after 24 h using a Live/Dead stain. Bioprinting was conducted using a Cellink BioX equipped with a 27G needle at 1 kPa pressure and 25 mm s−1 followed by incubation at 37 °C. The bioink was prepared by mixing cells, HA-BCN and (PEG- Az)8 with or without LN. The bioink was partially cross-linked for 10 min at room temperature prior to printing. Cell viability was investigated using a Live/Dead assay and imaged using confocal microscopy. 2102097 (3 of 16) © 2022 The Authors. Advanced Healthcare Materials published by Wiley-VCH GmbH Adv. Healthcare Mater. 2022, 2102097 www.advancedsciencenews.com www.advhealthmat.de Figure 1. a) Schematic illustration of the modular HA:PEG-LN hydrogel system: (1) The hydrogel components HA-BCN and (PEG-Az)8. (2) For conju- gation of LN to the hydrogels, Az-functionalized LN was first conjugated to HA-BCN prior addition of (PEG-Az)8. (3) For cell encapsulation, cells were suspended in media together with (PEG-Az)8. (4) The (PEG-Az)8 cell suspension was then mixed with HA-BCN ± LN to generate HA:PEG-LN. LN was also labeled with Cy3 to determine conjugation efficiency and facilitate visualization of LN distribution. b) LN was functionalized with Az-terminated amine-reactive molecules with either (1) a four-ethylene glycol unit linker (LN-p-Az), or (2) a shorter three-carbon linker (LN-Az). Oscillatory strain sweeps of HA:PEG-(LN) hydrogels with concentrations of c) 1% (w/v) and d) 2% (w/v). e) No significant (n.s.; p > 0.05) difference in G′ at 1% strain was seen for any of the conditions at the same hydrogel concentration. Statistical analysis is ANOVA with Tukey’s HSD. f) Hydrogel gelation kinetics. N = 4 for strain sweep and gelation kinetic measurements, where each is a separate hydrogel. Error bars are standard deviation. g) Scanning electron images of hydrogels with and without LN-(p)-Az. www.advhealthmat.de Figure 1. a) Schematic illustration of the modular HA:PEG-LN hydrogel system: (1) The hydrogel components HA-BCN and (PEG-Az)8. © 2022 The Authors. Advanced Healthcare Materials published by Wiley-VCH GmbH 2.4. Syringe Ejection and 3D Bioprinting (2) For conju- gation of LN to the hydrogels, Az-functionalized LN was first conjugated to HA-BCN prior addition of (PEG-Az)8. (3) For cell encapsulation, cells were suspended in media together with (PEG-Az)8. (4) The (PEG-Az)8 cell suspension was then mixed with HA-BCN ± LN to generate HA:PEG-LN. LN was also labeled with Cy3 to determine conjugation efficiency and facilitate visualization of LN distribution. b) LN was functionalized with Az-terminated amine-reactive molecules with either (1) a four-ethylene glycol unit linker (LN-p-Az), or (2) a shorter three-carbon linker (LN-Az). Oscillatory strain sweeps of HA:PEG-(LN) hydrogels with concentrations of c) 1% (w/v) and d) 2% (w/v). e) No significant (n.s.; p > 0.05) difference in G′ at 1% strain was seen for any of the conditions at the same hydrogel concentration. Statistical analysis is ANOVA with Tukey’s HSD. f) Hydrogel gelation kinetics. N = 4 for strain sweep and gelation kinetic measurements, where each is a separate hydrogel. Error bars are standard deviation. g) Scanning electron images of hydrogels with and without LN-(p)-Az. Figure 1. a) Schematic illustration of the modular HA:PEG-LN hydrogel system: (1) The hydrogel components HA-BCN and (PEG-Az)8. (2) For conju- gation of LN to the hydrogels, Az-functionalized LN was first conjugated to HA-BCN prior addition of (PEG-Az)8. (3) For cell encapsulation, cells were suspended in media together with (PEG-Az)8. (4) The (PEG-Az)8 cell suspension was then mixed with HA-BCN ± LN to generate HA:PEG-LN. LN was also labeled with Cy3 to determine conjugation efficiency and facilitate visualization of LN distribution. b) LN was functionalized with Az-terminated amine-reactive molecules with either (1) a four-ethylene glycol unit linker (LN-p-Az), or (2) a shorter three-carbon linker (LN-Az). Oscillatory strain sweeps of HA:PEG-(LN) hydrogels with concentrations of c) 1% (w/v) and d) 2% (w/v). e) No significant (n.s.; p > 0.05) difference in G′ at 1% strain was seen for any of the conditions at the same hydrogel concentration. Statistical analysis is ANOVA with Tukey’s HSD. f) Hydrogel gelation kinetics. N = 4 for strain sweep and gelation kinetic measurements, where each is a separate hydrogel. Error bars are standard deviation. g) Scanning electron images of hydrogels with and without LN-(p)-Az. Adv. Healthcare Mater. 2022, 2102097 2102097 (4 of 16) Adv. Healthcare Mater. 2022, 2102097 www.advancedsciencenews.com www.advhealthmat.de Figure 2. a) Fluorescence images of the Cy3-labeled LN-(p)-Az conjugated in the HA:PEG hydrogels. Scale bars: 100 μm. b) LN-positive pixels determined from fluorescence images of the hydrogels, N = 4 for each condition, n.s. = not significant (p > 0.05). c) Cumulative release of unbound LN, LN-p-Az, and LN-Az from hydrogels with 1% and 2% (w/v) for 7 days, N = 6. d) Percentage release at 24 h showing statistical significance pairings where ** = p < 0.01 using ANOVA followed by Tukey’s HSD. All error bars are standard deviation. www.advhealthmat.de www.advancedsciencenews.com Figure 2. a) Fluorescence images of the Cy3-labeled LN-(p)-Az conjugated in the H from fluorescence images of the hydrogels, N = 4 for each condition, n.s. = not s d LN A f h d l ith 1% d 2% ( / ) f 7 d N 6 d) P t Figure 2. a) Fluorescence images of the Cy3-labeled LN-(p)-Az conjugated in the HA:PEG hydrogels. Scale bars: 100 μm. b) LN-positive pixels determined from fluorescence images of the hydrogels, N = 4 for each condition, n.s. = not significant (p > 0.05). c) Cumulative release of unbound LN, LN-p-Az, and LN-Az from hydrogels with 1% and 2% (w/v) for 7 days, N = 6. d) Percentage release at 24 h showing statistical significance pairings where ** = p < 0.01 using ANOVA followed by Tukey’s HSD. All error bars are standard deviation. © 2022 The Authors. Advanced Healthcare Materials published by Wiley-VCH GmbH Adv. Healthcare Mater. 2022, 2102097 © 2022 The Authors. Advanced Healthcare Materials published by Wiley-VCH GmbH 3.2. Laminin Distribution and Retention time frame is sufficiently fast to prevent cell sedimentation while allowing enough time for handling and bioprinting. In previous work, we have also observed that the gelation kinetics for SPAAC cross-linking is highly temperature dependent and gelation can be delayed significantly when performed at room temperature and almost completely inhibited at 4 °C, [38] which can further facilitate processing of the hydrogels. To characterize the influence of Az modification and linker length on the retention of LN in the hydrogels, we further la- beled the LN with Cy3. Fluorescence images of the hydrogels functionalized with Cy3-labeled LN-(p)-Az show a homogenous distribution of the LN with a small number of visible aggregates (Figure 2a). Based on the relative intensity of LN-Cy3 from the fluorescence images, we can conclude that about twice as much LN was conjugated to the 2% (w/v) compared to the 1% (w/v) hydrogels and that LN-p-Az features more efficient conjugation compared to LN-Az (Figure 2b). To further determine the effec- tiveness of the conjugation strategies, we monitored the cumu- lative release of LN for 7 days (Figure 2c). For the non-Az func- tionalized LN, a substantial burst release was seen over the first 24 h, corresponding to about 40% of the incorporated LN (Fig- ure 2d). However, after the initial burst release, limited further release was observed, and a large fraction of the nonconjugated LN was consequently physically trapped in the hydrogel. This is Scanning electron images of freeze-dried hydrogels did not reveal any substantial differences between the LN and non-LN- containing hydrogels (Figure 1g). All hydrogels showed large hexagonal and interconnected pores, 50–100 μm in size. The lower weight percentage hydrogels, 1% (w/v), showed thinner pore walls and a more fibrillar structure than hydrogels pre- pared at a concentration of 2% (w/v). Pores in this size range can facilitate cell migration and cell–cell contacts and diffusion of oxygen, nutrients, and other critical factors for cell survival, proliferation, and function without a vascular system.[75,76] The porous microarchitecture can also influence and promote neu- rite outgrowth.[76,77] 2102097 (5 of 16) 2102097 (5 of 16) 3.3. Encapsulation and 3D Culture of SH-SY5Y Cells Physical trapping of full-length recombinant LN-521 in spider- silk-based hydrogels has previously been demonstrated to sup- port expansion of human pluripotent stem cells and subsequent neural differentiation.[52] LNs covalently conjugated to oxidized alginate/gelatin hydrogels further facilitate neuronal differenti- ation and growth of embedded hiPSC-derived neurospheres.[56] LN conjugated to oxidized methyl cellulose-based hydrogels us- ing a Schiffbase reaction was also found to support cell attach- ment and survival of primary neurons isolated from embryonic day 18 Sasco Sprague-Dawley rats.[50] Encouraged by these find- ings and the possibilities to efficiently conjugate and retain LN in the HA-based hydrogels proposed here, combined with the bioorthogonal and tunable hydrogel cross-linking chemistry, led us to investigate neural cell encapsulation and further develop- ment of bioinks. We employed the human neuroblastoma cell line SH-SY5Y for initial evaluation and optimization of the cul- turing conditions. This cell line has been used extensively as a model system for neurodegenerative disease in 2D and 3D cultures,[78–81] and can also be differentiated into a more expan- sive and branched neuronal phenotype. SH-SY5Y was thus con- sidered as a robust option for initial exploration of the hydrogel system for neural cell culture and biofabrication, prior proceed- ing with the sensitive but more clinically and translationally rel- evant human iPSC-derived NSCs. We first cultured undifferentiated SH-SY5Y cells in the hydro- gels with and without LN. Samples imaged at time points of 1-, 3-, and 7-days showed even cell dispersal across all conditions with cells forming small multicellular spheroids within the hy- drogels with few truncated processes (Figure S2, Supporting In- formation), which is characteristic for undifferentiated SH-SY5Y cells. We used confocal imaging to confirm the spheroid-like morphology observed (Figure 3a; Figure S3, Supporting Infor- mation). The viability of the encapsulated cells was determined using an AB assay, which revealed high metabolic activity for the cells over 10 days, with no or minor differences between the con- ditions concerning LN-functionalization hydrogel concentration (Figure 3b). Thus, with or without the added functionalization of LN, the HA:PEG hydrogel system can efficiently sustain the neu- roblastoma cells. 2102097 (5 of 16) Adv. Healthcare Mater. 2022, 2102097 © 2022 The Authors. Advanced Healthcare Materials published by Wiley-VCH GmbH www.advhealthmat.de www.advancedsciencenews.com morigenic properties of neuroblastoma cells. Subpopulations of SH-SY5Y cells have been shown to express CD44.[83] As indicated by immunostaining, the undifferentiated SH-SY5Y cells express CD44 when cultured in HA:PEG, both in the absence and pres- ence of LN-p-Az, providing additional means for cell adhesion to the hydrogels in addition to integrin–LN interactions (Figure S4, Supporting Information). likely due to the high molecular weight of LN (≈850 kDa), result- ing in a slow diffusion in the hydrogel polymer network. How- ever, LN modified with Az via both the shorter (LN-Az) and the longer and more flexible linker (LN-p-Az) was found to be sub- stantially more efficiently retained in the hydrogels with a cumu- lative release of less than 5% for the 2% (w/v) HA:PEG hydrogels, indicating successful conjugation to the HA backbone. pp g ) To induce differentiation of the SH-SY5Y cells, retinoic acid (RA, 10 μm) was added to the cell culture medium 7 days before encapsulation in the hydrogels. RA has highly potent growth-inhibiting and cellular differentiation-promoting proper- ties and triggers differentiation, primarily to a cholinergic neu- ronal phenotype.[84,85] The differentiated cells remained viable in all hydrogels up to 10 days in culture as indicated by the AB assay (Figure 3c). We observed that the cells assembled into spheroids in all conditions. This process can be influenced by both hydrogel stiffness and presence of LN. The inner cell mass in spheroids typically experience a lower rate of proliferation due to the oxy- gen and nutrient gradient.[86] Since LN offer better interactions with the hydrogel scaffold, spheroid formation can be delayed under these conditions, which can explain the higher prolifer- ation at day 3 in the presence of LN. The decrease in prolifer- ation at day 7 for all conditions is consistent with an increas- ing size of the spheroids. Interestingly, the viability of the dif- ferentiated SH-SY5Y cells rapidly decreased in hydrogels supple- mented with nonconjugated LN (Figure S5, Supporting Informa- tion). RA differentiation of SH-SY5Y cells increases the expres- sion of 𝛼3𝛽1 integrin heterodimers,[87,88] which interact strongly with LN-521.[89,90] Binding of nonconjugated LN-521 thus likely interferes with cell–hydrogel binding. 3.3. Encapsulation and 3D Culture of SH-SY5Y Cells Proliferation decreased in all conditions after day 7, which we hypothesize is a consequence of an increasing spheroid diameter over time, that might lead to oxygen and nu- trient starvation of cells in the core of the spheroids, resulting in necrosis.[82] The nonsignificant effects of LN on SH-SY5Y cell proliferation indicate that cells may adhere to the HA backbone, making any other interactions with LN redundant. The main cell surface receptor for binding to HA is CD44, a family of trans- membrane cell surface glycoproteins that plays an important role in cell–cell and cell–matrix interactions and is linked to the tu- 2102097 (5 of 16) Loss of cellular attachment to ECM may trigger programmed cell death via anoikis pathways, which is a specific form of apoptosis.[91] Confocal images of the differentiated cells showed homogenously distributed cell clus- ters in all conditions, growing into larger spheroids by day 7 (Fig- ure 3d), similar in size and geometry as SH-SY5Y cultured hy- drogels of collagen or alginate.[92,93] Adv. Healthcare Mater. 2022, 2102097 © 2022 The Authors. Advanced Healthcare Materials published by Wiley-VCH GmbH © 2022 The Authors. Advanced Healthcare Materials published by Wiley-VCH GmbH 3.4. lt-NES Viability during Spontaneous 3D Differentiation Whereas the 3D cultures of neuroblastoma cells represent an im- portant neural disease model, the potential to encapsulate and culture lt-NES in the HA-PEG hydrogels offers opportunities also to explore models of healthy tissues, advanced models of genetic disorders, and development of cell-based therapeutic strategies. Neural progenitor cells and lt-NES spontaneously differentiate into mixed cultures of high (80–95%) percentage neurons and some glial cells. lt-NES have been used in several studies both as disease models and as a source to create healthy neurons, both in 2D and 3D.[94–96] Here, lt-NES were encapsulated in the HA:PEG hydrogels with the addition of LN, with and without an Az conjugation. To benchmark these defined hydrogels as a matrix for cultivation and differentiation of the sensitive lt-NES, we used commercially available Matrigel. The 1% HA:PEG hy- drogels were used from here on due to the better match with the stiffness of Matrigel. Before seeding the lt-NES in the hydro- gels, we allowed them to spontaneously predifferentiate in 2D cell culture flasks for 5 days, from now on referred to as pred- ifferentiated lt-NES. At this stage of differentiation, cell prolif- 2102097 (6 of 16) © 2022 The Authors. Advanced Healthcare Materials published by Wiley-VCH GmbH www.advancedsciencenews.com www.advhealthmat.de www.advancedsciencenews.com www.advhealthmat.de Figure 3. a) Confocal images of undifferentiated SH-SY5Y cells cultured in 1% and 2% (w/v) HA-BCN:PEG hydrogels with and without LN-(p)-Az, stained for F-actin (Phalloidin, green) and Hoechst nuclear dye (blue). LN was labeled with Cy3 (red). AB cell viability of b) undifferentiated SH-SY5Y and c) RA treated differentiated SH-SY5Y cells, cultured in HA:PEG hydrogels with and without LN-(p)-Az, N as indicated on figure legend for each condition, where each data point represents a separate hydrogel. Error bars are standard deviation. Significance was calculated using one-way ANOVA followed by Tukey’s HSD. d) Confocal images of RA treated differentiated SH-SY5Y cells cultured in 1% and 2% (w/v) HA:PEG hydrogels with and without LN-(p)-Az, stained for F-actin (Phalloidin, green) and Hoechst nuclear dye (blue). Cell seeding density is 2000 cells per μL of hydrogel precursor. Scale bars: 100 μm. Figure 3. a) Confocal images of undifferentiated SH-SY5Y cells cultured in 1% and 2% (w/v) HA-BCN:PEG hydrogels with and without LN-(p)-Az, stained for F-actin (Phalloidin, green) and Hoechst nuclear dye (blue). LN was labeled with Cy3 (red). 3.4. lt-NES Viability during Spontaneous 3D Differentiation Cells that did not take on the differenti- ation and thus died were discarded and the remaining prediffer- entiated lt-NES were encapsulated in the hydrogels, where the cells started exhibiting signs of early neural profile in terms of morphology and gene expression. After 1 day of the subculture in the hydrogels, we measured lt-NES metabolic activity using AB, demonstrating viable cells in all gel conditions (Figure 4a). Whereas we observe no or only minor differences in viability of the conditions with/without LNs, the viability is about 2–3 times higher in Matrigel. Matrigel is tumor derived, composed by sev- eral partially fragmented ECM proteins, and contains traces of growth factors that can give higher cell survival and proliferation of the lt-NES throughout the first 24 h of culture, as confirmed by brightfield microscopy (Figure S8, Supporting Information). Additionally, we observe that the Matrigel encapsulated cells re- sult in a larger spread of data points in viability compared to the other hydrogel conditions with an interquartile range (IQR) of [193;302], compared to hydrogels without LN [82;112], nonconju- gated LN [77;112], and LN-Az [81;103]. The well-defined HA:PEG hydrogels thus clearly provide better reproducibility between in- dependent experiments than Matrigel (Figure 4a). After 7 days of subculture in the hydrogels (Figure 4b), a significant difference in viability was observed in hydrogels containing LN. However, in contrast to the differentiated SH-SY5Y cells, conjugation of the LN does not appear to change the viability of the lt-NES compared to nonconjugated LN. Similar to what we observe after 1 day of subculture, the viability of the cells in Matrigel is significantly higher and shows a larger spread of the individual data points (in- dicated as different shades of gray). An analysis of the IQR shows that Matrigel had the largest variability [58;96] compared to the conditions with no LN [35;69], LN [39;69], and LN-Az [18;48]. We hypothesize that the increase in viability in Matrigel compared to day 1 is partly due to a continuous proliferation throughout the 7 days of subculture, in line with the higher proliferative potential of that material as mentioned above, caused by its various com- ponents such as mixed ECM proteins and growth factors traces. 3.4. lt-NES Viability during Spontaneous 3D Differentiation Depending on the size and format of the 3D-hydrogel be- ing stained, lengthy immunostaining protocols are needed, com- pared to 2D cultures, to provide enough diffusion time for anti- bodies to penetrate the gel and bind to the cells. With Matrigel, we found it difficult to avoid unspecific binding and high back- ground noise even with repeated and longer washing steps. Is- sues like these can prove disruptive to imaging, especially image analysis, since larger clusters of background noise can be eas- ily similar in size to thin neurites or other structures of inter- est in NSC cultures. Notably, we did not experience background noise issues and unspecific binding with HA:PEG-based hydro- gels, which, on top of its defined formula, gives HA:PEG one more advantage over Matrigel. 3.4. lt-NES Viability during Spontaneous 3D Differentiation AB cell viability of b) undifferentiated SH-SY5Y and c) RA treated differentiated SH-SY5Y cells, cultured in HA:PEG hydrogels with and without LN-(p)-Az, N as indicated on figure legend for each condition, where each data point represents a separate hydrogel. Error bars are standard deviation. Significance was calculated using one-way ANOVA followed by Tukey’s HSD. d) Confocal images of RA treated differentiated SH-SY5Y cells cultured in 1% and 2% (w/v) HA:PEG hydrogels with and without LN-(p)-Az, stained for F-actin (Phalloidin, green) and Hoechst nuclear dye (blue). Cell seeding density is 2000 cells per μL of hydrogel precursor. Scale bars: 100 μm. Adv. Healthcare Mater. 2022, 2102097 2102097 (7 of 16) © 2022 The Authors. Advanced Healthcare Materials published by Wiley-VCH GmbH © 2022 The Authors. Advanced Healthcare Materials published by Wiley-VCH GmbH Adv. Healthcare Mater. 2022, 2102097 www.advhealthmat.de www.advancedsciencenews.com action between the cells and the hydrogel. In the LN conditions mixed morphologies of nuclei are observed, some are larger and more oval-shaped, and others are brighter and more condensed close to pycnotic, much like those seen in the condition no LN. In the HA:PEG hydrogels with conjugated LN, Az-LN, the cell distri- bution appears similar to the LN condition, with respect to singu- lar cells and small clusters. DCX expression apart from the soma is detectable in neurite outgrowths connecting cells in the clus- ters. F-actin staining reveals a somewhat condensed cytoskeletal structure indicating strong cell–cell interactions. Most nuclei ap- pear larger and oval-shaped when in the loose clusters, indicating that cells are mostly healthy, although some nuclei are brighter and more condensed. In the Matrigel condition, cells are growing both singularized and in less tightly packed clusters, and we ob- serve that the cells send out longer processes between each other. The expression of DCX extends from the soma to the outer pro- cesses The spreading and outreach of the cells are confirmed by the cytoskeletal constructs seen in Phalloidin, suggesting that the cells in a similar way to the LN condition can attach to their mi- croenvironment. We further confirm neuronal fate specification of the differentiated lt-NES by expression of the later neuronal marker TUBB3 with immunocytochemistry (Figure S7, Support- ing Information). eration is reduced, and a high degree of cell death can be ob- served in 2D cultures. © 2022 The Authors. Advanced Healthcare Materials published by Wiley-VCH GmbH Adv. Healthcare Mater. 2022, 2102097 © 2022 The Authors. Advanced Healthcare Materials published by Wiley-VCH GmbH 3.5. lt-NES Morphology after 3D Differentiation After 5 days of spontaneous predifferentiation in conventional cell culture flasks and 7 days of continued spontaneous differen- tiation in 3D-hydrogels, we extracted RNA in the typical range of 5–20 ng μL−1 from 50 μL hydrogels. We observe significant changes in gene expression in most of the analyzed genes, both between some hydrogel conditions (Figure 5) and compared to the undifferentiated state of lt-NES (Figure S6, Supporting In- formation). The neuronal marker DCX (Figure 5a) is upregu- lated (1.75–2.75 times) in all hydrogel conditions and more so when LN was added to the hydrogels. However, we see no sig- nificant effect of LN conjugation. Cells differentiated in Matrigel showed the highest upregulation of DCX, supported by our imag- ing findings (Figure 4c). When compared to the undifferentiated state of lt-NES (Figure S6, Supporting Information), we observe that all conditions had significant upregulation of DCX, which is in line with previous studies where neuroepithelial stem cells show expression of DCX after 7 days of neural differentiation.[97] The later neuronal marker TUBB3 also shows statistically significant upregulation compared to undifferentiated lt-NES More specific assessments of neuronal differentiation require characterization of neuronal markers both on an imaging and mRNA expression analysis level. As seen by immunocytochem- istry (Figure 4c), lt-NES cultured in the HA:PEG hydrogels with- out LN are generally characterized by singularly distributed cells and smaller clusters of cells. The expression of DCX, an early marker of neuronal differentiation, is mainly limited to the area surrounding the individual nuclei, and occasional neurite out- growths are found. Phalloidin (F-actin stain) shows how the soma is rounded up, and little cell spreading or contact with the hydro- gel is seen. Singularized nuclei appear brighter and condensed to a higher level compared to clustered nuclei. A larger propor- tion of loosely clustered single cells is observed when adding LN to the hydrogels, while some smaller clusters are still present. Similar to the no LN condition, DCX expression is limited to an area around the cell nuclei. The cells form small clusters with connected processes, confirmed by F-actin staining. The F-actin staining further visualizes cell–cell connections and close inter- 2102097 (8 of 16) Adv. Healthcare Mater. 2022, 2102097 © 2022 The Authors. Advanced Healthcare Materials published by Wiley-VCH GmbH www.advhealthmat.de advancedsciencenews.com www.advhealthmat.de www.advhealthmat.de www.advancedsciencenews.com AB viability assay and confocal images of spontaneous 3D differentiation. a) Viability measured with AB after 1 day of differentiation ctive hydrogels. 3.5. lt-NES Morphology after 3D Differentiation b) Viability measured with AB after 7 days of differentiation of lt-NES in respective hydrogels. Data were collected f al experiments (indicated with different shades of gray), N = 14, where N represents one hydrogel replicate. p-values were derived u ata included. Data are presented both as a box indicating the 25th–75th percentile with a median line and ±1.5 IQR whiskers, and as nts. c) Confocal images of spontaneous 3D differentiation in respective hydrogels. lt-NES are stained with neuronal marker DCX ( etal F-actin marker Phalloidin (cyan), and nuclear stain Hoechst (gray). Scale bar: 10 μm. hcare Mater. 2022, 2102097 2102097 (9 of 16) © 2022 The Authors. Advanced Healthcare Materials published by Wiley-V gure 4. AB viability assay and confocal images of spontaneous 3D differentiation. a) Viability measured with AB after 1 day of differentiation of lt- respective hydrogels. b) Viability measured with AB after 7 days of differentiation of lt-NES in respective hydrogels. Data were collected from t dividual experiments (indicated with different shades of gray), N = 14, where N represents one hydrogel replicate. p-values were derived using L th all data included. Data are presented both as a box indicating the 25th–75th percentile with a median line and ±1.5 IQR whiskers, and as indivi ta points. c) Confocal images of spontaneous 3D differentiation in respective hydrogels. lt-NES are stained with neuronal marker DCX (mage toskeletal F-actin marker Phalloidin (cyan), and nuclear stain Hoechst (gray). Scale bar: 10 μm. Figure 4. AB viability assay and confocal images of spontaneous 3D differentiation. a) Viability measured with AB after 1 day of differentiation of lt-NES in respective hydrogels. b) Viability measured with AB after 7 days of differentiation of lt-NES in respective hydrogels. Data were collected from three individual experiments (indicated with different shades of gray), N = 14, where N represents one hydrogel replicate. p-values were derived using LMM with all data included. Data are presented both as a box indicating the 25th–75th percentile with a median line and ±1.5 IQR whiskers, and as individual data points. c) Confocal images of spontaneous 3D differentiation in respective hydrogels. lt-NES are stained with neuronal marker DCX (magenta), cytoskeletal F-actin marker Phalloidin (cyan), and nuclear stain Hoechst (gray). Scale bar: 10 μm. Adv. Healthcare Mater. 2022, 2102097 2102097 (9 of 16) © 2022 The Authors. Advanced Healthcare Materials published by Wiley-VCH GmbH 2102097 (9 of 16) © 2022 The Authors. Adv. Healthcare Mater. 2022, 2102097 3.7. Ejection of Predifferentiated lt-NES in HA:PEG, Collagen, and Media In addition to providing a suitable matrix for 3D culture of sensi- tive neural cell models, the defined composition combined with the bioorthogonal cross-linking chemistry of the HA:PEG hy- drogel can facilitate implementation of cell-based regenerative therapies.[101–104] Syringe-based cell transplantation exposes the cells to significant shear forces that may mechanically disrupt the cells and substantially reduce cell viability. In many trans- plantation studies, PBS or cell media is used as a vehicle to carry the cells. However, shear-thinning hydrogels have been demon- strated to provide a protective effect during the injection.[105] To investigate the ability of the HA:PEG hydrogels to protect cells ex- periencing sheer force when ejected through a syringe needle, we compared the viability of predifferentiated lt-NES in an HA:PEG matrix to cell media and a collagen gel both in an acute state and after 24 h by assessing the amount of live and dead cells. Collagen is one of the most widely employed biomolecules for generating hydrogels, notably with gelling and handling characteristics more conducive to injection- or extrusion-based approaches than Ma- trigel (and more similar to HA:PEG).[106] Thus, it serves as a con- venient baseline here to optimize our ejection platform, before turning to the material of interest, HA:PEG hydrogels, that in addition to forming a chemically cross-linked hydrogel after ejec- tion would be of more clinical relevance for future applications. At the acute state, we observed reduced viability of the HA:PEG ejected cells compared to those ejected in cell media (Figure 6a). ) As another measure of neuronal differentiation, we include two stem cell markers, NES and SOX2, expecting that these two genes should be downregulated in the case of successful neuronal differentiation. SOX2 has a critical role in maintain- ing pluripotency and directing pluripotent stem cells to neural progenitors.[98] A previous study using human neuroepithelial stem cells to create human midbrain organoids reported a change from 35% to 18% positive SOX2 cells when comparing expres- sion at 27 days and 61 days of differentiation, respectively.[99] We have seen in prior work that spontaneous differentiation of lt- NES in 2D-cultures result in downregulation of SOX2 after 28 days.[100] Our results show significant downregulation of NES in the HA:PEG hydrogels without LN, but not when any type of LN was added. 3.5. lt-NES Morphology after 3D Differentiation Advanced Healthcare Materials published by Wiley-VCH GmbH Adv. Healthcare Mater. 2022, 2102097 www.advhealthmat.de Figure 5. mRNA analysis profile of spontaneous 3D differentiation of lt-NES in different hydrogel conditions. a) DCX, b) TUBB3, c) SYN1, d) NES, a e) SOX2. All samples contain the housekeeping gene GAPDH. p-values were derived with LMM, and data were normalized to the hydrogel condit no LN. Data is collected as duplicates from three or four independent experiments (indicated by different colors), with the whiskers indicating ±1 around the mean (bar). Adv. Healthcare Mater. 2022, 2102097 2102097 (10 of 16) © 2022 The Authors. Advanced Healthcare Materials published by Wiley-VCH Gm Figure 5. mRNA analysis profile of spontaneous 3D differentiation of lt-NES in different hydrogel conditions. a) DCX, b) TUBB3, c) SYN1, d) NES, and e) SOX2. All samples contain the housekeeping gene GAPDH. p-values were derived with LMM, and data were normalized to the hydrogel condition no LN. Data is collected as duplicates from three or four independent experiments (indicated by different colors), with the whiskers indicating ±1 SE around the mean (bar). © 2022 The Authors. Advanced Healthcare Materials published by Wiley-VCH GmbH © 2022 The Authors. Advanced Healthcare Materials published by Wiley-VCH GmbH Adv. Healthcare Mater. 2022, 2102097 www.advhealthmat.de www.advancedsciencenews.com www.advancedsciencenews.com www.advhealthmat.de Figure 6. a) Survival of ejected predifferentiated lt-NES in HA:PEG and cell media immediately after ejection and after 24 h measured with Live/Dead assay. Data were collected from three individual experiments (indicated with different shades of gray), N = 27, where N represents one replicate of ejected cells. Outliers were removed by a Grubbs Test, and p-values were derived using LMM in Origin Pro. Data are presented both as a box indicating the 25th–75th percentile with a median line and ±1.5 IQR whiskers, and as individual data points. b) Survival of ejected predifferentiated lt-NES in collagen and cell media. Data were collected from one individual experiment, N = 9, where N represents one ejected replicate. No data were excluded. p-values were derived using LMM in Origin Pro. Figure 6. a) Survival of ejected predifferentiated lt-NES in HA:PEG and cell media immediately after ejection and after 24 h measured with Live/Dead assay. Data were collected from three individual experiments (indicated with different shades of gray), N = 27, where N represents one replicate of ejected cells. Outliers were removed by a Grubbs Test, and p-values were derived using LMM in Origin Pro. 3.5. lt-NES Morphology after 3D Differentiation Data are presented both as a box indicating the 25th–75th percentile with a median line and ±1.5 IQR whiskers, and as individual data points. b) Survival of ejected predifferentiated lt-NES in collagen and cell media. Data were collected from one individual experiment, N = 9, where N represents one ejected replicate. No data were excluded. p-values were derived using LMM in Origin Pro. advantage as a matrix for neuronal differentiation compared to the HA:PEG-based hydrogels. (Figure S6, Supporting Information), though based on its magni- tude (1–1.5 times; Matrigel again showing largest change) likely to have only minor biological impact. When comparing expres- sion between the different hydrogel conditions (Figure 5b), how- ever, we do not see any significant up or downregulation when adding LN or LN-az. We observe a statistically significant change in Matrigel, where (similar to the lt-NES comparison) TUBB3 is upregulated 1.25–2 times, indicating minor changes biologically. As a measure of cell attachment and interaction with the hydro- gels, including synaptogenesis, we investigate the expression of SYN1. We observed an upregulation in all conditions, with the ad- dition of LN making a marginal (≈1-fold) but statistically signif- icant difference in upregulation independent of Az conjugation (Figure 5c). The highest upregulation we see in Matrigel (1.75– 3.25 times). For all the genes, we observe the largest variation in data points from the no LN condition, which was also the condition that, in general, had the lowest mRNA yield. In summary, these hydro- gels support culture of the sensitive lt-NES, however they do not appear to strongly enhance neuronal differentiation with network formation or synaptogenesis for short time differentiations. © 2022 The Authors. Advanced Healthcare Materials published by Wiley-VCH GmbH Adv. Healthcare Mater. 2022, 2102097 © 2022 The Authors. Advanced Healthcare Materials published by Wiley-VCH GmbH 3.7. Ejection of Predifferentiated lt-NES in HA:PEG, Collagen, and Media Compared to the no LN condition, we observe a marginal upregulation of NES in the Matrigel condition, indicat- ing that the stem cell state would be more preserved for the cells cultured in Matrigel. As for SOX2, we see a clear downregulation in all hydrogel conditions, with no difference if any kind of LN is added. The data have high variability in the Matrigel condition, and no significant downregulation can be concluded in terms of change in DDct values. Similar to our observations in SOX2 reg- ulation, such high variability and lack of downregulation of NES, as we see in the other hydrogel conditions, gives Matrigel a dis- 2102097 (11 of 16) 2102097 (11 of 16) Adv. Healthcare Mater. 2022, 2102097 www.advhealthmat.de www.advancedsciencenews.com Figure 7. a) 3D bioprinted structures based on the HA:PEG-LN hydrogels at a concentration of 1% (w/v). Hydrogels (red) were dyed with Cy5 and illuminated using a white light source. b) Live (cyan)/Dead (magenta) staining of SH-SY5Y cells 24 h after bioprinting. c) SH-SY5Y cell viability 24 h after bioprinting or pipetting when encapsulated in either HA:PEG (without LN) and HA:PEG-LN hydrogels at a concentration of 1% (w/v), N = 4 bioprinted/pipetted hydrogels were examined for each condition, error bars are standard deviation, statistics: one-way ANOVA with Tukey’s HSD, n.s. = not significant (p > 0.05). d) SH-SY5Y cell bioprinted into grid structures (purple) of Cy5-labeled HA:PEG-LN and HA:PEG, respectively, at a hydrogel concentration of 1% (w/v) and imaged using tiled confocal microscopy 24 h after bioprinting. Encapsulated SH-SY5Y were stained using Live (cyan)/Dead (magenta) staining. Inset square indicates a magnified portion. Scale bars are 1000 μm. Fi 7 ) 3D bi i t d t t b d th HA PEG LN h d l t t ti f 1% ( / ) H d l ( d) d d ith C 5 Figure 7. a) 3D bioprinted structures based on the HA:PEG-LN hydrogels at a concentration of 1% (w/v). Hydrogels (red) were dyed with Cy5 and illuminated using a white light source. b) Live (cyan)/Dead (magenta) staining of SH-SY5Y cells 24 h after bioprinting. c) SH-SY5Y cell viability 24 h after bioprinting or pipetting when encapsulated in either HA:PEG (without LN) and HA:PEG-LN hydrogels at a concentration of 1% (w/v), N = 4 bioprinted/pipetted hydrogels were examined for each condition, error bars are standard deviation, statistics: one-way ANOVA with Tukey’s HSD, n.s. 3.7. Ejection of Predifferentiated lt-NES in HA:PEG, Collagen, and Media = not significant (p > 0.05). d) SH-SY5Y cell bioprinted into grid structures (purple) of Cy5-labeled HA:PEG-LN and HA:PEG, respectively, at a hydrogel concentration of 1% (w/v) and imaged using tiled confocal microscopy 24 h after bioprinting. Encapsulated SH-SY5Y were stained using Live (cyan)/Dead (magenta) staining. Inset square indicates a magnified portion. Scale bars are 1000 μm. bioprinting. In addition to enabling printing of features with di- mensions <400 μm, the hydrogels supported high viability of the bioprinted SH-SY5Y cells (Figure 7b,c). Similar to syringe-based cell ejection, 3D bioprinting exposes cells to substantial shear forces that can be detrimental for cell viability due to the rapid change in fluid velocity when the cell suspension is forced from the syringe into the much smaller diameter needle, resulting in cell rupture.[107,108] By encapsulating the cells in the HA:PEG hy- drogels matrix, the cells were protected from the lethal shear forces during bioprinting. SH-SY5Y cells encapsulated in LN- functionalized HA:PEG showed high (>85%) viability 24 h af- ter printing, similar to cells carefully extruded through a pipette (Figure 7c) and on par with carefully optimized alginate-based bioinks.[109] Moreover, the bioprinted SH-SY5Y cells showed a similar morphology and distribution in the 3D bioprinted struc- tures as when cultured in the casted hydrogels (Figure 7b), in- dicating the potential of this hydrogel system for 3D bioprint- ing of neural disease models. Interestingly, 3D bioprinting of the SH-SY5Y cells in HA:PEG hydrogels functionalized with LN The same effect was seen when comparing cells ejected in a col- lagen matrix compared to cell media (Figure 6b). However, after 24 h, cells ejected in the HA:PEG matrix showed higher viability than cells ejected in cell media, suggesting that the hydrogel pro- vides a protective environment during and after syringe ejection. The same effect was seen when comparing cells ejected in a col- lagen matrix compared to cell media (Figure 6b). However, after 24 h, cells ejected in the HA:PEG matrix showed higher viability than cells ejected in cell media, suggesting that the hydrogel pro- vides a protective environment during and after syringe ejection. Adv. Healthcare Mater. 2022, 2102097 © 2022 The Authors. Advanced Healthcare Materials published by Wiley-VCH GmbH © 2022 The Authors. Advanced Healthcare Materials published by Wiley-VCH GmbH 3.8. 3D Bioprinting The protective effect of the HA:PEG hydrogels on cells during sy- ringe ejection is also a highly attractive feature for 3D bioprinting applications. To assess the printability of the hydrogels, hydro- gel lattices (1 × 1 cm) were fabricated using a Cellink BioX bio- printer (Figure 7a; Figure S9, Supporting Information). Since the gelation kinetic for this hydrogel system is highly temperature dependent and proceeds significantly slower at room tempera- ture (RT) than at 37 °C, we incubated the bioinks at RT for about 10 min prior printing to partially cross-link the hydrogels. This process resulted in bioinks with a viscosity that was suitable for 2102097 (12 of 16) © 2022 The Authors. Advanced Healthcare Materials published by Wiley-VCH GmbH Adv. Healthcare Mater. 2022, 2102097 www.advancedsciencenews.com www.advhealthmat.de Figure 8. Bioprinted predifferentiated lt-NES cells in HA:PEG hydrogel. a) Live (cyan)/Dead (magenta) staining of lt-NES cells 24 h after bioprinting with and without LN. b) Viability of cells in HA:PEG hydrogels with and without LN. Cell media is lt-NES differentiation media. Cell count includes samples whereby the media was supplemented with Y-27632 (apoptosis inhibitor) and EGF and FGF. N = 5, representing individual wells. Error bars represent standard deviation. Statistical analysis: ANOVA with Tukey’s HSD, * = p < 0.05. c) Bioprinted predifferentiated lt-NES seeded grids of HA:PEG-LN and d) HA:PEG stained using Live (red)/Dead (green) staining with the hydrogel labeled with Cy5-Az (magenta). Inset square indicates a magnified part of the printed grids. e) Bioprinted lt-NES seeded grids of HA:PEG-LN and f) HA:PEG incubated for 10 days and stained for TUBB3 (green), Hoechst (blue) and hydrogel labeled with Cy5-Az (red). Scale bars: 1000 μm on full size grids and 100 μm on all other images. www.advhealthmat.de www.advancedsciencenews.com Figure 8. Bioprinted predifferentiated lt-NES cells in HA:PEG hydrogel. a) Live (cyan)/Dead (magenta) staining of lt-NES cells 24 h after bioprinting with and without LN. b) Viability of cells in HA:PEG hydrogels with and without LN. Cell media is lt-NES differentiation media. Cell count includes samples whereby the media was supplemented with Y-27632 (apoptosis inhibitor) and EGF and FGF. N = 5, representing individual wells. Error bars represent standard deviation. Statistical analysis: ANOVA with Tukey’s HSD, * = p < 0.05. c) Bioprinted predifferentiated lt-NES seeded grids of HA:PEG-LN and d) HA:PEG stained using Live (red)/Dead (green) staining with the hydrogel labeled with Cy5-Az (magenta). © 2022 The Authors. Advanced Healthcare Materials published by Wiley-VCH GmbH Adv. Healthcare Mater. 2022, 2102097 Acknowledgements g g ( g , pp g ) In summary, we presented a tunable and modular HA-based LN-521 functionalized hydrogel that can effectively retain LN over 7 days, showing a successful conjugation of the LN to the hydro- gel backbone. We show that the hydrogel supports proliferation of the widely used neural cell model SH-SY5Y in both an undif- ferentiated and differentiated state. The SH-SY5Y showed high viability after 10 days of subculture in both 1% and 2% hydro- gels and appeared to grow in clusters according to F-actin stain- ing and immunostaining of the HA-receptor CD44. Choosing the softer more in vivo like 1% hydrogels, we further demonstrated that more sensitive and advanced cell model lt-NES successfully can be spontaneously differentiated to neuronal fates and develop processes. According to viability assays, LN does not support the cells’ immediate (24 h) survival but does change the viability on a week-long timescale. Our mRNA expression analysis suggests a significant but biologically limited upregulation in neuronal markers DCX, TUBB3, and SYN1 with the addition of LN to the hydrogels. Our data also suggest that stem cell marker SOX2 is marginally downregulated, whereas we see no significant differ- ence in the expression of the stem cell marker NES with the ad- dition of LN. We proved the possibility of ejecting predifferenti- ated lt-NES through a 27G syringe and that adding HA:PEG as an ejection matrix will protect the cells by higher survival after 24 h, compared to cells ejected in cell media. This protective effect of the hydrogel matrix could not be measured through viability at an immediate stage. We furthermore successfully bioprinted SH-SY5Y cells encapsulated in LN-functionalized HA:PEG with >85% survival after 24 h, We also observed that the bioprinted cells maintained the same morphology as when cultured in 3D gels, and surprisingly we found that conjugating LN in the hydro- gels promoted the formation of spheroids to a larger extent than without the added LN after bioprinting. Finally, we demonstrate successful bioprinting of predifferentiated lt-NES, that retained high viabilities and expressed TUBB3 10 days after printing with extensive processes in LN containing hydrogels. M.J. and I.M. contributed equally to this work. BioLamina AB kindly pro- vided BioLaminin 521. The financial support from the Swedish Founda- tion for Strategic Research (SFF) (FFL15-0026), the Swedish Government Strategic Research Area in Materials Science on Functional Materials at Linköping University (Faculty Grant SFO-Mat-LiU No. [6] E. Fritsche, T. Haarmann-Stemmann, J. Kapr, S. Galanjuk, J. Hart- mann, P. R. Mertens, A. A. M Kämpfer, R. P. F Schins, J. Tigges, K. E. Koch Fritsche, T. Haarmann-Stemmann, J. Kapr, S. Galanjuk, J. Hartmann, A. A. M Kämpfer, R. P. F Schins, J. Tigges, K. Koch, E. Fritsche, P. Mertens, Small 2021, 17, 2006252. Acknowledgements 2009-00971), the Carl Tryggers Foundation, and the Knut and Alice Wallenberg Foundation (KAW 2016.0231 and 2020.0206) is gratefully acknowledged. Data Availability Statement Research data are not shared. Research data are not shared. Supporting Information Supporting Information is available from the Wiley Online Library or from the author. Keywords 3D bioprinting, 3D cell cultures, hyaluronan, hydrogels, laminin, neural stem cells Received: October 7, 2021 Revised: January 31, 2022 Published online: 3.8. 3D Bioprinting The lt-NES were well distributed in the bioprinted structures as indicated by the Live/Dead stain (Figure 8c,d). The bioprinted predifferentiated lt- NES were cultured for an additional 9 days (10 days in total) prior staining for TUBB3 to observe neurite outgrowth, cell morphol- ogy, and maturity (Figure 8e,f). Both conditions demonstrated ex- pression of TUBB3, with more pronounced processes in hydro- gels containing LN (Figure S10, Supporting Information). [5] A. P. Haring, H. Sontheimer, B. N. Johnson, Stem Cell Rev. 2017, 13, 381. Conflict of Interest The authors declare no conflict of interest. [4] M. Jorfi, C. D’Avanzo, D. Y. Kim, D. Irimia, Adv. Healthcare Mater. 2018, 7, 1700723. 3.8. 3D Bioprinting Inset square indicates a magnified part of the printed grids. e) Bioprinted lt-NES seeded grids of HA:PEG-LN and f) HA:PEG incubated for 10 days and stained for TUBB3 (green), Hoechst (blue) and hydrogel labeled with Cy5-Az (red). Scale bars: 1000 μm on full size grids and 100 μm on all other images. resulted in a higher density of spheroids than hydrogels without LN (Figure 7d,e). sulated in HA:PEG hydrogels with and without LN and printed using the same conditions as for the SH-SY5Y cells. Viability was assessed 24 h postprinting using Live/Dead staining (Figure 8a). Cell viabilities of about 50–55% were obtained with no difference between the two conditions (Figure 8b). We noted a significant After successful optimization of the printing conditions using the SH-SY5Y cells, we proceeded with exploring possibilities to bioprint the predifferentiated lt-NES cells. The cells were encap- Adv. Healthcare Mater. 2022, 2102097 2102097 (13 of 16) 2102097 (13 of 16) © 2022 The Authors. Advanced Healthcare Materials published by Wiley-VCH GmbH Adv. Healthcare Mater. 2022, 2102097 www.advhealthmat.de www.advancedsciencenews.com increase in cell viability after printing when supplementing the medium with an apoptosis inhibitor (Y-27632), resulting in about 70% viable cells 24 h after printing. Supplementing the cells with epithelial growth factor (EGF) and fibroblast growth factor (FGF), in addition to Y-27632 during and after printing, did not result in any additional increase in cell viability. The lt-NES were well distributed in the bioprinted structures as indicated by the Live/Dead stain (Figure 8c,d). The bioprinted predifferentiated lt- NES were cultured for an additional 9 days (10 days in total) prior staining for TUBB3 to observe neurite outgrowth, cell morphol- ogy, and maturity (Figure 8e,f). Both conditions demonstrated ex- pression of TUBB3, with more pronounced processes in hydro- gels containing LN (Figure S10, Supporting Information). ringe ejection and bioprinting, in combination with being repro- ducible and completely xeno-free, can further facilitate biofabri- cation and development of more advanced neuronal tissue and disease models and facilitate clinical translation of neuronal cell therapies. increase in cell viability after printing when supplementing the medium with an apoptosis inhibitor (Y-27632), resulting in about 70% viable cells 24 h after printing. Supplementing the cells with epithelial growth factor (EGF) and fibroblast growth factor (FGF), in addition to Y-27632 during and after printing, did not result in any additional increase in cell viability. [2] GBD 2016 Neurology Collaborators, Lancet Neurol. 2019, 18, 459. Adv. Healthcare Mater. 2022, 2102097 © 2022 The Authors. Advanced Healthcare Materials published by Wiley-VCH GmbH [3] R. Bose, S. 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Materials/Excipients/Intermediates/Reagents National Cancer Institute National Cancer Institute Qeios ID: OPSK0S · https://doi.org/10.32388/OPSK0S Qeios · Definition, February 2, 2020 Source National Cancer Institute. Raw Materials/Excipients/Intermediates/Reagents Specification. NCI Thesaurus. Code C133931. National Cancer Institute. Raw Materials/Excipients/Intermediates/Reagents National Cancer Institute. Raw Materials/Excipients/Intermediates/Reagent Specification. NCI Thesaurus. Code C133931. Specification. NCI Thesaurus. Code C133931. The specification which is applied to the raw materials, excipients, intermediates or reagents. Qeios ID: OPSK0S · https://doi.org/10.32388/OPSK0S 1/1
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Developmental Cycle and Genome Analysis of Protochlamydia massiliensis sp. nov. a New Species in the Parachlamydiacae Family
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Edited by: Rey Carabeo, Washington State University, United States Reviewed by: Joyce Altamarino Ibana, University of the Philippines Diliman, Philippines Esther Orozco, Centro de Investigación y de Estudios Avanzados del IPN, Mexico Keywords: Chlamydiae, Vermamoeba vermiformis, co-culture, CRISPR, Protochlamydia massiliensis Developmental Cycle and Genome Analysis of Protochlamydia massiliensis sp. nov. a New Species in the Parachlamydiacae Family Samia Benamar †, Jacques Y. Bou Khalil †, Caroline Blanc-Tailleur, Melhem Bilen, Lina Barrassi and Bernard La Scola* Unite de Recherche sur les Maladies Infectieuses et Tropicales Emergentes, UM63 Centre National de la Recherche Scientifique 7278 IRD 198 Institut National de la Santé et de la Recherche Médicale U1095, Institut Hospitalo-Universitaire Mediterranee Infection, Marseille, France Amoeba-associated microorganisms (AAMs) are frequently isolated from water networks. In this paper, we report the isolation and characterization of Protochlamydia massiliensis, an obligate intracellular Gram-negative bacterium belonging to the Parachlamydiaceae family in the Chlamydiales order, from a cooling water tower. This bacterium was isolated on Vermamoeba vermiformis. It has a multiple range of hosts among amoeba and is characterized by a typical replication cycle of Chlamydiae with a particularity, recently shown in some chlamydia, which is the absence of inclusion vacuoles in the V. vermiformis host, adding by this a new member of Chlamydiae undergoing developmental cycle changes in the newly adapted host V. vermiformis. Draft genome sequencing revealed a chromosome of 2.86 Mb consisting of four contigs and a plasmid of 92 Kb. Amoeba-associated microorganisms (AAMs) are frequently isolated from water networks. In this paper, we report the isolation and characterization of Protochlamydia massiliensis, an obligate intracellular Gram-negative bacterium belonging to the Parachlamydiaceae family in the Chlamydiales order, from a cooling water tower. This bacterium was isolated on Vermamoeba vermiformis. It has a multiple range of hosts among amoeba and is characterized by a typical replication cycle of Chlamydiae with a particularity, recently shown in some chlamydia, which is the absence of inclusion vacuoles in the V. vermiformis host, adding by this a new member of Chlamydiae undergoing developmental cycle changes in the newly adapted host V. vermiformis. Draft genome sequencing revealed a chromosome of 2.86 Mb consisting of four contigs and a plasmid of 92 Kb. ORIGINAL RESEARCH published: 31 August 2017 doi: 10.3389/fcimb.2017.00385 Keywords: Chlamydiae, Vermamoeba vermiformis, co-culture, CRISPR, Protochlamydia massiliensis *Correspondence: Bernard La Scola bernard.la-scola@univ-amu.fr The Chlamydiae is an assemblage of obligate intracellular bacteria that was recently re-classified into the Chlamydiales order. These microorganisms are unified by their unique biphasic developmental cycle (Horn, 2008), dependency on eukaryotic cells, and their pathogenicity toward animals and humans. In the host cell, these bacteria can enter an endosymbiotic stage, replicate, and spread after cell lysis (Longbottom and Coulter, 2003). Lately, some developmental cycle variations regarding the presence or absence of chlamydial inclusion vacuoles, have been reported and linked to the host, significantly adding to our knowledge of this field of chlamydia (Bou Khalil et al., 2017). Moreover, genetic exchange can occur between the Chlamydiae and its associated host (Gimenez et al., 2011) through a widespread system that can be described in two major groups: those that facilitate DNA transfer, such as the F-like system, and those that help in protein and nucleoprotein translocation, such as P- and I- like systems. †These authors have contributed equally to this work. †These authors have contributed equally to this work. Received: 29 May 2017 Accepted: 14 August 2017 Published: 31 August 2017 INTRODUCTION *Correspondence: Bernard La Scola bernard.la-scola@univ-amu.fr Citation: Benamar S, Bou Khalil JY, Blanc-Tailleur C, Bilen M, Barrassi L and La Scola B (2017) Developmental Cycle and Genome Analysis of Protochlamydia massiliensis sp. nov. a New Species in the Parachlamydiacae Family. Until the 1990s, studies focused on chlamydia as a member of Chlamydiae. It was thought to be the single family of the Chlamydiales order (Kahane et al., 1993), which includes 11 species. Although our understanding of the significance and diversity of bacteria belonging to the family Chlamydiaceae has been well-established due to intensive research over the last 50 years, recent studies have also revealed that this family only represents the “leading edge” Front. Cell. Infect. Microbiol. 7:385. doi: 10.3389/fcimb.2017.00385 August 2017 | Volume 7 | Article 385 Frontiers in Cellular and Infection Microbiology | www.frontiersin.org Protochlamydia massiliensis; New Vermamoeba Pathogen Benamar et al. in terms of its diversity, especially given the recent discovery of eight novel genetically related families. At the genomic level, Chlamydiae is known to have been evolutionary disconnected from other bacteria almost a billion years ago (Everett et al., 1999; Greub and Raoult, 2003). These bacteria can be identified by the presence of conserved indels and by several signature proteins that are only present in several Chlamydiae species (Horn et al., 2004; Griffiths et al., 2005). The exploration of the richness of this phylum is of interest in terms of deciphering hidden pathogenicity and new features in this vast world of bacteria. In this paper, we report the isolation of a new Chlamydiae species, Protochlamydia massiliensis sp. nov., belonging to the Protochlamydia genus. We describe its genome features and its developmental cycle. microscopy processing, all specimen fixation, embedding, cutting, observation, and analysis procedures were performed as previously described by Bou Khalil et al. (2016). For the host range, the supernatant of a 1-week-old culture flask of V. vermifromis infected with Chlamydiae was collected and filtered through a 5 µm pore-size filter and washed three times with modified PAS. The later was used for inoculation onto A. castellanii (strain Neff30010) and A. polyphaga (strain Linc- AP1) at an MOI of 10 in a 24-well microplate seeded with 106 Amoebae and containing 1 ml of PAS. The microplates were then incubated at 32◦C (A. castellanii) for 5 days following centrifugation at 1,500 × g for 30 min. Sequencing, Assembling, and Genome Annotation of Protochlamydia massiliensis P. massiliensis was isolated from a cooling tower in the Vaucluse region of France, as previously described (La Scola et al., 2000; Pagnier et al., 2015), using Vermamoeba vermiformis as a cell support for amoeba co-culture. For production, after being rinsed with PAS (Page’s amoeba saline) and suspended in a starvation medium (Bou Khalil et al., 2016) with a final concentration of 106 amoebas/ml, V. vermiformis was infected with a P. massiliensis suspension at a multiplicity of infection (MOI) of 10, in two 75-cm2 culture flasks at 30◦C. Washing with PAS buffer was performed after 1 h (H0) of incubation to eliminate non-internalized bacteria. Next, 10 ml of infected cultures was incubated at 30◦C in new culture flasks alongside a negative control consisting of a flask containing only amoeba for further analysis. Annotation of Protochlamydia massiliensis The genomic DNA of P. massiliensis was sequenced using a MiSeq Technology sequencer (Illumina, Inc., San Diego, CA). Four Illumina short-insert paired-end libraries were performed with an average insert size of 251 bps along with an Illumina long-insert paired-end library with an insert size of 520. Libraries and sequencing were performed as previously described (Lo et al., 2015). Reads were then assembled using the de novo method and the SPAdes-3.0.0 software (Bankevich et al., 2012). The non-coding genes and miscellaneous features were generated using RNAmmer (Lagesen et al., 2006), ARAGORN (Laslett and Canback, 2003), Rfam (Griffiths-Jones et al., 2003), and Infernal (Nawrocki et al., 2009). Coding DNA Sequences (CDSs) were predicted using Prodigal (Hyatt et al., 2010) and functional annotation was achieved using BLAST+ (Camacho et al., 2008) and HMMER3 (Eddy, 2011) against the UniProtKB database. Data for P. massiliensis were submitted to the EMBL database and were assigned Bio-projects number PRJEB6590; the accession numbers for the genome in the EMBL database are CCJF01000001-CCJF01000005. Of these 10 ml, 500 µl of culture suspension was used for the preparation of five slides through cyto-centrifugation in order to perform Gram staining, Gimenez staining and DAPI nucleic acid labeling (Molecular probes, Life Technologies USA) at the following stages respectively: H0, H2, H4, H6, H8, H12, H18, H24, H30, H36, H42, and H48. In addition, 500 µl of the prepared culture suspension was used for DNA extraction and molecular analysis. Citation: Amoebas were observed daily for lysis and 500 µl from the co-cultures was taken daily for DNA extraction and assessment of the number of chlamydial DNA copies using real-time quantitative PCR. Quantitative replication values were statistically compared using the Mann whitney test and a p-value < 0.05 was considered to reflect a significant difference. Phylogenetic Tree Construction g Phylogenetic analyses were performed for the Chlamydiae genes and the corresponding gene sequences available on the NCBI database. Multiple sequence alignments were performed using MUSCLE (Edgar, 2003) and curated using Gblocks (Talavera and Castresana, 2007). Phylogenetic trees were generated using the PhyML Maximum Likelihood algorithm and visualized using MEGA v5 (Tamura et al., 2011). MATERIALS AND METHODS Isolation, Production, Developmental Cycle, and Quantification Procedures Sequencing, Assembling, and Genome Annotation of Protochlamydia massiliensis In short, bacterial growth and count were calculated using real time PCR assays, in order to assess the correlation between bacterial concentration and cycle threshold (Ct.), 200 µl of each co-culture at every infection time point of the cycle (H0–H48) were used for DNA extraction by EZ1 DNA Tissue Kit (Qiagen, Hilden, Germany) according to the manufacturer’s instructions on a CFX96TM thermocycler (BioRad Laboratories Inc.). The real-time PCR primers used were the following: Forward: 5′GCTCCGATTCAGCGAATACT 3′, Reverse: 5′GTCTGCTCT TCCATTCCCATAA3′, and Probe: 5′CTGCTAAGCATGTTG CTAAGCTTGGC 3′. Amoebal quantification was performed on counting slides (kovaslides, HYCOR biomedical Inc., 90 California, USA). RESULTS After a period of growth and division of a typical asynchronized cycle of Chlamydiae, the RBs reorganize between, approximately, H36 and H42 p.i., condensing to form infectious and pre-mature EBs (Figure 1E) that mature into highly condensed ones, leading to cell burst (Figure 1F). The P. massiliensis grew in V. vermiformis, A. polyphaga and A. castellanii, and a cytopathic effect was seen 48 h after infection. Complete lysis was observed within 96 h. In contrast, the non-infected cultures of each host cell, used as negative controls, showed no detectable loss of amoebae over the same experimental timeframe. three tested hosts, where the realized Mann whitney test showed a p-value > 0.05. When comparing the replicative cycle of P. massiliensis in A. castellanii and in V. vermiformis at the same time points of infection, no inclusion vacuoles could be detected in the case of V. vermiformis and bacteria were directly identified in the cytoplasm (Figure 3A). However, we clearly observed the presence of inclusion vacuoles filled with P. massiliensis in the case of A. castellanii, where bacteria appear to grow in vacuoles in the cytoplasm, forming morula-like shapes (Figure 3B). RESULTS Culture and Developmental Characteristics The bacterium is strictly intracellular and unable to grow outside amoeba. To date, all attempts to grow this bacterium on agar media and nutritive broths (PYG, Trypticase soy broth) under several axenic conditions (aerobic, anaerobic, and The remaining 9 ml was used for transmission electron microscopy after pellet fixation. For transmission electron August 2017 | Volume 7 | Article 385 Frontiers in Cellular and Infection Microbiology | www.frontiersin.org 2 Protochlamydia massiliensis; New Vermamoeba Pathogen Benamar et al. microaerophilic atmospheres) have failed. For the replicative cycle, bacterial embedded bodies (EBs) are phagocytized and internalized in a vacuole inside the amoebal cytoplasm and can be seen near the nucleus (Figure 1A). At H4, H6, H8 post-infection, bacteria begin to lose their electron-density, progressively increase in size, and form reticulate bodies (RBs) (Figures 1B,C). Between H8 and H12, bacterial bodies continue to grow and form large accumulations of material, and binary division of the bacteria can be observed (Figures 1C,D). Between H24 and H36, the division continues to increase and the bacteria occupy the entire amoeba cytoplasm (Figures 1E,F). After a period of growth and division of a typical asynchronized cycle of Chlamydiae, the RBs reorganize between, approximately, H36 and H42 p.i., condensing to form infectious and pre-mature EBs (Figure 1E) that mature into highly condensed ones, leading to cell burst (Figure 1F). The P. massiliensis grew in V. vermiformis, A. polyphaga and A. castellanii, and a cytopathic effect was seen 48 h after infection. Complete lysis was observed within 96 h. In contrast, the non-infected cultures of each host cell, used as negative controls, showed no detectable loss of amoebae over the same experimental timeframe. microaerophilic atmospheres) have failed. For the replicative cycle, bacterial embedded bodies (EBs) are phagocytized and internalized in a vacuole inside the amoebal cytoplasm and can be seen near the nucleus (Figure 1A). At H4, H6, H8 post-infection, bacteria begin to lose their electron-density, progressively increase in size, and form reticulate bodies (RBs) (Figures 1B,C). Between H8 and H12, bacterial bodies continue to grow and form large accumulations of material, and binary division of the bacteria can be observed (Figures 1C,D). Between H24 and H36, the division continues to increase and the bacteria occupy the entire amoeba cytoplasm (Figures 1E,F). Taxonomy and General Features y The P. massiliensis genome consists of a chromosome sequence assembled into four contigs (Figure 4). This sequence was estimated to have 2,864,073 pbs and a GC content of 42.8%. In total, 2,389 Protein Coding Sequences (CDS) were identified as well as six sets of rRNA (two genes are 5S rRNA, two genes are 16S rRNA, two genes are 23S rRNA) and 39 tRNA genes. A total of 1,204 genes (50.39%) were attributed a putative function (by cogs or by NR blast). In addition, 589 genes were identified as ORFans (24.65%), and the remaining genes were annotated as hypothetical proteins (21.05%). The fifth contig is 92,055 bps with a GC content of 40.87%, represented a circular plasmid. The average read depth of this plasmid (294x) compared to the chromosome (153x) suggests that the plasmids are present in double copy per cell. After annotation, hypothetical functions can be assigned to more than 80% of the plasmid genes. Moreover, the culture and relative quantification by real-time PCR showed an increase in bacterial multiplication in all three amoebae strains at H24, but particularly at H72 and H96, with an approximate three-log increase in the number of bacteria per milliliter in 4 days (Figure 2). No significant statistical difference was found in the quantitative replication values between the FIGURE 1 | Developmental cycle of P. massiliensis in V. vermiformis. (A) Internalization of a phagocytized P. massiliensis elementary body (EB), by a trophozoite of V. vermiformis at H0 p.i. (B) Ultrathin section of an amoeba harboring reticulate bodies (RBs) near the nucleus undergoing the replicative stage, where an increase in size and a decrease in density can be observed. (C), (D) Replicative stage at H12, H16, H18 p.i showing an increased number of P. massiliensis particles and hypodense RBs at different stages of morphogenesis (asterisks in D marking RBs. Some bacteria at the typical binary fission stage are also observed (black arrow in D showing typical binary division, and the constriction of some RBs can be observed). (E), (F) End of the replicative stage where, after growth and binary division, the RBs start reorganizing and condensing to form infectious EBs showed by black arrows. Different stages of the P. massiliensis developmental cycle can be detected, and RBs and EBs can be observed simultaneously, scattered inside in the host cytoplasm. FIGURE 1 | Developmental cycle of P. massiliensis in V. vermiformis. Frontiers in Cellular and Infection Microbiology | www.frontiersin.org DISCUSSION Data are the mean SD from three independent experiments performed in triplicate. (H0, H24, H72, and H96 correspond to different time points in hours). (VV P.M = V. vermiformis infected with P. massiliensis, AC P.M = A. Castellanii infected with P. massiliensis, AP P.M = A. polyphaga infected with P. massiliensis). The Y-axis corresponds to the log of bacterial load (the log values are obtained after conversion of the Cycle threshold (Ct.) values based on standard curves performed with serial 1:10 dilution starting with 107 bacterial particles). This relative quantification by real-time PCR shows the increase in bacterial multiplication in all tested hosts cells. Statistical test showed a p-value > 0.05. FIGURE 2 | Host range of P. massiliensis. Histogram of P. massiliensis growth in three types of amoeba; V. vermiformis, A. castellanii, and A. polyphaga, FIGURE 2 | Host range of P. massiliensis. Histogram of P. massiliensis growth in three types of amoeba; V. vermiformis, A. castellanii, and A. polyphaga, measured by real-time PCR for 4 days post-infection. Data are the mean SD from three independent experiments performed in triplicate. (H0, H24, H72, and H96 correspond to different time points in hours). (VV P.M = V. vermiformis infected with P. massiliensis, AC P.M = A. Castellanii infected with P. massiliensis, AP P.M = A. polyphaga infected with P. massiliensis). The Y-axis corresponds to the log of bacterial load (the log values are obtained after conversion of the Cycle threshold (Ct.) values based on standard curves performed with serial 1:10 dilution starting with 107 bacterial particles). This relative quantification by real-time PCR shows the increase in bacterial multiplication in all tested hosts cells. Statistical test showed a p-value > 0.05. The phylogenetic tree of the 16S rRNA, built with a representative set of chlamydia sequences available in the NR database, clusters P. massiliensis within the Protochlamydia genus (Figure S1). The bootstrap relating P. massiliensis to the other members of the Protochlamydia genus was 100%. The chlamydial taxonomy based on the 16S rRNA sequence similarity and phenotypic characteristics was used for chlamydial description. However, the Chlamydiales order exhibits few phenotypic differences. Moreover, Tamisier et al. showed that many of the current bacterial species with validly published names do not respect the 95 and 98.7% thresholds usually considered as delineating genus and species respectively (Rossi-Tamisier et al., 2015). Pillonel et al. DISCUSSION The warm water from cooling towers represents a suitable environment for microorganism proliferation and biofilm formation. In this study, we report the isolation and description of a novel chlamydia from a cooling tower, which will help us better, understand chlamydial evolution and obligate intracellular parasitism. Similar to Neochlamydia hartmanellae, an endoparasite of V. vermiformis (Horn et al., 2000), Rubidus massiliensis (Bou Khalil et al., 2016), and P. phocaeensis (Bou Khalil et al., 2017), P. massiliensis was able to grow without any inclusion vacuoles in V. vermiformis and showed inclusion vacuoles in A. castellanii, with an interesting point, which is having the same growth level in both hosts. Investigations of these findings are ongoing to improve understanding. As we noticed and cited in our previous works on amoeba associated Chlamydiae and the inclusion vacuoles process with many hypothesis (Bou Khalil et al., 2017), which made us speculate that this type of Chlamydiae developmental cycle is probably due to its host. In fact and for more clarification, replicative vacuoles process requires a complex interplay of host pathways and bacterial factors. As it is the case for P. phocaeensis (Bou Khalil et al., 2017), and P. massiliensis, the escape from the inclusion vacuoles may be due either to atypical host pathways or to the composition of Chlamydiae proteins. The fact that these chlamydia were able to infect other amoebae and to form inclusion vacuoles leads us to believe that the break in the inclusion vacuole is induced by the V. vermiformis′ protein. The inclusion vacuole provides the pathogen with a complex set of interactions between chlamydial inclusion and host-cell trafficking pathways, facilitating the acquisition of essential host- derived nutrients. The inability of chlamydia to form an inclusion vacuole in V. vermiformis orientate us to more investigate the difference between the amoeba hosts and correlate this issue with our findings to better understand this process. For this, we are focusing on the hosts, as we are still investigating this issue, with more techniques at different levels going from the biology or morphological and physiological differences between the hosts to the comparison of their genomes when available, in order to correlate all potential findings with the cluster of all available Chlamydiae capable of infecting these same hosts. The warm water from cooling towers represents a suitable environment for microorganism proliferation and biofilm formation. Taxonomy and General Features Data are the mean SD from three independent experiments performed in triplicate. (H0, H24, H72, and H96 correspond to different time points in hours). (VV P.M = V. vermiformis infected with P. massiliensis, AC P.M = A. Castellanii infected with P. massiliensis, AP P.M = A. polyphaga infected with P. massiliensis). The Y-axis corresponds to the log of bacterial load (the log values are obtained after conversion of the Cycle threshold (Ct.) values based on standard curves performed with serial 1:10 dilution starting with 107 bacterial particles). This relative quantification by real-time PCR shows the increase in bacterial multiplication in all tested hosts cells. Statistical test showed a p-value > 0.05. CRISPR. In spite P. massiliensis was isolated from warm water of cooling tower, there is no evidence now of relationships between this later and S. thermophila, a strict anaerobic extracellular extremely thermophilic spirochete isolated from salt water hot springs. P. massiliensis CRISPR repeats have 28 bp length, the first fourteen repeats sequences displayed total identity and four substitutions were observed in the last two repeat sequences (C/T, A/G, and A/T). DISCUSSION recommended using the 16S and 23S genes combined with 9 protein sequences to precisely classify newly discovered isolates at the family, genus, and species levels (Pillonel et al., 2015). We used Pillonel’s classification method, which showed that P. massiliensis is a new Protochlamydia species. Taxonomy and General Features (A) Internalization of a phagocytized P. massiliensis elementary body (EB), by a trophozoite of V. vermiformis at H0 p.i. (B) Ultrathin section of an amoeba harboring reticulate bodies (RBs) near the nucleus undergoing the replicative stage, where an increase in size and a decrease in density can be observed. (C), (D) Replicative stage at H12, H16, H18 p.i showing an increased number of P. massiliensis particles and hypodense RBs at different stages of morphogenesis (asterisks in D marking RBs. Some bacteria at the typical binary fission stage are also observed (black arrow in D showing typical binary division, and the constriction of some RBs can be observed). (E), (F) End of the replicative stage where, after growth and binary division, the RBs start reorganizing and condensing to form infectious EBs showed by black arrows. Different stages of the P. massiliensis developmental cycle can be detected, and RBs and EBs can be observed simultaneously, scattered inside in the host cytoplasm. FIGURE 1 | Developmental cycle of P. massiliensis in V. vermiformis. (A) Internalization of a phagocytized P. massiliensis elementary body (EB), by a trophozoite of V. vermiformis at H0 p.i. (B) Ultrathin section of an amoeba harboring reticulate bodies (RBs) near the nucleus undergoing the replicative stage, where an increase in size and a decrease in density can be observed. (C), (D) Replicative stage at H12, H16, H18 p.i showing an increased number of P. massiliensis particles and hypodense RBs at different stages of morphogenesis (asterisks in D marking RBs. Some bacteria at the typical binary fission stage are also observed (black arrow in D showing typical binary division, and the constriction of some RBs can be observed). (E), (F) End of the replicative stage where, after growth and binary division, the RBs start reorganizing and condensing to form infectious EBs showed by black arrows. Different stages of the P. massiliensis developmental cycle can be detected, and RBs and EBs can be observed simultaneously, scattered inside in the host cytoplasm. August 2017 | Volume 7 | Article 385 Frontiers in Cellular and Infection Microbiology | www.frontiersin.org Frontiers in Cellular and Infection Microbiology | www.frontiersin.org 3 Protochlamydia massiliensis; New Vermamoeba Pathogen Benamar et al. FIGURE 2 | Host range of P. massiliensis. Histogram of P. massiliensis growth in three types of amoeba; V. vermiformis, A. castellanii, and A. polyphaga, measured by real-time PCR for 4 days post-infection. DISCUSSION In this study, we report the isolation and description of a novel chlamydia from a cooling tower, which will help us better, understand chlamydial evolution and obligate intracellular parasitism. Similar to Neochlamydia hartmanellae, an endoparasite of V. vermiformis (Horn et al., 2000), Rubidus massiliensis (Bou Khalil et al., 2016), and P. phocaeensis (Bou Khalil et al., 2017), P. massiliensis was able to grow without any inclusion vacuoles in V. vermiformis and showed inclusion vacuoles in A. castellanii, with an interesting point, which is having the same growth level in both hosts. Investigations of these findings are ongoing to improve understanding. As we noticed and cited in our previous works on amoeba associated Chlamydiae and the inclusion vacuoles process with many hypothesis (Bou Khalil et al., 2017), which made us speculate that this type of Chlamydiae developmental cycle is probably due to its host. In fact and for more clarification, replicative vacuoles process requires a complex interplay of host pathways and bacterial factors. As it is the case for P. phocaeensis (Bou Khalil et al., 2017), and P. massiliensis, the escape from the inclusion vacuoles may be due either to atypical host pathways or to the composition of Chlamydiae proteins. The fact that these chlamydia were able to infect other amoebae and to form inclusion vacuoles leads us to believe that the break in the inclusion vacuole is induced by the V. vermiformis′ protein. The inclusion vacuole provides the pathogen with a complex set of interactions between chlamydial inclusion and host-cell trafficking pathways, facilitating the acquisition of essential host- derived nutrients. The inability of chlamydia to form an inclusion vacuole in V. vermiformis orientate us to more investigate the difference between the amoeba hosts and correlate this issue with our findings to better understand this process. For this, we are focusing on the hosts, as we are still investigating this issue, with more techniques at different levels going from the biology or morphological and physiological differences between the hosts to the comparison of their genomes when available, in order to correlate all potential findings with the cluster of all available Chlamydiae capable of infecting these same hosts. A l i f th l t f P ili i FIGURE 2 | Host range of P. massiliensis. Histogram of P. massiliensis growth in three types of amoeba; V. vermiformis, A. castellanii, and A. polyphaga, measured by real-time PCR for 4 days post-infection. CRISPR Sequence Analysis A CRISPR subtype I-E locus was identified in P. massiliensis (Bertelli et al., 2016). In a phylogenetic tree built using 43 cas1 proteins (Figure S2), P. massiliensis groups within the Proteobacteria cluster with a higher bootstrap value (100%). A total of 15 spacers were identified in the P. massiliensis genome (Figure S3), showing 40.80% GC content, and 42.75% genomic GC content. The P. massiliensis spacers have no significant identity in the NR database. However, a search against the “My CRISPRs DB” database (Grissa et al., 2007) enabled us to correlate a part of its sequence to a spacer from Spirochaeta thermophila Analysis of the complete genome sequence of P. massiliensis enabled us to detect a chromosome of 2.85 Mb and a plasmid of 92 Kb. The Pillonel et al. taxonomy method (Pillonel et al., 2015) allowed us to classify P. massiliensis as a new Protochlamydia species. The CRISPR loci identified in the genome of P. massiliensis had 40.80% GC content, while the August 2017 | Volume 7 | Article 385 Frontiers in Cellular and Infection Microbiology | www.frontiersin.org 4 Benamar et al. Protochlamydia massiliensis; New Vermamoeba Pathogen FIGURE 3 | The P. massiliensis developmental cycle with typical inclusion vacuoles in A. castellanii. Both host cells were studied at the same time points of infection. (A) P. massiliensis infecting V. vermiformis, where no inclusion vacuoles can be seen in the infected amoeba. Bacteria are detected in the cytoplasm. (B) P. massiliensis infecting A. castellanii and inclusion vacuoles surrounding the bacteria in the cytoplasm are clearly observed (black arrows). FIGURE 3 | The P. massiliensis developmental cycle with typical inclusion vacuoles in A. castellanii. Both host cells were studied at the same time points of infection. (A) P. massiliensis infecting V. vermiformis, where no inclusion vacuoles can be seen in the infected amoeba. Bacteria are detected in the cytoplasm. (B) P. massiliensis infecting A. castellanii and inclusion vacuoles surrounding the bacteria in the cytoplasm are clearly observed (black arrows). FIGURE 3 | The P. massiliensis developmental cycle with typical inclusion vacuoles in A. castellanii. Both host cells were studied at the same time points of infection. (A) P. massiliensis infecting V. vermiformis, where no inclusion vacuoles can be seen in the infected amoeba. Bacteria are detected in the cytoplasm. (B) P. massiliensis infecting A. castellanii and inclusion vacuoles surrounding the bacteria in the cytoplasm are clearly observed (black arrows). REFERENCES Deveau, H., Barrangou, R., Garneau, J. E., Labonte, J., Fremaux, C., Boyaval, P., et al. (2008). Phage response to CRISPR-encoded resistance in Streptococcus thermophilus. J. Bacteriol. 190, 1390–1400. doi: 10.1128/JB.01412-07 Bankevich, A., Nurk, S., Antipov, D., Gurevich, A. A., Dvorkin, M., Kulikov, A. S., et al. (2012). SPAdes: a new genome assembly algorithm and its applications to single-cell sequencing. J. Comput. Biol. 19, 455–477. doi: 10.1089/cmb.2012.0021 Eddy, S. R. (2011). Accelerated profile HMM searches. PLoS Comp. Biol. 7:e1002195. doi: 10.1371/journal.pcbi.1002195 Edgar, R. C. (2003). MUSCLE: multiple sequence alignment with high accuracy and high throughput. Nucleic Acids Res. 32, 1792–1797. doi: 10.1093/nar/gkh340 Barrangou, R., Fremaux, C., Deveau, H., Richards, M., Boyaval, P., Moineau, S., et al. (2007). CRISPR provides acquired resistance against viruses in prokaryotes. Science 315, 1709–1712. doi: 10.1126/science.11 38140 Everett, K. D., Bush, R. M., and Andersen, A. A. (1999). Emended description of the orderChlamydiales,proposal of Parachlamydiaceae fam. nov. and Simkaniaceae fam. nov., eachcontaining onemonotypic genus, revised taxonomy of the family Chlamydiaceae, includinga new genusand five new species, and standards for the identification of organisms. Int. J.Syst. Bacteriol. 49, 415–440. doi: 10.1099/00207713-49-2-415 Bertelli, C., Ousmane, H. C., Rusconi, B., Kebbi-Beghdadi, C., Croxatto, C., Goesmann, A., et al. (2016). CRISPR system acquisition and evolution of an obligate intracellular chlamydia-related bacterium. Genome Biol. Evol. 8, 2376–2386. doi: 10.1093/gbe/evw138 Gimenez, G., Bertelli, C., Moliner, C., Robert, C., Raoult, D., and Fournier, P. E. (2011). Insightintocross-talk between intra-amoebal pathogens. BMC Genomics 12:542. doi: 10.1186/1471-2164-12-542 Bou Khalil, J. Y., Benamar, S., Baudoin, J. P., Croce, O., Blanc-Tailleur, C., Pagnier, I., et al. (2016). Developmental cycle and genome analysis of “Rubidus massiliensis,” a new Vermamoeba vermiformis pathogen. Front. Cell. Infect. Microbiol. 6:31. doi: 10.3389/fcimb.2016.00031 Greub, G., and Raoult, D. (2003). History of the ADP/ATP-translocase- encoding gene, a parasitismgene transferred from a Chlamydiales ancestor to plants 1 billion years ago. Appl. Environ. Microbiol. 69, 5530–5535. doi: 10.1128/AEM.69.9.5530-5535.2003 Bou Khalil, J. Y., Benamar, S., Di Pinto, F., Blanc-Tailleur, C., Raoult, D., and La Scola, B. (2017). Protochlamydia phocaeensis sp. nov., a new Chlamydiales species with host dependent replication cycle. Microbes Infect. 19, 343–350. doi: 10.1016/j.micinf.2017.02.003 Griffiths, E., Petrich, A. K., and Gupta, R. S. (2005). Conserved indels in essential proteins that are distinctive characteristics of Chlamydiales and provide novel means for their identification. Microbiology 151 (Pt 8), 2647–2657. doi: 10.1099/mic.0.28057-0 Camacho, C., Coulouris, G., Avagyan, V., Ma, N., Papadopoulos, J., Bealer, K., et al. SUPPLEMENTARY MATERIAL The Supplementary Material for this article can be found online at: http://journal.frontiersin.org/article/10.3389/fcimb. 2017.00385/full#supplementary-material CRISPR Sequence Analysis FIGURE 4 | Circular representation of the P. massiliensis genome. Circles from the center to the outside: GC skew (green/purple); GC content (black); tRNA (dark red); rRNA (purple); tmRNA on the forward strand; genes on the forward strand colored by COGs categories; scaffolds in alternating blue; genes on the reverse strand colored by COGs; tRNA (dark red); and rRNA (purple) on the reverse strand. FIGURE 4 | Circular representation of the P. massiliensis genome. Circles from the center to the outside: GC skew (green/purple); GC content (black); tRNA (dark red); rRNA (purple); tmRNA on the forward strand; genes on the forward strand colored by COGs categories; scaffolds in alternating blue; genes on the reverse strand colored by COGs; tRNA (dark red); and rRNA (purple) on the reverse strand. CRISPR classification and evolution analysis. A phylogenetic tree using 43 cas1 proteins revealed the clustering of P. massiliensis cas1 with Proteobacteria Cas1 proteins. This implies that these genomic GC content is 42.75%. This may indicate that the CRISPR was laterally transferred from a low-GC bacterium. Nevertheless, Cas1 are present in all CRISPRs, and are used for August 2017 | Volume 7 | Article 385 Frontiers in Cellular and Infection Microbiology | www.frontiersin.org Protochlamydia massiliensis; New Vermamoeba Pathogen Benamar et al. bacteria may share the same CRISPR Loci origin. Although CRISPRs are known to have conserved repeat sequences, some single nucleotide polymorphisms, usually at its 3’ end, may be observed (Horvath et al., 2008). In the case of P. massiliensis, CRISPRs showed four substitutions in its two last repeats. Moreover, P. massiliensis harbored 15 spacers with 33 bps. Spacers are known to be flanked by two consecutive CRISPR repeats and to play a role in conjugation with Cas proteins in surveillance and adaptive immune systems. These short sequences are derived from the infecting “pathogen” (Barrangou et al., 2007; Deveau et al., 2008; Horvath et al., 2008) (phage, plasmid determinants, viruses), and their presence in the CRISPR sequence confers the bacterium with an acquired “immunity” system against “pathogens” which contains an identical proto- space. Blasting P. massiliensis spacers against the NR database yielded no significant match. However, blasting against the “My CRISPRs DB” (Grissa et al., 2007) enabled a partial identity with a spacer from S. thermophila DSM 6578 CRISP to be identified. Therefore, we suggest that these two bacteria may have “immunity” against the same “pathogen.” multiple amoebal hosts such as A. FUNDING SB was supported by the Foundation Mediterranée Infection. SB was supported by the Foundation Mediterranée Infection. CRISPR Sequence Analysis castellanii, A. polyphaga, and V. vermiformis. P. massiliensis has a development cycle with two morphological stages, typical of chlamydia, and multiplies through binary fission but lacks inclusion vacuoles in the V. vermiformis host. AUTHOR CONTRIBUTIONS SB and JB contributed equally to this work. SB performed bioinformatic analysis and wrote the paper, JB performed isolation, TEM, and wrote the paper, CB conducted genome sequencing, MB and LB performed culture, BL designed the study and corrected the manuscript. SB and JB contributed equally to this work. SB performed bioinformatic analysis and wrote the paper, JB performed isolation, TEM, and wrote the paper, CB conducted genome sequencing, MB and LB performed culture, BL designed the study and corrected the manuscript. Description of “Protochlamydia massiliensis sp. nov.” p (mas.si.li.en′sis, L. fem. adj. massiliensis, referring to Massilia, the Latin name for Marseille, where the strain was characterized). Phylogenetic position, Chlamydiales order; Gram-negative; mature infectious particles have coccus-shaped morphology 0.6 ± 0.2 mm in size; the access number for the genome at Gen Bank is NZ_CCJF01000000; this strain has been deposited in the CSUR (http://www.mediterranee-infection.com/article.php?laref=14& amp;titre=collection-de-souches Collection de Souches de l′Unite des Rickettsies) under reference CSUR (P2508). Does not grow on cell-free media; obligate intracellular pathogen of (mas.si.li.en′sis, L. fem. adj. massiliensis, referring to Massilia, the Latin name for Marseille, where the strain was characterized). Phylogenetic position, Chlamydiales order; Gram-negative; mature infectious particles have coccus-shaped morphology 0.6 ± 0.2 mm in size; the access number for the genome at Gen Bank is NZ_CCJF01000000; this strain has been deposited in the CSUR (http://www.mediterranee-infection.com/article.php?laref=14& Figure S1 | Chlamydiales members clustering according a phylogenetic tree analysis. Maximum-likelihood (PhyML) phylogenetic tree calculated with JTT+G substitution model, with the RNA 16S sequences of 33 Chlamydiales members. Bootstrap proportion values are indicated at the node. Figure S2 | Type I-E CRISPR Cas1 proteins clustering, according a phylogenetic tree analysis. Maximum-likelihood (PhyML) phylogenetic tree calculated with JTT+G substitution model with the Cas1 protein sequences of 43 bacterial members. Bootstrap proportion values are indicated at the node. amp;titre=collection-de-souches Collection de Souches de l′Unite des Rickettsies) under reference CSUR (P2508). Does not grow on cell-free media; obligate intracellular pathogen of Figure S3 | CRISPR locus and its associated genes. Cas genes are colored according the protein type. Direct repeats and spacer sequences are given in the panel. REFERENCES (2008).BLAST+: architecture and applications. BMC Bioinformatics 10:421. doi: 10.1186/1471-2105-10-421 August 2017 | Volume 7 | Article 385 Frontiers in Cellular and Infection Microbiology | www.frontiersin.org 6 Protochlamydia massiliensis; New Vermamoeba Pathogen Benamar et al. Griffiths-Jones, S., Bateman, A., Marshall, M., Khanna, A., and Eddy, S. R. (2003). Rfam: an RNA family database. Nucleic Acids Res. 31, 439–441. doi: 10.1093/nar/gkg006 Lo, C. I., Padhmanabhan, R., Mediannikov, O., Terras, J., Robert, C., Faye, N., et al. (2015). High-quality genome sequence and description of Bacillus dielmoensis strain FF4T sp. nov. Stand. Genomic Sci. 10, 1–11. doi: 10.1186/s40793-015-0019-8 Grissa, I., Vergnaud, G., and Pourcel, C. (2007). The CRISPRdb database and tools to display CRISPRs and to generate dictionaries of spacers and repeats. BMC Bioinformatics 8:172. doi: 10.1186/1471-2105-8-172 Longbottom, D., and Coulter, L. J. (2003). Animal chlamydioses and zoonotic implications. J. Comp. Pathol. 128, 217–244. doi: 10.1053/jcpa.2002.0629 Horn, M. (2008). Chlamydiae as symbionts in eukaryotes. Annu. Rev. Microbiol. 62, 113–131. doi: 10.1146/annurev.micro.62.081307.162818 Nawrocki, E. P., Kolbe, D. L., and Eddy, S. R. (2009). Infernal 1.0: inference of RNA alignments. J. Gerontol. 25, 1335–1337. doi: 10.1093/bioinformatics/btp157 Horn, M., Collingro, A., Schmitz-Esser, S., Beier, C., Purkhold, U., Fartmann, B., et al. (2004). Illuminating the evolutionary history of chlamydiae. Science 304, 728–730. doi: 10.1126/science.1096330 Pagnier, I., Valles, C., Raoult, D., and La Scola, B. (2015). Isolation of Vermamoeba vermiformis and associated bacteria in hospital water. Microb. Pathog. 80, 14–20. doi: 10.1016/j.micpath.2015.02.006 Pillonel, T., Bertelli, C., Salamin, N., and Greub, G. (2015). Taxogenomics of the order Chlamydiales. Int. J. Syst. Evol. Microbiol. 65, 1381–1393. doi: 10.1099/ijs.0.000090 Horn, M., Wagner, M., Müller, K. D., Schmid, E. N., Fritsche, T. R., Schleifer, K. H., et al. (2000). Neochlamydia hartmannellae gen. nov., sp. nov. (Parachlamydiaceae), an endoparasite of the amoeba Hartmannella vermiformis. Microbiology 146 (Pt 5), 1231–1239. doi: 10.1099/00221287-146-5-1231 Rossi-Tamisier, M., Benamar, S., Raoult, D., and Fournier, P. E. (2015). Cautionary tale of using 16S rRNA gene sequence similarity values in identification of human-associated bacterialspecies. Int. J.Syst. Evol. Microbiol. 65, 1929–1934. doi: 10.1099/ijs.0.000161 Horvath, P., Romero, D. A., Coûté-Monvoisin, A. C., Richards, M., Deveau, H., Moineau, S., et al. (2008). Diversity, activity, and evolution of CRISPR loci in Streptococcus thermophilus. J. Bacteriol. 190, 1401–1412. doi: 10.1128/JB.01415-07 Talavera, G., and Castresana, J. (2007). Improvement of phylogenies after removing divergent andambiguously aligned blocks from protein sequence alignments. Syst. Biol. 56, 564–577. doi: 10.1080/10635150701472164 Hyatt, D., Chen, G. L., Locascio, P. F., Land, M. Frontiers in Cellular and Infection Microbiology | www.frontiersin.org August 2017 | Volume 7 | Article 385 REFERENCES L., Larimer, F. W., and Hauser, L. J. (2010). Prodigal: prokaryotic gene recognition and translation initiation site identification. BMC Bioinformatics 11:119. doi: 10.1186/1471-2105-11-119 Tamura, K., Peterson, D., Peterson, N., Stecher, G., Nei, M., and Kumar, S. (2011). MEGA5:molecular evolutionary genetics analysis using maximum likelihood, evolutionary distance,and maximum parsimony methods. Mol. Biol. Evol. 28, 2731–2739. doi: 10.1093/molbev/msr121 Kahane, S., Gonen, R., Sayada, C., Elion, J., and Friedman, M. G. (1993). Description and partial characterization of a new Chlamydia-like microorganism. FEMS Microbiol. Lett. 109, 329–333. doi: 10.1111/j.1574-6968.1993.tb06189.x 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. Lagesen, K., Hallin, P., Rødland, E. A., Staerfeldt, H. H., Rognes, T., and Ussery, D. W. (2006). RNAmmer: consistent and rapid annotation of ribosomal RNA genes. Nucleic Acids Res. 35, 3100–3108. doi: 10.1093/nar/ gkm160 Copyright © 2017 Benamar, Bou Khalil, Blanc-Tailleur, Bilen, Barrassi and La Scola. 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. La Scola, B., Barrassi, L., and Raoult, D. (2000). Isolation of new fastidious alpha Proteobacteria and Afipia felis from hospital water supplies by direct plating and amoebal co-cultureprocedures. FEMS Microbiol. Ecol. 34, 129–137. Laslett, D., and Canback, B. (2003). ARAGORN, a program to detect tRNA genes and tmRNAgenes innucleotide sequences. 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DNAzyme Sensor for the Detection of Ca2+ Using Resistive Pulse Sensing
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ERROR: type should be string, got "https://doi.org/10.3390/s20205877 VoR (Version of Record) This item was submitted to Loughborough's Research Repository by the author. \nItems in Figshare are protected by copyright, with all rights reserved, unless otherwise indicated. This item was submitted to Loughborough's Research Repository by the author. Items in Figshare are protected by copyright, with all rights reserved, unless otherw PLEASE CITE THE PUBLISHED VERSION https://doi.org/10.3390/s20205877 PUBLISHER STATEMENT This article is an open access article distributed under the terms and conditions of the Creative Commons\nAttribution (CC BY) license (http://creativecommons.org/licenses/by/4.0/). LICENCE DNAzyme sensor for the detection of Ca2+ using resistive pulse sensing DNAzyme sensor for the detection of Ca2+ using resistive pulse sensing Received: 24 August 2020; Accepted: 10 October 2020; Published: 17 October 2020 Received: 24 August 2020; Accepted: 10 October 2020; Published: 17 October 2020 Abstract: DNAzymes are DNA oligonucleotides that can undergo a specific chemical reaction in the\npresence of a cofactor. Ribonucleases are a specific form of DNAzymes where a tertiary structure\nundergoes cleavage at a single ribonuclease site. The cleavage is highly specificity to co-factors, which\nmakes them excellent sensor recognition elements. Monitoring the change in structure upon cleavage\nhas given rise to many sensing strategies; here we present a simple and rapid method of following\nthe reaction using resistive pulse sensors, RPS. To demonstrate this methodology, we present a\nsensor for Ca2+ ions in solution. A nanoparticle was functionalised with a Ca2+ DNAzyme, and it\nwas possible to follow the cleavage and rearrangement of the DNA as the particles translocate the\nRPS. The binding of Ca2+ caused a conformation change in the DNAzyme, which was monitored\nas a change in translocation speed. A 30 min assay produced a linear response for Ca2+ between\n1–9 µm, and extending the incubation time to 60 min allowed for a concentration as low as 0.3 µm. We demonstrate that the signal is specific to Ca2+ in the presence of other metal ions, and we can\nquantify Ca2+ in tap and pond water samples. Keywords: DNAzyme; aptamer; nanopore; resistive pulse sensor; metal ion sensor REPOSITORY RECORD Heaton, Imogen, and Mark Platt. 2020. “Dnazyme Sensor for the Detection of Ca2+ Using Resistive Pulse\nSensing”. Loughborough University. https://hdl.handle.net/2134/13148729.v1. sensors sensors Imogen Heaton and Mark Platt * Department of Chemistry, Loughborough University, Loughborough, Leicestershire LE11 3TU, UK;\nI.Heaton@lboro.ac.uk\n* Correspondence: m.platt@lboro.ac.uk Department of Chemistry, Loughborough University, Loughborough, Leicestershire LE11 3TU, UK;\nI Heaton@lboro ac uk Department of Chemistry, Loughborough University, Loughborough, Leicestershire LE11 3TU, UK;\nI.Heaton@lboro.ac.uk\n* Correspondence: m platt@lboro ac uk * Correspondence: m.platt@lboro.ac.uk \u0001\u0002\u0003\u0001\u0004\u0005\u0006\u0007\b\u0001\n\u0001\u0002\u0003\u0004\u0005\u0006\u0007 Received: 24 August 2020; Accepted: 10 October 2020; Published: 17 October 2020 Sensors 2020, 20, 5877; doi:10.3390/s20205877 1. Introduction Calcium (Ca2+) is one of the most abundant metals in the human body, making up to 2%wt of\ntotal human body weight, and plays a fundamental role in biological processes including secondary\nmessengers critical for cell signalling, protein folding, and catalysis [1–4]. It has also been demonstrated\nthat monitoring Ca2+ concentrations is important within the environment. High or very low\nconcentrations within drinking water have been linked to problems with corrosion, scaling, and\npoor taste [5]. It also represents a hazard due to its high environmental mobility and bioavailability [6]. When unregulated, high concentrations of Ca2+ can cause various diseases such as hypercalcaemia [7]\nand heart disease, [8] while low levels can lead to deficiencies such as osteoporosis [9] and muscle and\nnerve tightening [10]. Many different methods have been developed for the detection of Ca2+ ions in solutions. Common methods include atomic absorption spectrometry [11,12], ion chromatography [13,14],\nand high-performance liquid chromatography [15]. While they are sensitive, e.g., the Limit of detection\n(LoD) for atomic absorption can be 0.005 µM [12], as well as selective and reliable, they are expensive,\nlabour intensive, and unable to be taken on-site. Fluorometric methods have been widely acknowledged\ndue to their advantageous short response times and high sensitivity; however, they too suffer complex\noperations, low detection throughput, and can also be problematic to apply on-site [16]. There remains\na need for a technology that is relatively inexpensive, has short analysis times, is sensitive, and can be\ndeployed in complex matrices. Sensors 2020, 20, 5877; doi:10.3390/s20205877 www.mdpi.com/journal/sensors www.mdpi.com/journal/sensors 2 of 11 Sensors 2020, 20, 5877 An important component for any sensor is the recognition element, and thus, there have been\ncomponents that have been developed to bind Ca2+ with high specificity that have been integrated\ninto various sensing platforms, such as binding proteins [7,17,18], magnetic nanoparticles [19],\nand glycosphingolipds [20]. A new category of recognition ligands to heavy metals include DNA\naptamers and DNAzymes. DNAzymes are DNA-based catalysts; all known DNAzymes have been\nselected through in vitro selection [8,21,22]. There are many DNAzymes that require divalent metal\nions such as Pb2+ [23–25], Zn2+ [26,27], Cu2+ [28,29], and UO22+ [30,31], for activity. DNAzymes have\nseveral advantages compared to enzymes commonly used within biosensing: they can easily be grafted\nonto surfaces, are more stable at ambient conditions, and can amplify detection due to their catalytic\nnature [32]. 1. Introduction DNAzymes have been widely used as they have simple reaction conditions and significant\nchanges in structure [33]. However, they usually require a tag or label to provide an analytical\nsignal [3,34,35]. Resistive pulse sensing (RPS) is a sensing technology capable of probing changes in\nDNA structure [36,37]. RPS has a broad range of applications including material characterisation [38–41],\nquantification of DNA/peptide analyte interactions [42,43], and biosensing [44–46]. RPS measures\nspeeds of nanocarriers as they translocate a nanopore, and through changes in nanocarrier speed,\nthey are able to infer carrier binding with target analyte [47–49]. The integration of DNAzymes onto nanocarriers presents a new method of analysis, as the\ncleavage of the DNAzymes could be identified and characterised. RPS has demonstrated the ability to\nmeasure speed changes between double and single stranded DNA [36]. There have also been other\nstudies that have utilised DNAzymes with a-hemolysin and solid-state nanopores [50–52]. Protein and\nsolid-state nanopores offer the ability to distinguish between the DNAzyme and its cleavage products\nthrough changes in blockade signal. However, protein nanopores suffer from issues with stability and\nlow reaction condition tolerance, while solid-state nanopores suffer from low signal-to-noise ratios and\nrequired large DNA strands to enable detection. To improve these limitations, carriers can be used to\nenable separation and preconcentration of samples, enhance the signal, and increase dynamic range\nand sensitivity of the assay [37,53]. Here, we present the use of a DNAzyme with RPS to detect Ca2+ ions in solution, using RPS’s\nability to identify changes in structure. Previous studies have reported the cleavage of the DNAzyme\nby Ca2+ [3,54,55]; here, we were able to measure and take this further by inferring the rearrangement\nof the DNAzyme structure post cleavage. The catalytic nature of the DNAzyme allowed for the assay\nlimits of detection to be tuned dependent on incubation times, as well as allowing quantification of\nCa2+ when incubation times are kept constant. We were also able to demonstrate our assay is specific\nto Ca2+ observing no interferences from a mix of divalent ions. Finally, we showed the ability of our\nassay to be deployed in real environmental samples through the quantification of Ca2+ in both tap and\npond water samples. 2.4. RPS Set Up A qNano (Izon Science Ltd., New Zealand) was used to complete all the measurements for this\nstudy. A qNano uses data capturing software (Izon Control Suite v3.3) to record the particles as\nthey traverse the pore. The lower fluid cell contained 80 µL of KCl solution and the upper fluid cell\ncontained 40 µL sample solution. After each measurement was taken, the nanopore was cleaned by\nfirst rinsing the upper fluid cell with background buffer before the buffer was removed and replaced\nmultiple times. Each time, a different pressure or vacuum was applied. The nanopore stretch was\nalso varied wider and narrower; this was done until there were not any residual particles observed in\nthe system, ensuring no cross contamination between the samples. The qNano was operated with a\npositive bias, i.e., the positive electrode in the lower fluid cell and the negative electrode in the upper\nfluid cell, so the particles traverse the pore towards the positive electrode unless otherwise stated. For all experiments, an NP200 nanopore was used to be able to analyse particles from 85–500 nm. More than 200 particles where measured for each sample, and a typical rate was 250–300 particles per\nmin. To account for any manufacturing variation between pores, the baseline current was kept constant\nthroughout all experiments, and the stretch was slightly changed to ensure this, with a maximum 10%\ndifference in baseline between sample runs. Each pore was first characterised using the calibration\nparticles so day-to-day differences could also be accounted for. A typical workflow was 30 min incubation of the particles in the test solution before being vortexed\nand circa 2 min to acquire the data. If required, a magnetic separation step was included. After the\nincubation period, the samples were placed next to the magnet for 5 min or until a clear cluster of\nparticles could be seen. The solution was then removed, and the particles resuspended before detection. 2.2. Custom DNA Oligonucleotides Two custom DNA oligonucleotides were purchased from Sigma-Aldrich, in lyophilised form, and\nwere purified using reverse-phase cartridge purification by the manufacturer. The two oligonucleotides\nordered were: GCCATCTTTTCTCACAGCGTACTCGCTAAGGTTGTTAGTGACTCGTGAC (enzyme\nstrand) and biotin-TCACGAGTCACTATRAGGAAGATGGCGAAA (substrate strand); they were\ndiluted to 100 µM stock solutions using deionised water. 2.1. Chemicals and Reagents Calcium(II) chloride and potassium chloride were purchased from Fisher Scientific, UK. Carboxylated polystyrene particles were purchased from Bangs Laboratories, USA, and are denoted\nas CPC200 (mode diameter 210 nm, measured concentration 1 × 1012 particles mL−1). Nanopores\nwere purchased from Izon Science Ltd., New Zealand. Reagents were prepared in deionised water\n(Elga PureLab), with a resistance of 15 MΩcm. 2-(N-Morpholino)ethanesulfonic acid (MES) and\n2-[4-(2-hydroxyethyl)piperazin-1-yl]ethanesulfonic acid (HEPES), Lithium Chloride, nickel sulphate\nhexahydrate, iron chloride, magnesium chloride, and TWEEN 20 were purchased from Sigma-Aldrich,\nUK. Streptavidin-modified magnetic particles, 120 nm, were purchased from Ademtech, France. 3 of 11 Sensors 2020, 20, 5877 2.3. Particle Preparation The DNAzyme complex was first formed by heating the substrate strand, 2.5 µL, with the enzyme\nstrand, 5 µL, in 50 mM MES buffer (pH 6 with 25 mM LiCl) with 0.05% TWEEN 20 added, at 70 ◦C\nfor 2 min followed by cooling. Once cool, streptavidin modified particles were added to the solution\nand left to bind for 30 min. Once bound, the particles were placed on a MagRack (Life Sciences) until\na clear cluster of particles was seen; the buffer was then removed and replaced with 10 mM HEPES,\npH 7.6, 50 mM LiCl, and a buffer with 0.05% TWEEN 20 was added. The concentration of the particles in each assay was 2.5 × 109 particles per mL. The suppliers data\nsheets give the binding capacity of 5665 pmol of biotin per mg of beads, which we used to calculate\nhow much DNA is 100% coverage. In each assay, the number of particles remained the same and the\nDNA was always added in excess to ensure complete coverage of the carrier surface. We have shown\nhow the number of the carriers and ligand density can affect the sensitivity in similar assays. This was\nnot the subject of investigation here [37,42,48,53,56]. 2.9. Particle Speed Particle speed through the pore was calculated from the pulse width. As particles translocate the\nnanopore, they produce a pulse. The maximum magnitude of this pulse is recorded as T1.0 as this\nmagnitude decreases multiple time points are recorded correlating to T0.9, T0.8, T0.7, etc. Here, we used\nthe reciprocal of the value at T0.5 (width of the pulse at 50% peak height) to determine relative particle\nspeed. These values were then normalised to either calibration particles (CPC200s) or blank peptide\nfunctionalised particles were run on the same day. Using the same nanopore and experimental\nconditions, normalisation was done by running multiple calibration runs, getting an average setting of\n1, and then dividing the sample data by this to get a ratio. This was done to account for any differences\nin measured speed between different pores and different days. 2.6. Binding Time DNAzyme particles where functionalised as above, and Ca2+ was added to make 1 µM solutions. The samples were the placed on a rotary wheel, and at 5, 10, 20, and 30 min, an aliquot was taken out\nand vortexed before being analysed. 2.8. Environmental Water Samples Water samples were collected from a lap tap and an outdoor pond. DNAzyme particles were\nfunctionalised as above and added to the water samples. The samples were also spiked with Ca2+\nto give a final concentration of 3 µM. They were then left on a rotary wheel for 30 min before being\nmagnetically separated and resuspended in buffer before analysis. 2.5. Saturation Point Testing Particles where functionalised with different amounts of the DNA substrate strand added to\ndetermine the saturation point. Heating the substrate and enzymes strands together formed the\nDNAzyme before different amounts were added to the particles to determine DNAzyme forming and\nsaturation point. Finally, post heating of the two DNA strands, they were left to cool in different places\nbefore being added to particles to determine the best cooling practices. 4 of 11 Sensors 2020, 20, 5877 2.7. Metal Ion Interferences Metal ion stocks were prepared from MgCl2, NiCl2, and FeCl3. These were added to DNAzyme\nfunctionalised particles to give 3 µM solutions. A mix was also prepared, which included Ca2+. Samples were left on a rotary wheel for 30 min before being vortexed and analysed. 3. Results and Discussion Within RPS experiments, each translocation of a carrier through the nanopore produces a pulse,\nsuch as in Figure 1a. The magnitude of the pulse, known as the pulse magnitude, ∆ip, is related to\nthe volume of the carrier, and the width or full width half maximum, FWHM, of the pulse relates to\nits velocity [36]. In the absence of convection, the velocity of the carrier can be proportional to the\nsurface charge or zeta potential of the carrier, assuming that electro osmosis remains constant [36,57]. Thus, RPS allows the quantity and structure of the DNA on the nanocarrier to be analysed [36]. The DNA sequences of the two DNA strands that make up the DNAzyme are shown in Table 1,\nand the two strands are labelled substrate and enzyme. The structure of the Ca2+ DNAzyme was\npreviously reported by Yu et al. after systematic mutation to identify the optimal sequence. This is\nshown schematically in Figure 1bi [3]. The substrate strand has a single RNA linkage (rA) that operates\nas the cleavage site. Upon binding with two Ca2+ ions [55], the substrate strand cleaves and rearranges,\nchanging from dsDNA to ssDNA, seen in Figure 1bii [3,4]. RPS can differentiate from dsDNA and\nssDNA through changes in the nanocarrier translocation speed [36]. 5 of 11 Sensors 2020, 20, 5877\nSensors 20 Figure 1. (a) Schematic of a particle traversing the RPS device and the signal produced. Blockade \nmagnitude (Δip) and full width half‐maximum (FWHM) are shown. (bi) Schematic of the DNAzyme \nonce  both  strands  have  bound  together,  with  the  substrate  strand  (blue)  and  the  enzyme  strand \n(orange);  (bii)  binding  with  two  Ca2+ ions  and  cleaving;  (biii)  rearrangement  of  DNAzyme  post \ncleavage. (c) Example of a baseline current and blockade events caused by the carriers translocating \nthe pore from 10 to 30 s, with the inset showing 17 to 21 s and two example pulses. The DNA sequences of the two DNA strands that make up the DNAzyme are shown in Table 1, \nand the two strands are labelled substrate and enzyme. The structure of the Ca2+ DNAzyme was \nFigure 1. (a) Schematic of a particle traversing the RPS device and the signal produced. Blockade\nmagnitude (∆ip) and full width half-maximum (FWHM) are shown. 3. Results and Discussion (bi) Schematic of the DNAzyme\nonce both strands have bound together, with the substrate strand (blue) and the enzyme strand (orange);\n(bii) binding with two Ca2+ ions and cleaving; (biii) rearrangement of DNAzyme post cleavage. (c) Example of a baseline current and blockade events caused by the carriers translocating the pore\nfrom 10 to 30 s, with the inset showing 17 to 21 s and two example pulses. Figure 1. (a) Schematic of a particle traversing the RPS device and the signal produced. Blockade \nmagnitude (Δip) and full width half‐maximum (FWHM) are shown. (bi) Schematic of the DNAzyme \nonce  both  strands  have  bound  together,  with  the  substrate  strand  (blue)  and  the  enzyme  strand \n(orange);  (bii)  binding  with  two  Ca2+ ions  and  cleaving;  (biii)  rearrangement  of  DNAzyme  post \ncleavage. (c) Example of a baseline current and blockade events caused by the carriers translocating \nthe pore from 10 to 30 s, with the inset showing 17 to 21 s and two example pulses. The DNA sequences of the two DNA strands that make up the DNAzyme are shown in Table 1, \nand the two strands are labelled substrate and enzyme The structure of the Ca2+ DNAzyme was\nFigure 1. (a) Schematic of a particle traversing the RPS device and the signal produced. Blockade\nmagnitude (∆ip) and full width half-maximum (FWHM) are shown. (bi) Schematic of the DNAzyme\nonce both strands have bound together, with the substrate strand (blue) and the enzyme strand (orange);\n(bii) binding with two Ca2+ ions and cleaving; (biii) rearrangement of DNAzyme post cleavage. (c) Example of a baseline current and blockade events caused by the carriers translocating the pore\nfrom 10 to 30 s, with the inset showing 17 to 21 s and two example pulses. p\ny\np\ny\ny\ny\np\nq\nshown  schematically  in  Figure  1bi  [3]. The  substrate  strand  has  a  single  RNA  linkage  (rA)  that \noperates as the cleavage site. Upon binding with two Ca2+ ions [55], the substrate strand cleaves and \nrearranges, changing from dsDNA to ssDNA, seen in Figure 1bii [3,4]. RPS can differentiate from \ndsDNA and ssDNA through changes in the nanocarrier translocation speed [36]. Table 1. Table of the two different DNAzyme strand sequences and lengths. The ribo-adenine is in the\nsubstrate strand denoted at rA, and it is here that the DNAzyme cleavages upon binding with calcium. 3. Results and Discussion (a) Determining the concentration of substrate strand DNA required to saturate the\nnanocarriers through changes in carrier speed. (b) Determining if the DNAzyme complex had formed\npost heating through the differing saturation points of the substrate strand vs. the DNAzyme complex. Studies have shown how the binding of Ca2+ to the DNAzyme complex cleaves a section of 15 base\npairs of DNA, as in Figure 1bi,bii [3]. If the reported mechanism is correct, it was hypothesised that\nas the DNA cleaves, changing from dsDNA to ssDNA, it would result in the decrease in nanocarrier\ntranslocation speeds. [36] This theory was tested by monitoring the DNAzyme modified nanocarriers\nspeeds at different time points after incubation with Ca2+. As can be seen in Figure 3ii, after the initial\n5 min, we measured a significant decrease in nanocarrier speed, from 1 to 0.84 ms−1, before a rapid\nincrease and plateauing after 10 min to 1.23 ms−1. We postulated that this increase in speed was due to\nthe DNAzyme rearranging post cleavage by Ca2+, as the remaining attached DNA strand is extended,\nseen in Figure 1biii [58]. This increase in DNA length would increase particle speed significantly, and\nit correlates to previous studies [36]. The speed of the nanocarriers in the presence/absence of Ca2+ is\nshown in Figure S3. The velocity of the uncoated and ssDNA carriers remains unchanged with the\naddition of Ca2+, which illustrates that the addition of divalent ions does not change the electroosmotic\nand electrophoretic forces acting on the particles and Nanopore channel. We also interpret this change\nin velocity for the DNAzyme coated carriers as being specific to the cleavage mechanism. Sensors 2020, 20, x \n7  of  12 \npost  heating  through  the  differing  saturation  points  of  the  substrate  strand  vs. the  DNAzyme \ncomplex. Studies have shown how the binding of Ca2+ to the DNAzyme complex cleaves a section of 15 \nbase pairs of DNA, as in Figure 1bi,bii [3]. If the reported mechanism is correct, it was hypothesised \nthat  as  the  DNA  cleaves,  changing  from  dsDNA  to  ssDNA,  it  would  result  in  the  decrease  in \nnanocarrier translocation speeds.[36] This theory was tested by monitoring the DNAzyme modified \nnanocarriers speeds at different time points after incubation with Ca2+. 3. Results and Discussion DNA Sequence\nSubstrate strand\n[Btn]GTCACGAGTCACTATrAGGAAGATGGCGAAA\n31 mer\nEnzyme Strand\nGCCATCTTTTCTCACAGCGTACTCGCTAAGGTTGTTAGTGACTCGTGAC\n49 mer p\ny\np\ny\ny\ny\np\nq\nshown  schematically  in  Figure  1bi  [3]. The  substrate  strand  has  a  single  RNA  linkage  (rA)  that \noperates as the cleavage site. Upon binding with two Ca2+ ions [55], the substrate strand cleaves and \nrearranges, changing from dsDNA to ssDNA, seen in Figure 1bii [3,4]. RPS can differentiate from \nTable 1. Table of the two different DNAzyme strand sequences and lengths. The ribo-adenine is in the\nsubstrate strand denoted at rA, and it is here that the DNAzyme cleavages upon binding with calcium. Previous work from our group has shown that the technique is cable of differentiating between\nthe location and position of dsDNA on a mixed ss/dsDNA strand [36]. Previous work from our group has shown that the technique is cable of differentiating between\nthe location and position of dsDNA on a mixed ss/dsDNA strand [36]. Here, the hypothesis was that the binding of Ca2+ ions to the DNA would cause a change in the\ntertiary structure that could be followed using RPS. The substrate strand binds to the nanocarrier\nvia the biotin-avidin interaction. To confirm the immobilisation of the substrate strand on the carrier,\nvarying concentrations were added to a consistent number of carriers, as in Figure 2a. At 120 nM,\nthe velocity remains unchanged; note that more DNA may attach to the carrier’s surface, but the\nsignal does not change above this concentration and we can infer that the particles are saturated\nwith DNA. Due to the double stranded nature of the DNAzyme and the lower packing density of\ndsDNA on the carrier, it was expected that a lower concentration of DNAzyme would be required to\ncover the same surface area of carriers. A comparable experiment was carried out and the data are\nshown in Figure 2b. This shows a decrease in saturation point from 120 to 60 nM for dsDNA. It is\nimportant to note that the binding of the DNAzyme to the carriers did not result in a change in the\npulse magnitude, indicating that changes in nanocarrier speed were down to differences in carrier\ncharge, not aggregation or disaggregation of the particles, Figure S1. Alternative processes were also\ntested to ensure a high grafting density of the dsDNA on the carrier used different cooling cycles. 3. Results and Discussion 6 of 11 Sensors 2020, 20, 5877\nsurfa\nThis When forming the DNAzyme complex, the two DNA strands are first added together, and the solution\nis heated to 70 ◦C before being cooled. To compare if the rate at which the solution cooled affected the\npacking, density samples were placed within the fridge (cold), room temperature (RT), heated (warm),\nand one was left in the dry bath (hot). The data presented in Figure S2 compare the different speeds of\nthe nanocarriers functionalised with the DNAzymes formed through the different cooling methods. As can be seen, although the differences are only slight, keeping the solution in a warm place to allow\nit to cool slowly led to the faster speed, indicating that more DNAzyme has been immobilised onto the\ncarrier surface. indicating  that  changes  in  nanocarrier  speed  were  down  to  differences  in  carrier  charge,  not \naggregation or disaggregation of the particles, Figure S1. Alternative processes were also tested to \nensure  a  high  grafting  density  of  the  dsDNA  on  the  carrier  used  different  cooling  cycles. When \nforming the DNAzyme complex, the two DNA strands are first added together, and the solution is \nheated to 70 °C before being cooled. To compare if the rate at which the solution cooled affected the \npacking,  density  samples  were  placed  within  the  fridge  (cold),  room  temperature  (RT),  heated \n(warm), and one was left in the dry bath (hot). The data presented in Figure S2 compare the different \nspeeds of the nanocarriers functionalised with the DNAzymes formed through the different cooling \nmethods. As can be seen, although the differences are only slight, keeping the solution in a warm \nplace to allow it to cool slowly led to the faster speed, indicating that more DNAzyme has been \nimmobilised onto the carrier surface. Comment Figure  2. (a)  Determining  the  concentration  of  substrate  strand  DNA  required  to  saturate  the \nnanocarriers through changes in carrier speed. (b) Determining if the DNAzyme complex had formed \nand\nFigure 2. (a) Determining the concentration of substrate strand DNA required to saturate the\nnanocarriers through changes in carrier speed. (b) Determining if the DNAzyme complex had formed\npost heating through the differing saturation points of the substrate strand vs. the DNAzyme complex. Figure  2. (a)  Determining  the  concentration  of  substrate  strand  DNA  required  to  saturate  the \nnanocarriers through changes in carrier speed. (b) Determining if the DNAzyme complex had formed \nFigure 2. 3. Results and Discussion Samples were run in triplicate, and between 250 and 300 particles were\nmeasured for each sample. Error bars are one standard deviation from the mean. Figure 4. (a) Relative particle speeds normalised to blank DNAzyme functionalised particles, versus \nvarying amounts of Ca2+ ions added from 1–9 μM measured at 30 min (b) 0 3 μM Ca2+ ions added\nFigure 4. (a) Relative particle speeds normalised to blank DNAzyme functionalised particles, versus Figure 4. (a) Relative particle speeds normalised to blank DNAzyme functionalised particles, versus \nvarying amounts of Ca2+ ions added from 1–9 μM, measured at 30 min. (b) 0.3 μM Ca2+ ions added, \nincubated from 30 to 150 min. Samples were run in triplicate, and between 250 and 300 particles were \nmeasured for each sample. Error bars are one standard deviation from the mean. To demonstrate that the selectivity of our assay was dependent upon the Ca2+ binding to the\nFigure 4. (a) Relative particle speeds normalised to blank DNAzyme functionalised particles, versus\nvarying amounts of Ca2+ ions added from 1–9 µM, measured at 30 min. (b) 0.3 µM Ca2+ ions added,\nincubated from 30 to 150 min. Samples were run in triplicate, and between 250 and 300 particles were\nmeasured for each sample. Error bars are one standard deviation from the mean. varying amounts of Ca2  ions added from 1–9 μM, measured at 30 min. (b) 0.3 μM Ca2  ions added, \nincubated from 30 to 150 min. Samples were run in triplicate, and between 250 and 300 particles were \nmeasured for each sample. Error bars are one standard deviation from the mean. To demonstrate that the selectivity of our assay was dependent upon the Ca2+ binding to the\np\np\ny\np\nvarying amounts of Ca2+ ions added from 1–9 µM, measured at 30 min. (b) 0.3 µM Ca2+ ions added,\nincubated from 30 to 150 min. Samples were run in triplicate, and between 250 and 300 particles were\nmeasured for each sample. Error bars are one standard deviation from the mean. DNAzyme, we incubated our DNAzyme functionalised particles with different metal ions. As the \nprevious study had reported some binding with Mg2+ [55], Mg2+ was added at 3 μM and incubated \nfor  30  min,  and  5  mM  was  tested every  hour  over 6  h  (Figure  S7)  to  confirm  that  there  was  no \ninterferences with our assay. 3. Results and Discussion 7 of 11 Sensors 2020, 20, 5877 Figure 4 demonstrates that the change in nanocarrier speed is proportional to the concentration\nof Ca2+ present in solution. Only the Ca2+ concentration was varied, as incubation times and DNA\nconcentration remained the same. As shown in Figure 4a, as the concentration of Ca2+ increases,\nthe speed of the nanocarriers increases. This constant translocation speed is stable over a large\nconcentration range, from 3 µM, 1.23 ms−1, to 3000 µM, 1.27 ms−1, demonstrating the end point of\nthe reaction, seen in Figure S4. The LOD for an assay run under these conditions, i.e., with 30 min\nincubation of DNAzyme particles in the Ca2+ solution, the LOD, calculated as 3 × STEY,X/gradient,\nis 1 µM. The saturation in velocity over 5 mm is due to the saturation of the binding sites. Whilst it\nmay be possible for more Ca2+ to bind over this concentration, we are unable to resolve it. Due to the\ncatalytic nature of DNAzymes, we also tested a lower concentration of Ca2+ ions, 0.3 µM, with varying\nincubation times from 30 to 150 min. As shown in Figure 4b, as incubation times increases, so did\nthe nanocarrier speed until after 90 min when the speed becomes constant at 1.25 ms−1 and 1.23 ms−1\nfor 90 and 150 min, respectively. The change in translocation speed in the presence of Ca2+ was not\ndue to particle aggregation or disaggregation, see Figure S5, which shows there was no measurable\nchange in particle size. The change in translocation speed was reproducible over different batches of\nnanocarriers such as in Figure S6. Sensors 2020, 20, x \n8  of  12 Figure 4. (a) Relative particle speeds normalised to blank DNAzyme functionalised particles, versus \nvarying amounts of Ca2+ ions added from 1–9 μM, measured at 30 min. (b) 0.3 μM Ca2+ ions added, \nincubated from 30 to 150 min. Samples were run in triplicate, and between 250 and 300 particles were \nmeasured for each sample. Error bars are one standard deviation from the mean. To demonstrate that the selectivity of our assay was dependent upon the Ca2+ binding to the\nFigure 4. (a) Relative particle speeds normalised to blank DNAzyme functionalised particles, versus\nvarying amounts of Ca2+ ions added from 1–9 µM, measured at 30 min. (b) 0.3 µM Ca2+ ions added,\nincubated from 30 to 150 min. 3. Results and Discussion As can be seen in Figure 3ii, \nafter the initial 5 min, we measured a significant decrease in nanocarrier speed, from 1 to 0.84 ms−1, \nbefore a rapid increase and plateauing after 10 min to 1.23 ms−1. We postulated that this increase in \nspeed was due to the DNAzyme rearranging post cleavage by Ca2+, as the remaining attached DNA \nstrand is extended, seen in Figure 1biii [58]. This increase in DNA length would increase particle \nspeed significantly, and it correlates to previous studies [36]. The speed of the nanocarriers in the \npresence/absence of Ca2+ is shown in Figure S3. The velocity of the uncoated and ssDNA carriers \nremains unchanged with the addition of Ca2+, which illustrates that the addition of divalent ions does \nnot  change  the  electroosmotic  and  electrophoretic  forces  acting  on  the  particles  and  Nanopore \nchannel. We also interpret this change in velocity for the DNAzyme coated carriers as being specific \nto the cleavage mechanism. Figure 3. Measuring the change in the DNAzyme functionalised nanocarrier velocity versus different \nincubation  times  with  Ca2+  ions;  (a),  blank  DNAzyme  complex  on  the  bead,  (b)  cleavage  of  the \nDNAzyme from dsDNA to ssDNA, and (c) DNAzyme rearranging. Samples were run in triplicate. Figure 4 demonstrates that the change in nanocarrier speed is proportional to the concentration \nof Ca2+ present in solution. Only the Ca2+ concentration was varied, as incubation times and DNA\nCo\nnu\n(c\npi\nFigure 3. Measuring the change in the DNAzyme functionalised nanocarrier velocity versus different\nincubation times with Ca2+ ions; (a), blank DNAzyme complex on the bead, (b) cleavage of the\nDNAzyme from dsDNA to ssDNA, and (c) DNAzyme rearranging. Samples were run in triplicate. Figure 3. Measuring the change in the DNAzyme functionalised nanocarrier velocity versus different \nincubation  times  with  Ca2+  ions;  (a),  blank  DNAzyme  complex  on  the  bead,  (b)  cleavage  of  the \nDNAzyme from dsDNA to ssDNA, and (c) DNAzyme rearranging. Samples were run in triplicate. Figure 4 demonstrates that the change in nanocarrier speed is proportional to the concentration \nf C\ni\nl\ni\nO l\nh\nC\ni\ni d\ni\nb\ni\ni\nd DNA\nC\nn\n(\np\nFigure 3. Measuring the change in the DNAzyme functionalised nanocarrier velocity versus different\nincubation times with Ca2+ ions; (a), blank DNAzyme complex on the bead, (b) cleavage of the\nDNAzyme from dsDNA to ssDNA, and (c) DNAzyme rearranging. Samples were run in triplicate. 4. Conclusions Here we present RPS technologies inferring structure changes in the DNAzyme through differences\nin nanocarrier speed, enabling quantification of Ca2+ in solution. The cleavage of DNA post binding of\nthe Ca2+ to the DNAzyme is measured through the increase in nanocarrier speed as it traverses the\nnanopore. The method works across a large concentration range, is tuneable through incubation times,\nand can work in environmental samples. The assay work flow from nanocarrier functionalisation to\nincubation, extraction, and quantification can be done in under an hour. Supplementary Materials: The following are available online at http://www.mdpi.com/1424-8220/20/20/5877/s1. Figure S1. No change in particle size of substrate strand, orange, on the particles vs. DNAzyme complex, green,\non the particle. Size compared to CPC200s, known size 210 nm, run under the same conditions on the same day\nas the DNA samples; over 600 particles were counted. Figure S2. Varying the cooling process of the DNAzyme\nby placing it in the fridge, ~6 ◦C (cold), at room temperature, ~18 ◦C (RT), in a warm place, ~25 ◦C (warm) and\nleft cooling in the dry bath, <70 ◦C (hot). Relative speed normalised to CPC calibration beads ran on the same\nday under the same conditions. Samples were run in triplicate; more than 200 particles were measured each\ntime. Error bars are one standard deviation from the mean. Figure S3. Comparison of different controls run\nwith (red) and without (black) 3 µM Ca2+ present, incubated together for 30 min, CPC200s, 15T ssDNA strand,\nand DNAzyme complex. Relative speeds taken as 1/T0.5 normalised to the blank particles without Ca2+. Run\nunder the same conditions on the same day, each sample was run in triplicate and more than 200 particles were\nmeasured each time. Figure S4. Relative particle speeds normalised to blank DNAzyme functionalised particles,\nvs. varying amounts of Ca2+ ions added from 3–3000 µM. Samples were run in triplicate; more than 200 particles\nwere measured each time. Error bars are one standard deviation from the mean. Figure S5. Comparison of two\ndifferent batches of streptavidin particles, different blank particles run with (green) and without (orange) 3 µM\nCa2+ present. Relative speeds taken as 1/T0.5 normalised to the blank DNAzyme functionalised particles, without\nCa2+ present, ran under the same conditions on the same pore and day. Each sample was run in triplicate and\nmore than 200 particles were measured each time. Figure S6. 3. Results and Discussion As seen in Figure 5a, there were no inferences measured from any of \nthe metals tested at 3 μM, and when present in a mix with Ca, the measured speed was within the \nexpected  range. Although  some  slight  binding  was  overserved  with  5  mM  Mg2+,  this  was  only \nmeasured after 4 h and not measured to a comparable speed as with the Ca2+ present at 3 μM, 1.09 vs. 1.21 ms−1 respectively. Additional divalent ions were also tested in the sensor, shown in Figure 5a. No change in translocation velocity was recorded. In a final experiment, all the HMI including Ca2+ \nwas  added  to  the  DNAzyme  modified  particles,  termed  mix  in  Figure  5a. As  can  be  seen,  the \ntranslocation velocity is comparable to those recorded using Ca2+ alone. Commen\nand “b)” t\nTo demonstrate that the selectivity of our assay was dependent upon the Ca2+ binding to the\nDNAzyme, we incubated our DNAzyme functionalised particles with different metal ions. As the\nprevious study had reported some binding with Mg2+ [55], Mg2+ was added at 3 µM and incubated for\n30 min, and 5 mM was tested every hour over 6 h (Figure S7) to confirm that there was no interferences\nwith our assay. As seen in Figure 5a, there were no inferences measured from any of the metals tested\nat 3 µM, and when present in a mix with Ca, the measured speed was within the expected range. Although some slight binding was overserved with 5 mM Mg2+, this was only measured after 4 h and\nnot measured to a comparable speed as with the Ca2+ present at 3 µM, 1.09 vs. 1.21 ms−1 respectively. Additional divalent ions were also tested in the sensor, shown in Figure 5a. No change in translocation\nvelocity was recorded. In a final experiment, all the HMI including Ca2+ was added to the DNAzyme\nmodified particles, termed mix in Figure 5a. As can be seen, the translocation velocity is comparable to\nthose recorded using Ca2+ alone. 8 of 11 Sensors 2020, 20, 5877\nNo c\nwas Figure 5. (a) Relative speed of the DNAzyme functionalised particles when incubated with Ca2+, Mg2+, \nFe3+, and Ni2+ individually, and then when all present were mixed. All metals were present at 3 μM. (b) Environmental water samples, blank (orange), and spiked with 3 μM Ca2+ (green). 3. Results and Discussion Samples were run in triplicate, and between 250 and 300 particles were\nmeasured for each sample. Error bars are one standard deviation from the mean. sample, we added DNAzyme functionalised particles, and incubated for 30 min before magnetically \nFinally, to demonstrate the applicability of our assay in more complex sample matrices, we collected\nwater samples from a tap in the laboratory and from a local pond on campus. To each sample, we added\nDNAzyme functionalised particles, and incubated for 30 min before magnetically separating them\nand resuspending in buffer to analyse. We also incubated the nanocarriers in water samples spiked\nwith 3 µM Ca2+. As most calcium is present in water as calcium carbonate, we also incubated the\nnanocarriers in water samples spiked with 3 µM Ca2+ to show the ability of our assay to work in these\ndifferent matrices without experiencing any interference from other analytes present. As shown in\nFigure 5b, the nanocarriers increased significantly in speed when compared to the blanks, indicating\nthe ability of our assay to work in these different matrices without experiencing any interference from\nother analytes present. 3. Results and Discussion Relative particle \nspeeds normalised to blank DNAzyme functionalised particles, and they were run on the same day \nunder the same conditions. Samples were run in triplicate, and between 250 and 300 particles were \nmeasured for each sample. Error bars are one standard deviation from the mean. Finally,  to  demonstrate the  applicability  of  our assay  in  more  complex  sample  matrices,  we \ncollected water samples from a tap in the laboratory and from a local pond on campus To each\nand\nFigure 5. (a) Relative speed of the DNAzyme functionalised particles when incubated with Ca2+, Mg2+,\nFe3+, and Ni2+ individually, and then when all present were mixed. All metals were present at 3 µM. (b) Environmental water samples, blank (orange), and spiked with 3 µM Ca2+ (green). Relative particle\nspeeds normalised to blank DNAzyme functionalised particles, and they were run on the same day\nunder the same conditions. Samples were run in triplicate, and between 250 and 300 particles were\nmeasured for each sample. Error bars are one standard deviation from the mean. Figure 5. (a) Relative speed of the DNAzyme functionalised particles when incubated with Ca2+, Mg2+, \nFe3+ and Ni2+ individually and then when all present were mixed All metals were present at 3 μM\nFigure 5. (a) Relative speed of the DNAzyme functionalised particles when incubated with Ca2+, Mg2+, Fe3+, and Ni2+ individually, and then when all present were mixed. All metals were present at 3 μM. (b) Environmental water samples, blank (orange), and spiked with 3 μM Ca2+ (green). Relative particle \nspeeds normalised to blank DNAzyme functionalised particles, and they were run on the same day \nunder the same conditions. Samples were run in triplicate, and between 250 and 300 particles were \nmeasured for each sample. Error bars are one standard deviation from the mean. Finally,  to  demonstrate the  applicability  of  our assay  in  more  complex  sample  matrices,  we \nll\nt d\nt\nl\nf\nt\ni\nth\nl b\nt\nd f\nl\nl\nd\nT\nh\ng\n( )\np\ny\np\n,\ng\n,\nFe3+, and Ni2+ individually, and then when all present were mixed. All metals were present at 3 µM. (b) Environmental water samples, blank (orange), and spiked with 3 µM Ca2+ (green). Relative particle\nspeeds normalised to blank DNAzyme functionalised particles, and they were run on the same day\nunder the same conditions. 4. Conclusions No change in the blockade magnitude indicating\nthere is no particle aggregation when Ca2+ is present in concentrations from 1–9 µM. Figure S7. DNAzyme 9 of 11 Sensors 2020, 20, 5877 functionalised beads incubated with 5 mM Mg2+ over a period of 6 h with samples taken from the stock hourly. Relative speeds taken as 1/T0.5 normalised to the blank particles without Mg2+. Run under the same conditions\non the same day, each sample was run in triplicate and more than 200 particles were measured each time. Author Contributions: I.H. coordinated the experiments, ran the practical work, collected and analysed the data. M.P. supervised the project, analysed data and drafted the manuscript. All authors have read and agreed to the\npublished version of the manuscript. Funding: This research received no external funding. Acknowledgments: The authors would like to thank B Kralj for his guidance and support and the Nuc\nDecommissioning Authority for their funding. Conflicts of Interest: The authors declare no conflict of interest. Conflicts of Interest: The authors declare no conflict of interest. Conflicts of Interest: The authors declare no conflict of interest. References 1. Sui, B.; Liu, X.; Wang, M.; Belfield, K.D. A Highly Selective Fluorescence Turn-On Sensor for Extracellular\nCalcium Ion Detection. Chem. A Eur. J. 2016, 22, 10351–10354. [CrossRef] [PubMed] 1. Sui, B.; Liu, X.; Wang, M.; Belfield, K.D. A Highly Selective Fluorescence Turn-On Sensor for Extracellular\nCalcium Ion Detection. Chem. A Eur. J. 2016, 22, 10351–10354. [CrossRef] [PubMed] 2. He, H.Z.; Wang, M.; Chan, D.S.H.; Leung, C.H.; Lin, X.; Lin, J.M.; Ma, D.L. A parallel G-quadruplex-selective\nluminescent probe for the detection of nanomolar calcium(II) ion. Methods 2013, 64, 212–217. [CrossRef] 2. 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Long Time Behavior and Global Dynamics of Simplified Von Karman Plate Without Rotational Inertia Driven by White Noise
Symmetry
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Received: 5 June 2018; Accepted: 22 July 2018; Published: 1 August 2018 Abstract: Without the assumption that the coefficient of weak damping is large enough, the existence of the global random attractors for simplified Von Karman plate without rotational inertia driven by either additive white noise or multiplicative white noise are proved. Instead of the classical splitting method, the techniques to verify the asymptotic compactness rely on stabilization estimation of the system. Furthermore, a clear relationship between in-plane components of the external force that act on the edge of the plate and the expectation of radius of the global random attractors can be obtained from the theoretical results. Based on the relationship between global random attractor and random probability invariant measure, the global dynamics of the plates are analyzed numerically. With increasing the in-plane components of the external force that act on the edge of the plate, global D-bifurcation, secondary global D-bifurcation and complex local dynamical behavior occur in motion of the system. Moreover, increasing the intensity of white noise leads to the dynamical behavior becoming simple. The results on global dynamics reveal that random snap-through which seems to be a complex dynamics intuitively is essentially a simple dynamical behavior. Keywords: Simplified clamped Von Karman plate without rotational inertia; global random attractors; global dynamics; random invariant measure; white noise Symmetry 2018, 10, 315; doi:10.3390/sym10080315 www.mdpi.com/journal/symmetry symmetry S S symmetry S S symmetry S S symmetry S S Article Long Time Behavior and Global Dynamics of Simplified Von Karman Plate Without Rotational Inertia Driven by White Noise Huatao Chen 1,*, Dengqing Cao 1,*, Jingfei Jiang 2 and Xiaoming Fan 3 1 Division of Dynamics and Control, School of Astronautics, Harbin Institute of Technology, Harbin 150001, China 2 Division of Dynamics and Control, School of Mathematics and Statistics, Shandong University of Technology, Zibo 255000, China; jjfrun@sdut.edu.cn 3 School of Mathematics, Southwest Jiaotong University, Chengdu 610031, China; fanxm@swjtu.edu.cn * Correspondence: htchencn@aliyun.com (H.C.); dqcao@hit.edu.cn (D.C.) Received: 5 June 2018; Accepted: 22 July 2018; Published: 1 August 2018   Abstract: Without the assumption that the coefficient of weak damping is large enough, the existence of the global random attractors for simplified Von Karman plate without rotational inertia driven by either additive white noise or multiplicative white noise are proved. Instead of the classical splitting method, the techniques to verify the asymptotic compactness rely on stabilization estimation of the system. Furthermore, a clear relationship between in-plane components of the external force that act on the edge of the plate and the expectation of radius of the global random attractors can be obtained from the theoretical results. Based on the relationship between global random attractor and random probability invariant measure, the global dynamics of the plates are analyzed numerically With increasing the in-plane components of the external force that act on the edge of the plate, global D-bifurcation, secondary global D-bifurcation and complex local dynamical behavior occur in motion of the system. Moreover, increasing the intensity of white noise leads to the dynamical behavior becoming simple. The results on global dynamics reveal that random snap-through which seems to be a complex dynamics intuitively is essentially a simple dynamical behavior. Keywords: Simplified clamped Von Karman plate without rotational inertia; global random attractors; global dynamics; random invariant measure; white noise 1. Introduction 1 1 Background and Literatures Review symmetry S S Article Long Time Behavior and Global Dynamics of Simplified Von Karman Plate Without Rotational Inertia Driven by White Noise Huatao Chen 1,*, Dengqing Cao 1,*, Jingfei Jiang 2 and Xiaoming Fan 3 1 Division of Dynamics and Control, School of Astronautics, Harbin Institute of Technology, Harbin 150001, China 2 Division of Dynamics and Control, School of Mathematics and Statistics, Shandong University of Technology, Zibo 255000, China; jjfrun@sdut.edu.cn 3 School of Mathematics, Southwest Jiaotong University, Chengdu 610031, China; fanxm@swjtu.edu.cn * Correspondence: htchencn@aliyun.com (H.C.); dqcao@hit.edu.cn (D.C.) Received: 5 June 2018; Accepted: 22 July 2018; Published: 1 August 2018   Abstract: Without the assumption that the coefficient of weak damping is large enough, the existence of the global random attractors for simplified Von Karman plate without rotational inertia driven by either additive white noise or multiplicative white noise are proved. Instead of the classical splitting method, the techniques to verify the asymptotic compactness rely on stabilization estimation of the system. Furthermore, a clear relationship between in-plane components of the external force that act on the edge of the plate and the expectation of radius of the global random attractors can be obtained from the theoretical results. Based on the relationship between global random attractor and random probability invariant measure, the global dynamics of the plates are analyzed numerically With increasing the in-plane components of the external force that act on the edge of the plate, global D-bifurcation, secondary global D-bifurcation and complex local dynamical behavior occur in motion of the system. Moreover, increasing the intensity of white noise leads to the dynamical behavior becoming simple. The results on global dynamics reveal that random snap-through which seems to be a complex dynamics intuitively is essentially a simple dynamical behavior. Keywords: Simplified clamped Von Karman plate without rotational inertia; global random attractors; global dynamics; random invariant measure; white noise 1. Introduction 1 1 Background and Literatures Review Long Time Behavior and Global Dynamics of Simplified Von Karman Plate Without Rotational Inertia Driven by White Noise Huatao Chen 1,*, Dengqing Cao 1,*, Jingfei Jiang 2 and Xiaoming Fan 3 Huatao Chen ,*, Dengqing Cao ,*, Jingfei Jiang and Xiaoming Fan 1 Division of Dynamics and Control, School of Astronautics, Harbin Institute of Technology, Harbin 150001, China 2 Division of Dynamics and Control, School of Mathematics and Statistics, Shandong University of Technology, Zibo 255000, China; jjfrun@sdut.edu.cn 3 School of Mathematics, Southwest Jiaotong University, Chengdu 610031, China; fanxm@swjtu.edu.cn * Correspondence: htchencn@aliyun.com (H.C.); dqcao@hit.edu.cn (D.C.) , gq g , J g J g g 1 Division of Dynamics and Control, School of Astronautics, Harbin Institute of Technology, Harbin 150001, China 2 Division of Dynamics and Control, School of Mathematics and Statistics, Shandong University of Technology, Zibo 255000, China; jjfrun@sdut.edu.cn 3 School of Mathematics, Southwest Jiaotong University, Chengdu 610031, China; fanxm@swjtu.edu.cn * Correspondence: htchencn@aliyun.com (H.C.); dqcao@hit.edu.cn (D.C.) Received: 5 June 2018; Accepted: 22 July 2018; Published: 1 August 2018 1.1. Background and Literatures Review [19–21] developed different kinds of plate/shell finite elements. p From the mathematical view, to address the long time behavior of the mathematical physics problems, it must be verified that they can generate a dynamical system, which can be accomplished by achieving the existence and uniqueness of the solution for the systems. Lasiecka [22] was concerned with weak, classical and intermediate solutions to full von Karman equations. With respect to the nonautonomous case, one can refer to Leiva and Sivoli [23] and Abels et al. [24]. According to the proof of a “sharp regularity” estimates of the Von Karman bracket, the consequence of global existence, uniqueness and regularity of solutions for simplified Von Karman plate with nonlinear boundary dissipation can be founded in Favini et al. [25]. For more detail, one can refer to the Monograph [26]. As for the long time behavior of the Von Karman plate equations, the global attractors as well as inertial manifolds for the system in autonomous situation were studied by Chueshov and Lasiecka [27] and Chueshov and Lasiecka [28], respectively. Lasiecka [29] studied the uniform decay rates for thermoelastic full von karman system. Dynamics of a thermoelastic von Karman plate in a subsonic gas flow was addressed by Ryzhkova [30]. For a von Karman plate equation with a boundary memory condition which can even be a fractional damping, Park and Sun [31] tackled the uniform decay of the solution. For more detail of the research status of long time behavior of the Von Karman plate before the year 2010, one can refer to Monograph [26]. The study of long-time dynamics of a von Karman equation with time delay is due to Park [32]. Chueshov [33] investigated questions related to global attractors for delayed, nonrotational von Karman plates without any damping in the status of flow–structure interactions. Eliminating flutter for clamped von Karman plates in subsonic flows was concerned by Lasiecka and Webster [34]. Without assuming large values for the coefficient of damping, Khanmamedov [35] proved the existence of the global random attractors for Von Karman plate equation. With a very strict assumption on the coefficient of the weakly damping, the existence of global random attractors for simplified Von Karman plate without rotational inertia driven by multiplicative white noise was studied by Chen et al. [36]. 1.1. Background and Literatures Review 1.1. Background and Literatures Review There exists an essential difference between full Von Karman plate without rotational inertia and simplified Von Karman plate without rotational inertia. From the view of physics, the former takes account into the acceleration in-plane and the latter neglects it [1,2]. In the mathematical standpoint, the governing equations of full Von Karman plates without rotational inertia comprise coupled plate equations and wave equations, while the coupled plate equation and elliptic equation compose the governing equations of Von Karman plate [3]. The definition of global random attractors for random dynamical system (RDS) established by Arnold [4] were proposed by Crauel and Flandoli [5] and Schmalfuss [6]. The former developed the theory of global random attractors in phase space, while the random attractor is seen as a subset in the space of probability measures by Schmalfuss. Afterwards, Crauel et al. [7] introduced a notion of global random attractors which is accessible to the researcher who are not familiar to the probabilistic language. Furthermore, the assertion that global random attractors are uniquely determined by Symmetry 2018, 10, 315; doi:10.3390/sym10080315 www.mdpi.com/journal/symmetry Symmetry 2018, 10, 315 2 of 41 attracting deterministic compact sets in phase space was attained by Crauel in [8]. Invoking these theories, the existence of global random attractors for RDS related to a plenty of mathematical physics problems have been studied by many researchers, (e.g., [9–14] and the references therein). Von Karman plate equation is a well-known model that arise in nonlinear elastodynamics, which can be found in many engineering applications, for instance, wing skin in airplane, vertical fins of High-speed aircraft, etc. For more details, see the Introduction in Monograph [1]. There is an abundant achievements on Von Karman plate and the brief list given below is by no means exhaustive. Invoking the adjoint method, Pappalardo and Guida [15] considered the optimal control problem associated with the vibration of Von Karman plates. Utilizing the theory of plate theory, monohull ship was modelled by Fortuna and Muscato [16]; moreover, the problem of identification and adaptive control were also investigated. To compute the modal parameters of the plates, the system identification algorithm was proposed by Pappalardo and Guida [17]. A survey on computational methods for motion of multibody systems (include plates) was made by Pappalardo and Guida [18]. For the sake of computing the motion of large deformation of the plates, Pappalardo et al. 1.1. Background and Literatures Review The study on dynamics of Von Karman plates can be divided into two parts: the investigation of local dynamics and investigation of global dynamics. There exists abundant studies on local dynamics for Von Karman plates. For instance, invoking the Bubnov–Galerkin approach, Awrejcewicz and Krysko [37] analyzed the complex parametric vibrations of plates and shells. Nonlinear vibration and dynamic response as well as Thermal post-buckling of functionally graded thermoelastic Von Karman plates was considered by Huang and Shen [38] and Park and Kim [39], respectively. Employing the Homotopy perturbation technique, Rashidi et al. [40] studied the nonlinear vibration of Von Karman rectangular plate. Ghayesh et al. [41] tackled the nonlinear dynamics of axially moving Von Karmam plates. Ghayesh and Farokhi [42] were devoted to handling the nonlinear dynamics of Von Karman plate in MEMS. The nonlinear vibrations of viscoelastic Von Karman plate was analyzed by Amabili [43]. The global dynamics of nonlinear systems which can reveal more 3 of 41 Symmetry 2018, 10, 315 dynamic information than local dynamics are important in engineering applications. Compared with the literature on local dynamics, the investigation related to global dynamics is insufficient. Global dynamics of four-dimensional perturbed Hamiltonian systems and parametrically forced mechanical systems were addressed by Wiggins [44] and Feng and Wiggins [45], respectively. The technique employed in those works is Melnikov method which was invoked by Zhang to tackle a parametrically Von Karman plate in [46]. Due to the lack of analytical tools, numerical method is the main approach to study the global dynamics of nonlinear systems. According to Cell to Cell mapping method proposed by Hsu [47], Xu et al. [48] addressed global stochastic bifurcation in Duffing system. p p y g g y There exist two standpoints in study on dynamics of random dynamical system, which are equivalent in the deterministic case, the “static” standpoint and the “dynamical” standpoint. However, two views are very different in the stochastic status (see [4,49,50]). The investigation on dynamics of the RDS associated with vibration of Von Karman plates in this paper means study the of “dynamical” dynamics of the systems; alternatively, the global dynamics in this paper are understood as the change in the pattern of existing probability invariant measures of the RDS. There exist some results on global dynamics on RDS. Crauel and Flandoli [49] asserted that additive noise destroys pitchfork bifurcation in one dimensional system. 1.2. Formulation and Contribution of This Investigation In some circumstances, the Von Karman plate equation that epitomizes certain distinct features and mathematical difficulties which lead to the “splitting method” [55], a traditional approach in the study on the existence of global random attractors, for extensive mathematical problems becomes invalid, such as SAVKP and SMVKP (introduced in Section 2.1). The existence of global attractors for the system in deterministic case (such as Chueshov and Lasiecka [27]) and stochastic case (e.g., [36]) relies on large enough value of damping coefficient. To our best knowledge, there hardly exists results on global random attractors for SAVKP and SMVKP with arbitrary small coefficient of the weakly damping. Recently, the study on dynamics of Von Karman plate equation mainly focused on the local dynamics, inspired by Crauel [49] and Schenk-Hoppé [53]. Based on the existence of global random attractors and the relationship between invariant measure and global random attractor summarized in Proposition 2 in Section 3.1, the dynamics of Von Karman plate can be accomplished by employing the stochastic subdivision algorithm method proposed by Keller and Ochs [56] to achieve the global random attractors numerically. As far as we know, the consequence of investigation in this aspect also do not be published in any composition. The purpose of this paper is to investigate the existence of global random attractors for SAVKP and SMVKP and to derive the global dynamics by achieving the structure of their global random attractors. 1.1. Background and Literatures Review The statement that parametric noise (even a multiplicative white noise) destroys Hopf bifurcation was duo to Arnold et al. [51]. Wang [52] focused on the bifurcation for stochastic parabolic equations. The investigation on stochastic bifurcation in Duffing system by the theory of random attractors was due to Schenk-Hoppé [53]. According to some invariant manifolds to derive the lower bounds on the dimension of global random attractors, Caraballo et al. [54] studied the stochastic pitchfork bifurcation of the reaction diffusion equation with multiplicative white noise. 1.2. Formulation and Contribution of This Investigation 2. The Mathematical Model and Main Results Section 2.1 is used to make the mathematical description of the model considered in this paper. The main results of this paper are listed in Section 2.2. 1.3. Organization of the Paper The rest of this paper is organized as follows. In Section 2, the mathematical description of model and main results main results are given. Section 3 is intended to provided preliminary results employed in accomplishing the main proof which are given in Section 4. Finally, based on the main results listed in Section 3, summary and conclusions is made in Section 5. Finally, to express the results and their respective proofs succinctly, the following conventions are made. Unless otherwise stated, in the sequel, the letter C, eC, bC, Ci, eCi, bCi (i = 1, 2, 3, · · · , ) are 4 of 41 Symmetry 2018, 10, 315 positive constants; in addition, C(a, · · · , b), eC(a, · · · , b), bC(a, · · · , b) and Ci(a, · · · , b), eCi(a, · · · , b), bCi(a, · · · , b) (i = 1, 2, 3, · · · , ) are positive constants depended on a, · · · , b. 2.1. Mathematical Description of the Model Let D ⊂R2 be a bounded domain with boundary Γ; without loss of generality, assume the origin 0 belongs to Γ. Suppose (x, y) ∈Γ is an arbitrarily given point, while Γ(x, y) denotes the arc, oriented in the usual manner, joining the origin 0 to the point (x, y) along the boundary of D. For more details, one can refer to Ciarlet [3]. The governing equation of simplified Von Karman plate without rotational inertia is: ρhUtt + chG(Ut) + D∆2U = P + [V(U), U] , (1) (1) with the clamped boundary with the clamped boundary x ∈∂D : U = ∂U ∂n = 0, (2) (2) where U is transversal displacement of the plate. [·, ·] is Von Karman bracket [26] (also known as Monge-Ampère form[3]) with the form of where U is transversal displacement of the plate. [·, ·] is Von Karman bracket [26] (also known as Monge-Ampère form[3]) with the form of [v, u] = ∂2u ∂x2 1 ∂2v ∂x2 2 + ∂2v ∂x2 1 ∂2u ∂x2 2 −2 ∂2u ∂x1∂x2 ∂2v ∂x1∂x2 . V(U) is the Airy function satisfies V(U) is the Airy function satisfies V(U) is the Airy function satisfies ∆2V = −Eh 2 [U, U], x ∈Γ : V = φ0, ∂V ∂n = φ1, ∆2V = −Eh 2 [U, U], x ∈Γ : V = φ0, ∂V ∂n = φ1, ∆2V = −Eh 2 [U, U], x ∈Γ : V = φ0, ∂V ∂n = φ1, in which the physical parameter E, ρ, h, I, D can refer to [1]. φ0, φ2 is defined as φ0(x, y) = −x Z Γ(x,y) f2ds + y Z Γ(x,y) f1ds + Z Γ(x,y) x f2 −y f1ds, (3) (3) and and φ1(x, y) = −n1(x, y) Z Γ(x,y) f2ds + n2(x, y) Z Γ(x,y) f1ds, (4) (4) where f1, f2 are components of the in-plane force on boundary along the direction x, y, which comply with where f1, f2 are components of the in-plane force on boundary along the direction x, y, which comply with n1N11 + n2N12 = f1, n1N12 + n2N22 = f2, n1N11 + n2N12 = f1, n1N12 + n2N22 = f2, where N11, N12, N22 are membrane forces in the plate; for more details, one can refer to [3]. Thus, Equation (1) can be rewritten as: ρhUtt −ρI∆Utt + chG(Ut) + D∆2U = F + P + [V1 + V0, U] . (9) (9) In some cases, only V0 is named Airy function, while V1 is called the in-plane force, (see Chueshov and Lasiecka [26]). This convention is employed in this paper. In some cases, only V0 is named Airy function, while V1 is called the in-plane force, (see Chueshov and Lasiecka [26]). This convention is employed in this paper. To formulate the system tackled in this paper, some spaces are introduced in the following. Let ∥u∥≡∥u∥L2(D),∥u∥s ≡∥u∥Hs 0(D),(u, v) ≡(u, v)L2(D),(u, v)s = (u, v)Hs 0(D), where Hs(D), Hs 0(D), s ∈R are the usual Sobolev Spaces. Let A = ∆2 : H2 0 T H4(D) →L2(D), then A is self-adjoint, positive, unbounded linear operators and A−1 ∈L (L2(D)) is compact. Therefore, their eigenvalues {Λi}i∈N satisfy 0 < Λ1 ≤Λ2 ≤· · · →∞and the corresponding eigenvalues {wi}∞ i=1 forms an orthonormal basis in L2(D). Then, we can interpret the power of As, s ∈R by the method developed by Temam [55]. Specifically, ∥A 1 4 u∥= ∥∇u∥, ∥A 1 2 u∥= ∥∆u∥, ∀u ∈D(A), however, it is mentioned here that A 1 2 ̸= −∆, A 1 4 ̸= ∇. Nevertheless, it is emphasized here that A 1 2 ̸= −∆with the boundary in Equation (2). In fact, the operator A1 := −∆with the boundary condition in Equation (2) is a self-adjoint, positive, unbounded linear operators from L2(D) to L2(D) and A−1 ∈L (L2(D), L2(D)) is compact. Thus, the power of (−∆)s, s ∈R can be defined; furthermore, ∥As 1u∥≤∥A s 2 u∥, ∀s ∈[0, 1], u ∈D(A). 1 Suppose P is a stochastic pressure signified by white noise, then the dynamics equation of abstract dimensionless clamped simplified Von Karman plate without rotational inertia driven by white noise are as follow utt + αut + Au −k[F(u) + F0, u] = σq(x) ˙W, (10a) (10a) utt + αut + Au −k[F(u) + F0, u] = σu ˙W, (10b) (10b) with the clamped boundary condition with the clamped boundary condition x ∈∂D : u = ∂u ∂n = 0, (10c) (10c) where u : R × D →R is the dimensionless transversal displacement of the plate. σ ≥0, k > 0 are a given constant, 2 4 q(x) ∈(H2 0 ∩H4)(D). 2.1. Mathematical Description of the Model Moreover, let V = V0 + V1, V0 be the solution of the following system where N11, N12, N22 are membrane forces in the plate; for more details, one can refer to [3]. Moreover, let V = V0 + V1, V0 be the solution of the following system ∆2V0 = −Eh 2 [w, w], (5) ∆2V0 = −Eh 2 [w, w], (5) V0 = ∂V0 ∂n = 0. (6) (5) V0 = ∂V0 ∂n = 0. (6) (6) 5 of 41 Symmetry 2018, 10, 315 V1 satisfies ∆2V1 = 0, (7) V1 = φ0, ∂V1 ∂n = φ1. (8) (7) (8) Thus, Equation (1) can be rewritten as: and F0 is in agreement with Thus, Equation (1) can be rewritten as: (10d) (10d) W is the one dimensional two-sided real-valued standard Wiener process, and ˙W is called white noise. α > 0 is the coefficient of damping. Equation (10a) describe abstract dimensionless clamped simplified Von Karman plate without rotational inertia driven by additive/multiplicative white noise, respectively. Furthermore, F satisfies ∆2F = −[u, u], (10e) x ∈Γ : F = ∂F ∂n = 0 (10f) (10e) (10f) and F0 is in agreement with and F0 is in agreement with Symmetry 2018, 10, 315 6 of 41 ∆2F0 = 0, (10g) x ∈Γ : F0 = g1, ∂F0 ∂n = g2 (10h) ∆2F0 = 0, (10g) ∂F (10g) x ∈Γ : F0 = g1, ∂F0 ∂n = g2 (10h) (10h) where g1 ∈H 3 2 (Γ), g2 ∈H 1 2 (Γ) are derived from Equations (3) and (4). By the monograph of Lions and Magenes [57], F0 ∈H2(D), define where g1 ∈H 3 2 (Γ), g2 ∈H 1 2 (Γ) are derived from Equations (3) and (4). By the monograph of Lions and Magenes [57], F0 ∈H2(D), define N(u) = k[F(u) + F0, u]. N(u) = k[F(u) + F0, u]. The system described by Equations (10a), (10c), and (10e)–(10h) is denoted by SAVKP. The system interpreted by Equations (10b), (10c), and (10e)–(10h) is represented by SMVKP. Invoking the compactness of A, the Hilbert space D(As), s ∈R with norm ∥· ∥s and (·, ·)s can be defined as the mechanism in Temam [55], especially, D(A 1 2 ) = H2 0(D). Moreover, for all s1, s2 ∈R, s1 ≥s2, D(As1) can be compact imbedding in D(As2) and the following holds ∥u∥s1 ≥Λ s1−s2 2 1 ∥u∥s2, ∀u ∈D(As1). (11) (11) Let E1+2s = D(A 1 2 +s) × D(As), 0 ≤s ≤1 2 equipped with Graph norm and the induced inner product, then they are all Hilbert spaces. Let E1+2s = D(A 1 2 +s) × D(As), 0 ≤s ≤1 2 equipped with Graph norm and the induced inner product, then they are all Hilbert spaces. Let (X, ∥· ∥X) be a separable space with Borel σ−algebra B(X) and (Ω, F, P) be a probability space. {θt : Ω→Ω, t ∈R} is a family of measure preserving transformations such that (t, ω) →θtω is measurable, θ0 = id, θt+s = θt ◦θs for all s, t ∈R. Thus, Equation (1) can be rewritten as: Then, the flow θt together with the probability space (Ω, F, P, {θt}t∈R) is called a metric dynamical system. For the particular applications in this paper, the metric dynamical systems generated by a one dimensional two-sided standard Wiener process defined on a Probability space (Ω, F, P) is introduced there. Let Ω= {ω|ω(·) ∈C(R, R), ω(0) = 0}, F is the σ−algebra induced by the compact open topology for this set and P is the Wiener measure on F. Set (12) θtω(·) = ω(· + t) −ω(·), ∀t ∈R, (12) according to Arnold [4], we have P is ergodic with respect to the flow {θt}t∈R. Thus, (Ω, F, P, {θ}t∈R) is the metric dynamical systems employed in this paper. Moreover, the Ornstein–Uhlenbeck process, which should be used in transforming a stochastic system to a random system, is introduced as follows ( dz + µzdt = dW, z(−∞) = 0. (13) (13) in which µ > 0. The general form for the solution of Equation (13) is in which µ > 0. The general form for the solution of Equation (13) is in which µ > 0. The general form for the solution of Equation (13) is z(t) = Z t −∞e−µ(t−s)dW. z(t) = Z t −∞e−µ(t−s)dW. Let Let Let z(θtω) := −µ Z 0 −∞eµτ(θtω)(τ)dτ. (14) (14) where {θt}t∈R is defined by Equation (12) in Section 2. Merging with integration by parts, z(θtω) is the solution for the system in Equation (13). Although by no means always, it will be convenient to reduce Equations (10a) and (10b) to an 0, 315 7 of 41 7 of 41 7 of 41 7 of 41 Symmetry 2018, 10, 315 Symmetry 2018, 10, 315 evolution equation of the first order in time in the following manner. Let v = ut + εu, U = [U1, U2]T = [u, v]T, then Equation (10a) can be transformed to the ensuing form evolution equation of the first order in time in the following manner. Let v = ut + εu, U = [U1, U2]T = [u, v]T, then Equation (10a) can be transformed to the ensuing form dU dt = A1U + F1(U) (15) (15) where A1 = −εI, I −A + ε(α −ε), −(α −ε)I ! , F1(U) = F11(U) F12(U) ! and F11(U) = 0, F12 = N(U1) + σq(x) ˙W. F11(U) = 0, F12 = N(U1) + σq(x) ˙W. Equation (22) is used to obtain the stabilization estimation for SMVKPT1. Remark 1. For the sake of brevity, when no ambiguity is possible, the symbols used in SAVKPT and SMVKPT, SAVKPT1 and SMVKPT1, and SAVKPT2 and SMVKPT2 are the same or similar. Since each of the symbols has a clearl explanation, it is not confusing to express the main results in this paper. However, it must be kept in mind that they are not the same. 2.2. Main Results Approved by the equivalent between SAVKPT and SAVKPT1, and SMVKPT and SMVKPT1, it is enough to only address the dynamical behavior of SAVKPT1 and SMVKPT1. This subsection is used to present the main results of this paper. Let ε0 = Λ1α 2Λ1 + α2 , 0 < ε ≤ε0, (23) (23) Thus, Equation (1) can be rewritten as: F11(U) = 0, F12 = N(U1) + σq(x) ˙W. The system described by Equations (10c), (15) and (10e)–(10h) denoted by SAVKPT1. Obviously, SAVKP is equivalent to SAVKPT1. To accomplish the stabilization estimation for the solution of SAVKPT1, the following systems is needed. Suppose U(1) = [U(1) 1 , U(1) 2 ] = [u1, v1], U(2) = [U(2) 1 , U(2) 2 ] = [u2, v2] are two solution of SAVKPT1, then (1) (2) dU(1) −U(2) dt = A1  U(1) −U(2) + eF1(U(1) −U(2)), (16) (16) where eF1(U(1) −U(2)) = F1(U(1)) −F1(U(2)). 1( ) 1( ) 1( ) Furthermore, let v = v −σq(x)z(θtω), Φ = [u, v]T and [u, v]T = [u, v −σq(x)z(θtω)]T ≡TA(θtω)[u, v]T, ∀[u, v] ∈E1, (17) (17) thus dΦ dt = A1Φdt + F2(z(θtω)) + F3(Φ) (18) (18) where Φ = [u, v]T, F2(z(θtω)) = F21(z(θtω)) F22(z(θtω)) ! = σq(x)z(θtω) σ(µ −α + ε)q(x)z(θtω) ! , F3(Φ) = F31(Φ) F32(Φ) ! , here here F31(Φ) = 0, F32(Φ) = N(U1). F31(Φ) = 0, F32(Φ) = N(U1). Equation (18) is a partial differential equations with random coefficient which can be studied ω by ω. Let SAVKPT2 signify the system described by Equations (18), (10c) and (10e)–(10h). It is emphasized that SAVKPT2 is not equivalent to SAVKPT1. p q Analogously, let v = ut + εu, U = [U1, U2]T = [u, v]T and Analogously, let v = ut + εu, U = [U1, U2]T = [u, v]T and [u, v]T = [u, v −σuz(θtω)]T ≡TM(θtω)[u, v]T, ∀[u, v] ∈E1, ω ∈Ω, (19) (19) define Φ = [Φ1, Φ2]T = [u, v]T, the following system associated with SMVKP can be attained. define Φ = [Φ1, Φ2]T = [u, v]T, the following system associated with SMVKP can be attained. dU dt = A1U + F1(U) (20) (20) in which A1 = −εI, I −A + ε(α −ε), −(α −ε)I ! , F1 = F11(U) F12(U) ! 8 of 41 8 of 41 8 of 41 Symmetry 2018, 10, 315 and and F11(U) = 0, F12(U) = N(U1) + σU1 ˙W. F11(U) = 0, F12(U) = N(U1) + σU1 ˙W. F11(U) = 0, F12(U) = N(U1) + σU1 ˙W. dΦ dt = A1Φ + F2(Φ, θtω) + F3(Φ, θtω) (21) dΦ dt = A1Φ + F2(Φ, θtω) + F3(Φ, θtω) (21) (21) where where F2(Φ, θtω) = F21(Φ, θtω) F22(Φ, θtω) ! = σz(θtω)Φ1 −σz(θtω)Φ2 ! Thus, Equation (1) can be rewritten as: , F3(Φ, θtω) = F31(Φ, θtω) F32(Φ, θtω) ! F31(Φ, θtω) = 0, F32(Φ, θtω) = σ(µ −α + 2ε)z(θtω)Φ1 −σ2z2(θtω)Φ1 + N(Φ1), F31(Φ, θtω) = 0, F32(Φ, θtω) = σ(µ −α + 2ε)z(θtω)Φ1 −σ2z2(θtω)Φ1 + N(Φ1), SMVKPT1 represents the systems defined by Equations (20), (10c) and (10e)–(10f), then SMVKP and SMVKPT1 are equivalent. The system described by Equations (21), (10c) and (10e)–(10f) is denoted by SMVKPT2. y Furthermore, assume Φ(1) = [Φ(1) 1 , Φ(1) 2 ]T = [u1, v1]T, Φ(2) = [Φ(2) 1 , Φ(2) 2 ]T = [u2, v2]T are two solutions of SAVKPT2, thus Furthermore, assume Φ(1) = [Φ(1) 1 , Φ(1) 2 ]T = [u1, v1]T, Φ(2) = [Φ(2) 1 , Φ(2) 2 ]T = [u2, v2]T are two solutions of SAVKPT2, thus dΦ(1) −Φ(2) dt = A1  Φ(1) −Φ(2) + DF1(Φ(1) −Φ(2), θtω) + DF2(Φ(1) −Φ(2), θtω), (22) hich (22) in which in which DF1(Φ(1) −Φ(2), θtω) = DF11(Φ(1) −Φ(2), θtω) DF12(Φ(1) −Φ(2), θtω) ! = F2(Φ, θtω) −F2(Φ, θtω), DF2(Φ(1) −Φ(2), θtω) = DF21(Φ(1) −Φ(2), θtω) DF22(Φ(1) −Φ(2), θtω) ! = F3(Φ, θtω) −F3(Φ, θtω). Equation (22) is used to obtain the stabilization estimation for SMVKPT1. 2.2.1. Random Attractors in Additive White Noise Case This part is devoted to providing the main results for SAVKPT1. The following Theorem considers the existence and uniqueness of solution for SAVKPT2. Theorem 1. For any given initial value t = τ : Φ = Φτ ∈E1, there exists a uniqueness (mild) solution for SAVKPT2 Φ(t, τ, ω) ∈C([τ, τ + T], E1), t ∈[τ, τ + T], ∀T > 0. Symmetry 2018, 10, 315 9 of 41 Furthermore, let ΦA(t, τ, ω; Φτ) = ϕA(t, τ, ω)Φτ, which means that ϕA(t, τ, ω) is the solution mapping of SAVKPT2. Then, ϕA(t −τ, 0, θτω) = ϕA(t, τ, ω), ϕA(τ, τ, ω) = id. Furthermore, let ΦA(t, τ, ω; Φτ) = ϕA(t, τ, ω)Φτ, which means that ϕA(t, τ, ω) is the solution mapping of SAVKPT2. Then, ϕA(t −τ, 0, θτω) = ϕA(t, τ, ω), ϕA(τ, τ, ω) = id. Let SA ε (t, ω) = ϕA(t, 0, ω) = ϕA(0, −t, θtω), ∀t ≥0, ∀ω ∈Ω, by means of Theorem 1, SA ε (t, ω) is the RDS induced by SAVKPT2. Correspondingly, SAVKPT1 can also generate a RDS SA(t, ω) which is defined as SA(t, ω) = TA(θtω)−1SA ε (t, ω)TA(ω) : E1 →E1. SA(t, ω) = TA(θtω)−1SA ε (t, ω)TA(ω) : E1 →E1. here TA(θtω) is defined by Equation (17). Furthermore, the solution mapping determined by SAVKPT1 is denoted by φA(t, τ, ω), then here TA(θtω) is defined by Equation (17). Furthermore, the solution mapping determined by SAVKPT1 is denoted by φA(t, τ, ω), then SA(t, ω) = φA(t, 0, ω) = φA(0, −t, θtω), ∀t ≥0, ∀ω ∈Ω. The following turns to the existence of global random attractors for SAVKPT1. Let δ0 be any given positive constant, ¯k = max{1, k} and The following turns to the existence of global random attractors for SAVKPT1. Let δ0 be any given positive constant, ¯k = max{1, k} and The following turns to the existence of global random attractors for SAVKPT1. Let δ0 be any given positive constant, ¯k = max{1, k} and µ > µ0 = 64|σ|2∥q∥2 πε2 , (24) K = K0 + |z(θtω)K1 + |z(θtω)|2K2, (25) ρ(ω) = σ2∥q(x)∥2|z(ω)|2 + 2 Z 0 −∞eϵt+R 0 t 2 √¯k|σz(θsω)|∥q∥dkKds + δ0, (26) r(ω) = q ρ(ω). 2.2.2. Random Attractors in Multiplicative White Noise Case 2.2.2. Random Attractors in Multiplicative White Noise Case 2.2.1. Random Attractors in Additive White Noise Case (27) (27) in which K0 = 3kε 2 C(7 6, C1, C2)∥F0∥2 2, K1 = 2 p ¯kk|σ|∥q∥C(1 4, C1, C2)∥F0∥2 2, K2 = 2σ2(µ −α + ε)2 k0 ∥q(x)∥2 + 4k2|σ|2∥q∥2 1∥F0∥2 2 ε + 4σ2 ε ∥A 1 2 q(x)∥2, C(η, C1, C2), η = 1 4, 7 6 are constants that satisfy Equation (45) in Section 3.2.1. C(η, C1, C2), η = 1 4, 7 6 are constants that satisfy Equation (45) in Section 3.2.1. C(η, C1, C2), η = 1 4, 7 6 are constants that satisfy Equation (45) in Section 3.2.1. The next theorem considers the existence and expectation of radius of global random attractors for SA(t, ω). Theorem 2. SA(t, ω) possesses the global random attractors A (ω), ω ∈Ωin E1 which satisfies P-a.s. Theorem 2. SA(t, ω) possesses the global random attractors A (ω), ω ∈Ωin E1 which satisfies P-a.s. A (ω) ⊆B(0, r(ω)), E(ρ(ω)) ≤M < ∞. A (ω) ⊆B(0, r(ω)), E(ρ(ω)) ≤M < ∞. A (ω) ⊆B(0, r(ω)), E(ρ(ω)) ≤M < ∞. where B(0, r(ω)) denotes the open ball centered at the origin with radius is r(ω), while M is given by Equation (A24) in Section 3.2.1. where B(0, r(ω)) denotes the open ball centered at the origin with radius is r(ω), while M is given by Equation (A24) in Section 3.2.1. The main results for SMVKPT1 is given in this part. The main results for SMVKPT1 is given in this part. The form of following theorem is very similar to the Theorem 1. The form of following theorem is very similar to the Theorem 1. Theorem 3. For any given initial value t = τ : Φ = Φτ ∈E1, SMVKPT2 possesses uniqueness (mild) solution ΦM(t, τ, ω; Φτ) ∈C([τ, τ + T], E1), t ∈[τ, τ + T], T > 0. Symmetry 2018, 10, 315 Symmetry 2018, 10, 315 10 of 41 10 of 41 Furthermore, set ΦM(t, τ, ω; Φτ) = ϕM(t, τ, ω)Φτ, which indicates that ϕB(t, τ, ω) is the solution mapping of SMVKPT2. Thus, ϕM(t −τ, 0, θτω) = ϕM(t, τ, ω), ϕM(τ, τ, ω) = id. Therefore, set SM ε (t, ω) = ϕM(t, 0, ω) = ϕM(0, −t, θtω), ∀t ≥0, ∀ω ∈Ω, hen, SM ε (t, ω) the RDS induced by SMVKPT2 and RDS SM(t, ω) defined as follow then, SM ε (t, ω) the RDS induced by SMVKPT2 and RDS SM(t, ω) defined as follow SM(t, ω) = TM(θtω)−1SM ε (t, ω)TM(ω) : E1 →E1. SM(t, ω) = TM(θtω)−1SM ε (t, ω)TM(ω) : E1 →E1. is the RDS generate by SMVKPT1, where TM(θtω) is defined by Equation (19). In additive, let SM(t, ω) = φM(t, 0, ω) = φM(0, −t, θtω), ∀t ≥0, ∀ω ∈Ω. is the RDS generate by SMVKPT1, where TM(θtω) is defined by Equation (19). In additive, let SM(t, ω) = φM(t, 0, ω) = φM(0, −t, θtω), ∀t ≥0, ∀ω ∈Ω. is the RDS generate by SMVKPT1, where TM(θtω) is defined by Equation (19). In additive, let SM(t, ω) = φM(t, 0, ω) = φM(0, −t, θtω), ∀t ≥0, ∀ω ∈Ω. Thus, φ(t, τ, ω) is the solution mapping of SMVKPT1. Thus, φ(t, τ, ω) is the solution mapping of SMVKPT1. Thus, φ(t, τ, ω) is the solution mapping of SMVKPT1. The following turns to the existence of global random attractors for SMVKPT1. Suppose δ0 is any given positive constant, µ = α −2ε and , φ( , , ) pp g The following turns to the existence of global random attractors for SMVKPT1. Suppose δ0 is any given positive constant, µ = α −2ε and The following turns to the existence of global random attrac Suppose δ0 is any given positive constant, µ = α −2ε and 3σ2 µ√Λ1 + 12σ √πµ < ε. The main results for SMVKPT1 is given in this part. (28) Set 3σ2 µ√Λ1 + 12σ √πµ < ε. (28) (28) Set C0(θtω) = 3  2|σz(θtω)| + σ2|z(θtω)|2 √Λ1  , ρ0(ω) = Z t −∞eεt+R 0 t C0(θsω)dsKds + δ0, (29) ρ(ω) = ρ0(ω) + kC(1 2, C1, C2)∥F0∥2 2, K0 = εkC(3 2, C1, C2)∥F0∥2 2, (30) K1 = 8kC(1 8, C1, C2)∥F0∥2 2, K2 = 4kσ2 √Λ1 C(1 8, C1, C2)∥F0∥2 2, K = K0 + |z(θtω)|K1 + |z(θtω)|2K2, (31) r(ω) = s|σz(ω)|2 Λ1 + 1  ρ(ω), (32) (29) (30) (31) r(ω) = s|σz(ω)|2 Λ1 + 1  ρ(ω), (32) (32) where C(η, C1, C2), η = 1 2, 3 2, 1 8 are constants satisfying Equation (45) in Section 3.2.2. Then, the existence and finite expectation of radius of global random attractors for SM(t, ω) can be asserted by the next theorem. where C(η, C1, C2), η = 1 2, 3 2, 1 8 are constants satisfying Equation (45) in Section 3.2.2. Then, the existence and finite expectation of radius of global random attractors for SM(t, ω) can be asserted by the next theorem. Theorem 4. There exists global random attractors A (ω), ω ∈Ωfor SM(t, ω) in E1; moreover, Theorem 4. There exists global random attractors A (ω), ω ∈Ωfor SM(t, ω) in E1; moreover, Theorem 4. There exists global random attractors A (ω), ω ∈Ωfor SM(t, ω) in E1; moreover A (ω) ⊂B(0, r(ω)), P −a.s. E(ρ(ω)) ≤M < ∞, where B(0, r(ω)) denotes the open ball centered at the origin with radius is r(ω), while M is given by Equation (A43) in Section 3.2.2. where B(0, r(ω)) denotes the open ball centered at the origin with radius is r(ω), while M is given by Equation (A43) in Section 3.2.2. Comparing Theorems 1 and 3, as well as Theorems 2 and 4, their forms are the same or similar, while there exists essential difference between them, which is expounded in Section 5. Symmetry 2018, 10, 315 11 of 41 11 of 41 2.2.3. The main results for SMVKPT1 is given in this part. Global Dynamics in Both Additive and Multiplicative White Noise Cases al Dynamics in Both Additive and Multiplicative White Noise Cases Based on the theoretical results and the relationship between invariant measures and global attractors introduced in Proposition 2 in Section 3.1, the rest of this subsection is dedicated to studying the global dynamics of the stochastic Von Kaman plates, which is accomplished by deriving the components of global random attractor numerically, the main components are referred as global random point attractor and global random basic attractor. The modal equations associated with the stochastic Von Karman plates which are not display here (see Equation (A1) in Appendix A) can be obtained by employing inertial manifold with delay [58] and nonlinear gakerlin method [59]. Let s1 = 2, s2 = 2, s0 = 4, D = [0, 8] × [0, 6] ⊂R2 in Appendix A, Figure 1 shows the model for vibration of Von Karman plate. The eigenvalues {Λi}4 i=1 and eigenvectors {wi}4 i=1 of operator A and integration with respect to space variable in Equation (A2) listed in Appendix A can be performed by COMSOL with Matlab [60], and then the solution of model equations can be obtained by stochastic Runge–Kutta method [61]. f1 f2 P o y z x Figure 1. The model for vibration of Von Kaman plate under the random loading. Figure 1. The model for vibration of Von Kaman plate under the random loading. The situation of additive white noise. In this case, the P in Figure 1 is equal to σq(x) ˙W, let α = 0.5, k = 2, q(x) = Λ1(0.2w1 + 0.2w2 + 0.2w3 + 0.2w4) and ( f1, f2) are component of the in-plane force on boundary along the direction x, y, thus the g1, g2 in Equation (10h) can be derived by Equations (3) and (4). Since D is rectangle, g2 = 0. Furthermore, let f1 = f2, the dynamics of simplified Von Karman plate without rotational inertia driven by additive white noise is signified by the motion of the position x = 3, y = 2 of the plate, which are studied in the following cases. Case I. Let f1 = 1.2,σ = 0.2; the global random basic attractor, global random point attractor and global random attractors for SAVKP are the same. The main results for SMVKPT1 is given in this part. Figure 2 shows that global random basic attractor is a random fixed point which supports a invariant Markov measure δx0(ω). Furthermore, δx0(ω) is almost surely global stability. −0.07 −0.06 −0.05 −0.04 −0.03 −0.02 −0.01 0 −0.01 −0.008 −0.006 −0.004 −0.002 0 0.002 0.004 0.006 0.008 0.01 u ut δx0 (ω) (a) −0.035 −0.03 −0.025 −0.02 −0.015 −0.01 −0.005 0 0.005 0.01 −0.01 −0.008 −0.006 −0.004 −0.002 0 0.002 0.004 0.006 0.008 0.01 u ut (b) Figure 2. Invariant measures and random attractors for SAVKP in Case I.: (a) invariant measure and section of global random basic attractor; and (b) global random basic attractor. −0.035 −0.03 −0.025 −0.02 −0.015 −0.01 −0.005 0 0.005 0.01 −0.01 −0.008 −0.006 −0.004 −0.002 0 0.002 0.004 0.006 0.008 0.01 u ut (b) −0.07 −0.06 −0.05 −0.04 −0.03 −0.02 −0.01 0 −0.01 −0.008 −0.006 −0.004 −0.002 0 0.002 0.004 0.006 0.008 0.01 u ut δx0 (ω) (a) (b) (a) Figure 2. Invariant measures and random attractors for SAVKP in Case I.: (a) invariant measure and section of global random basic attractor; and (b) global random basic attractor. Symmetry 2018, 10, 315 12 of 41 Case II. Set f1 = 1.3, σ = 0.2, in this situation, global random basic attractor is equivalent to global random point attractor. Global random basic attractor (see Figure 3c) and its section (see Figure 3a) indicate that the system possesses two invariant Markov measures δx1(ω), δx2(ω) which are supported by two fixed random points. Figure 3b illustrates the section of the global random attractor of SAVKP. Case II. Set f1 = 1.3, σ = 0.2, in this situation, global random basic attractor is equivalent to global random point attractor. Global random basic attractor (see Figure 3c) and its section (see Figure 3a) indicate that the system possesses two invariant Markov measures δx1(ω), δx2(ω) which are supported by two fixed random points. Figure 3b illustrates the section of the global random attractor of SAVKP. The main results for SMVKPT1 is given in this part. −1 −0.8 −0.6 −0.4 −0.2 0 0.2 0.4 0.6 0.8 1 −0.01 −0.008 −0.006 −0.004 −0.002 0 0.002 0.004 0.006 0.008 0.01 u ut δx 1 (ω) δx 2 (ω) (a) −1 −0.5 0 0.5 1 −0.04 −0.03 −0.02 −0.01 0 0.01 0.02 0.03 0.04 u ut (b) −1 −0.5 0 0.5 1 −0.02 −0.01 0 0.01 0.02 0.03 u ut −0.84−0.82−0.8−0.78 −15 −10 −5 0 x 10 −3 0.78 0.8 −10 −5 0 x 10 −3 (c) Figure 3. Invariant measures and random attractors for SAVKP in Case II: (a) invariant measures and global random basic attractor; (b) section of global random attractor; and (c) global random basic attractor. −1 −0.8 −0.6 −0.4 −0.2 0 0.2 0.4 0.6 0.8 1 −0.01 −0.008 −0.006 −0.004 −0.002 0 0.002 0.004 0.006 0.008 0.01 u ut δx 1 (ω) δx 2 (ω) (a) u −1 −0.5 0 0.5 1 −0.04 −0.03 −0.02 −0.01 0 0.01 0.02 0.03 0.04 u ut (b) (b) (a) −1 −0.5 0 0.5 1 −0.02 −0.01 0 0.01 0.02 0.03 u ut −0.84−0.82−0.8−0.78 −15 −10 −5 0 x 10 −3 0.78 0.8 −10 −5 0 x 10 −3 (c) (c) Figure 3. Invariant measures and random attractors for SAVKP in Case II: (a) invariant measures and global random basic attractor; (b) section of global random attractor; and (c) global random basic attractor. Case III. let f1 = 3, σ = 0.2, Figure 4 describes the invariant measures and random attractors for SAVKP. Global random basic attractor is equivalent to global random point attractor in this status. Section of global random basic attractor demonstrated by Figure 4a reveals that the steady states of the system comprise four parts, which means that are least four stable invariant Markov measures for SAVKP exist. In addition, in Figure 4a, it can be obtained that the local dynamics of the system may be complex. The main results for SMVKPT1 is given in this part. −0.65 −0.6 −0.55 −0.5 0 0.02 0.04 0.06 0.08 0.1 u ut δxIV (ω) (a) (b) (b) (a) Figure 5. Invariant measures and random attractors for SAVKP in Case IV: (a) invariant measure and section of global random basic attractor; and (b) global random basic attractor. The situation of multiplicative white noise. In this case, the P in Figure 1 is equal to σu ˙W, while the remaining parameters are chosen to be the same as in the situation of additive white noise. The dynamics of SMVKP are studied in the following cases. Case I. Let f1 = 1.1, σ = 0.02Λ1, similar to the Case I in additive noise, global random basic attractor, global random point attractor and global random attractors for SAVKP are the same in this circumstance. The assertion that there exists an almost surely global stability invariant measure supported by a random fixed points for SMVKP can be attained by Figure 6. −0.1 −0.05 0 0.05 0.1 −0.1 −0.05 0 0.05 0.1 u ut δx 0 (ω) (a) −1 −0.5 0 0.5 1 x 10 −3 −0.01 −0.005 0 0.005 0.01 u ut −2 0 2 x 10 −4 −1 0 1x 10 −4 (b) Figure 6. Invariant measures and random attractors for SMVKP in Case I: (a) invariant measure and section of global random basic attractor; and (b) global random basic attractor. −0.1 −0.05 0 0.05 0.1 −0.1 −0.05 0 0.05 0.1 u ut δx 0 (ω) (a) −1 −0.5 0 0.5 1 x 10 −3 −0.01 −0.005 0 0.005 0.01 u ut −2 0 2 x 10 −4 −1 0 1x 10 −4 (b) (b) (a) Figure 6. Invariant measures and random attractors for SMVKP in Case I: (a) invariant measure and section of global random basic attractor; and (b) global random basic attractor. Case II. When f1 = 1.2, σ = 0.04Λ1, the numerical results on invariant measures and random attractors were described by Figure 7. Invoking the section of global random basic attractor (see Figure 7a), it can be obtained that the system possesses two local stable invariant Markov measures, which together with the numerical results of section global random point attractor described by Figure 7b give that another invariant measure exists, which could even be a unstable invariant Markov measure. Case III. Set f1 = 2.9, σ = 0.04Λ1, Figure 8 expresses the numerical results on global random attractors for SMVKP. The main results for SMVKPT1 is given in this part. The sketch of global random basic attractor is shown by Figure 4b, −5 −4 −3 −2 −1 0 1 2 3 4 5 −0.5 −0.4 −0.3 −0.2 −0.1 0 0.1 0.2 0.3 0.4 0.5 u ut −4.6 −4.5 −4.4 −0.05 0 0.05 0.1 4.4 4.5 4.6 −0.1 −0.05 0 0.05 −2.8 −2.7 −0.02 0 0.02 0.04 0.06 2.7 2.75 2.8 −0.06 −0.04 −0.02 0 (a) −5 −4 −3 −2 −1 0 1 2 3 4 5 −0.2 −0.1 0 0.1 0.2 0.3 0.4 0.5 0.6 u ut −4.54 −4.52 −4.5 −0.02 0 0.02 −2.8 −2.6 −0.1 0 0.1 2.6 2.8 3 −0.1 0 0.1 4.5 4.52 4.54 −0.02 0 0.02 (b) Figure 4. Invariant measures and random attractors for SAVKP in Case III: (a) invariant measure and section of global random basic attractor; and (b) global random basic attractor. −5 −4 −3 −2 −1 0 1 2 3 4 5 −0.2 −0.1 0 0.1 0.2 0.3 0.4 0.5 0.6 u ut −4.54 −4.52 −4.5 −0.02 0 0.02 −2.8 −2.6 −0.1 0 0.1 2.6 2.8 3 −0.1 0 0.1 4.5 4.52 4.54 −0.02 0 0.02 (b) −5 −4 −3 −2 −1 0 1 2 3 4 5 −0.5 −0.4 −0.3 −0.2 −0.1 0 0.1 0.2 0.3 0.4 0.5 u ut −4.6 −4.5 −4.4 −0.05 0 0.05 0.1 4.4 4.5 4.6 −0.1 −0.05 0 0.05 −2.8 −2.7 −0.02 0 0.02 0.04 0.06 2.7 2.75 2.8 −0.06 −0.04 −0.02 0 (a) u (b) (b) (a) Figure 4. Invariant measures and random attractors for SAVKP in Case III: (a) invariant measure and section of global random basic attractor; and (b) global random basic attractor. Symmetry 2018, 10, 315 13 of 41 13 of 41 Case IV. when f1 = 1.3, σ = 2, global random basic attractor is also equivalent to global random point attractor in this case. The numerical results on the invariant measures and random attractors for SAVKP (see Figure 5) expose the system has a almost surely global stability invariant Markov measure supported by a random fixed points. −0.65 −0.6 −0.55 −0.5 0 0.02 0.04 0.06 0.08 0.1 u ut δxIV (ω) (a) (b) Figure 5. Invariant measures and random attractors for SAVKP in Case IV: (a) invariant measure and section of global random basic attractor; and (b) global random basic attractor. The main results for SMVKPT1 is given in this part. The section of global random basic attractor shown by Figure 8a indicates that there exist four local stable invariant Markov measures. Furthermore, SMVKP has another three invariant measures which are interpreted by section of global random point attractor (see Figure 8b). The sketch of global random point attractor is illustrated by Figure 8c. Symmetry 2018, 10, 315 14 of 41 Case IV. Let f1 = 1.2, σ = 0.4Λ1, the similar results in Case IV can be got, the Figure to describe the invariant measure and random attractor is not displayed here. Case IV. Let f1 = 1.2, σ = 0.4Λ1, the similar results in Case IV can be got, the Figure to describe the invariant measure and random attractor is not displayed here. −5 −4 −3 −2 −1 0 1 2 3 4 5 x 10 −3 −0.01 −0.008 −0.006 −0.004 −0.002 0 0.002 0.004 0.006 0.008 0.01 u ut δx1 (ω) δx 2 (ω) (a) −0.05 −0.04 −0.03 −0.02 −0.01 0 0.01 0.02 0.03 0.04 0.05 −0.01 −0.008 −0.006 −0.004 −0.002 0 0.002 0.004 0.006 0.008 0.01 u ut δx 0 (ω) δx 2 (ω) δx1 (ω) (b) Figure 7. Invariant measures and random attractors for SMVKP in Case II: (a) invariant measure and section of global random basic attractor; and (b) global random basic attractor. −0.05 −0.04 −0.03 −0.02 −0.01 0 0.01 0.02 0.03 0.04 0.05 −0.01 −0.008 −0.006 −0.004 −0.002 0 0.002 0.004 0.006 0.008 0.01 u ut δx 0 (ω) δx 2 (ω) δx1 (ω) (b) −5 −4 −3 −2 −1 0 1 2 3 4 5 x 10 −3 −0.01 −0.008 −0.006 −0.004 −0.002 0 0.002 0.004 0.006 0.008 0.01 u ut δx1 (ω) δx 2 (ω) (a) (b) (a) Figure 7. Invariant measures and random attractors for SMVKP in Case II: (a) invariant measure and section of global random basic attractor; and (b) global random basic attractor. −6 −4 −2 0 2 4 6 −0.2 −0.15 −0.1 −0.05 0 0.05 0.1 0.15 u ut δx 5 (ω) δx 4 (ω) δx 3 (ω) δx 6 (ω) (a) −6 −4 −2 0 2 4 6 −0.2 −0.15 −0.1 −0.05 0 0.05 0.1 0.15 u ut δx3 (ω) δx4 (ω) δx7 (ω) δx0 (ω) δx8 (ω) δx5 (ω) δx6 (ω) (b) (c) Figure 8. The main results for SMVKPT1 is given in this part. Invariant measures and random attractors for SMVKP in Case III: (a) invariant measures and global random basic attractor; (b) section of global random point attractor; and (c) global random point attractor. −6 −4 −2 0 2 4 6 −0.2 −0.15 −0.1 −0.05 0 0.05 0.1 0.15 u ut δx 5 (ω) δx 4 (ω) δx 3 (ω) δx 6 (ω) (a) −6 −4 −2 0 2 4 6 −0.2 −0.15 −0.1 −0.05 0 0.05 0.1 0.15 u ut δx3 (ω) δx4 (ω) δx7 (ω) δx0 (ω) δx8 (ω) δx5 (ω) δx6 (ω) (b) (a) (b) (c) (c) Figure 8. Invariant measures and random attractors for SMVKP in Case III: (a) invariant measures and global random basic attractor; (b) section of global random point attractor; and (c) global random point attractor. Some affirmations can be approved by the aforementioned numerical results. For the clamped irrotational inertia Von Karman driven by additive white noise, fixed σ = 0.2, let f1 vary from 1.2 to 1.3, the global D-bifurcation occurs in the motion of the system. Change the value of f1 to be a big one, such f1 = 3, the dynamical behavior becomes much more interesting. From the view of global dynamics, there exits secondary D-bifurcation. The local dynamics of the system is complex. On the other hand, let f1 = 1.3 and change the σ from 0.2 to 2, the phenomenon of global D-bifurcation disappears. As for clamped irrotational inertia Von Karman driven by multiplicative white noise, fixed σ = 0.04Λ1, the similar global dynamics of the system can be obtained with varying the f1 from 1.1 to 2.9. In addition, once the coefficient of the multiplicative white noise becomes big, global D-bifurcation vanishes. Nevertheless, there exist differences between the two cases above. The multiplicative 15 of 41 15 of 41 Symmetry 2018, 10, 315 white noise is more likely to result in the appearance of global D-bifurcation and secondary global D-bifurcation in the motion of clamped Von Karman without rotational inertia than additive noises. when the secondary D-bifurcation occurs, the local dynamics of the system driven by additive white noise is more complex than the situation of multiplicative white noise. 3. Preliminary Results A RDS on Polish space (X, d) with Borel σ-algebra B(X) over a metric dynamical system (Ω, F, P, {θt}t∈R) is a (B(R+) × F × B(X), B(X)) measurable mapping Definition 1 ([4]). A RDS on Polish space (X, d) with Borel σ-algebra B(X) over a metric dynamical system (Ω, F, P, {θt}t∈R) is a (B(R+) × F × B(X), B(X)) measurable mapping φ : R+ × Ω× X →X, (t, ω, x) 7→Φ(t, ω, x) such that, for P −a.s., ω ∈Ω, such that, for P −a.s., ω ∈Ω, (i). φ(0, ω) = id on X. (i). φ(0, ω) = id on X. (ii). φ(t + s, ω) = φ(t, θsω) ◦φ(s, ω) for all s, t ∈R+. (ii). φ(t + s, ω) = φ(t, θsω) ◦φ(s, ω) for all s, t ∈R+. A RDS is continuous or differential if φ(t, ω) : X →X is continuous or differential. Furtherm φ(t, θ−tω) can be understood as the solution start from −t to 0. A RDS is continuous or differential if φ(t, ω) : X →X is continuous or differential. Furthermore, φ(t, θ−tω) can be understood as the solution start from −t to 0. The coming definitions related to random attractors for RDS was established by The coming definitions related to random attractors for RDS was established by Crauel et al. [5,63]. Definition 2. A random set K(ω) is said to absorb the set B ⊂X for a RDS φ, if P −a.s. there exists tB(ω) such that φ(t, θ−tω)B ⊂K(ω) for all t ≥tB(ω) φ(t, θ−tω)B ⊂K(ω) for all t ≥tB(ω) Definition 3. Let B ⊂2X be a collection of subsets of X, then a closed random set A(ω) is called B-random attractor associated with the RDS φ, if P −a.s. (i). A(ω) is a random compact set. (ii). A(ω) is invariant i.e., φ(t, ω)A(ω) = A(θtω) for all t ≥0 (ii). A(ω) is invariant i.e., φ(t, ω)A(ω) = A(θtω) for all t ≥0 (ii). A(ω) is invariant i.e., φ(t, ω)A(ω) = A(θtω) for all t ≥0 lim t→∞dist(φ(t, θ−tω)B, A(ω)) = 0 where dist denotes the Hausdorff semidistance: where dist denotes the Hausdorff semidistance: 3. Preliminary Results This section pays attention to give preliminaries and derive certain estimates for solution of SAVKPT1 and SMVKPT1, which are very important to prove main results provided in Section 2.2. Basic Theory Related to Global Random Attractors 3.1. Basic Theory Related to Global Random Attractors This subsection is devoted to introduce basic theory related to the theory of random attractors used in this paper. This subsection is devoted to introduce basic theory related to the theory of random attractors used in this paper. p p The next Proposition pertinent to z(θtω) can be found in References [13,62]. p p The next Proposition pertinent to z(θtω) can be found in References [13,62]. position 1. z(θtω) defined by Equation (14) satisfies Proposition 1. z(θtω) defined by Equation (14) satisfies E[z(θtω)] = 0, D[z(θtω)] = 1 2µ, and z(θtω) is a stationary Gauss Process and Markov Process, its probability-distribution function induce a Markov semigroup. Furthermore, and z(θtω) is a stationary Gauss Process and Markov Process, its probability-distribution function induce a Markov semigroup. Furthermore, lim t→±∞ 1 t Z t 0 |z(θτω)|2dτ = E[|z(ω)|2] = 1 2µ, (33) (33) lim t→±∞ 1 t Z t 0 |z(θτω)|dτ = E[|z(ω)|] = 1 √πµ, (34) (34) and and lim t→±∞ z(θtω) t = 0. lim t→±∞ z(θtω) t = 0. lim t→±∞ z(θtω) t = 0. The sets {z(ω)} is tempered with respect to {θt}t∈R. Moreover, if µ ≥2β, β > 0, then The sets {z(ω)} is tempered with respect to {θt}t∈R. Moreover, if µ ≥2β, β > 0, then E  eβ R s+t s |z(θτω)|2dτ ≤e βt µ , ∀s ∈R, t ≥0. E  eβ R s+t s |z(θτω)|2dτ ≤e βt µ , ∀s ∈R, t ≥0. (35) (35) When µ3 ≥r2, r ≥0, the following holds When µ3 ≥r2, r ≥0, the following holds When µ3 ≥r2, r ≥0, the following holds E  er R s+t s |z(θτω)|dτ ≤e rt √µ , ∀s ∈R, t ≥0. (36) (36) Moreover, E (|z(θsω)|r) = Γ( r+1 2 ) √πµr , r ∈R+, (37) (37) where Γ(·) is usual Γ function. where Γ(·) is usual Γ function. To give the notion of global random attractors, the definition of RDS inaugurated by Arnold [4] is needed to be given firstly. 16 of 41 Symmetry 2018, 10, 315 Definition 1 ([4]). where dist denotes the Hausdorff semidistance: then α(B) is known as the Kuratowski’s α-measure of non-compactness of B, in short, α-measure of B, which has the following properties. α(B) = 0 if and only if B is pre-compact. (i) α(B) = 0 if and only if B is pre-compact. (i) α(B) = 0 if and only if B is pre-compact. (ii) α(A ∪B) ≤max {α(A), α(B)}. (ii) α(A ∪B) ≤max {α(A), α(B)}. (iii) α(A + B) ≤α(A) + α(B). (iii) α(A + B) ≤α(A) + α(B). coB) = α(B), where α(coB) is the closed convex hull of B. (iv) α(coB) = α(B), where α(coB) is the closed convex hull of B. (v) If B1 ⊃B2 ⊃B3 ⊃· · · are nonempty closed sets in X such that α(Bn) →0 as n →∞, then ∩n≥1Bn is nonempty and compact. (v) If B1 ⊃B2 ⊃B3 ⊃· · · are nonempty closed sets in X such that α(Bn) →0 as n →∞, then ∩n≥1Bn is nonempty and compact. where dist denotes the Hausdorff semidistance: dis(A, B) = sup x∈A inf y∈B d(x, y), A, B ⊂X. dis(A, B) = sup x∈A inf y∈B d(x, y), A, B ⊂X. When B is composed of all bounded set of X, then A(ω) is the global random attractors for φ. If B = {{x} : x ∈X}, A(ω) is said to be global random point attractor. The next theorem, dedicated to verifying the existence of random attractors for SEBT1 directly, can be derived from Theorem 3.11 in Crauel et al. [5]. Theorem 5. Suppose φ is an RDS on connected Polish space (X, d), and suppose that φ possesses an absorbing set in X and for any nonrandom bounded set B ⊂X, lim t→+∞φ(t, θ−tω)B is relatively compact P-a.s. Then, φ possesses uniqueness global random attractors defined by the following A(ω) = [ B⊂X ΛB(ω) ed B ⊂X ,and ΛB(ω) given by ΛB(ω) = \ s≥0 [ t≥s φ(t, θ−tω)B A(ω) = [ B⊂X ΛB(ω) where union is taken over all bounded B ⊂X ,and ΛB(ω) given by where union is taken over all bounded B ⊂X ,and ΛB(ω) given by ΛB(ω) = \ s≥0 [ t≥s φ(t, θ−tω)B Furthermore, A (ω) is measurable with respect to F and connected.P −a.s.. Furthermore, A (ω) is measurable with respect to F and connected.P −a.s.. The following assertion provides the relationship between random attractors and invariant measures which is important to expound the global dynamics for RDS was stated in [4,8,63,64]. 17 of 41 17 of 41 Symmetry 2018, 10, 315 Proposition 2. When the RDS ϕ possesses global random attractor comply with Definition 3, by the Corollary 4.4 in Crauel [8], this attractors supports every invariant measures. The random point attractor of ϕ given by Definition 3 always supports at lest one invariant measure which even is a invariant Markov measure (Crauel [63], P423; Arnold [4], Theorem 1.6.13 and Theorem 1.7.5). When ϕ is a white noise RDS or SDS, together with the Theorem 3.6 in Crauel [63] give that every invariant Markov measure is supported by the global point attractor. On the other hand, if the global random attractors for ϕ exists, then ϕ also has the global point attractor. where dist denotes the Hausdorff semidistance: For any fixed ω ∈Ω, taking advantage of pullback mechanism [4], follow the proof of Theorem 5.2 in Birnir [64], the global random attractor can be decomposed into two ingredients, one is random basic attractor which supports all stable invariant Markov measures of white noise RDS, the other is random remainder. For the definition of basic and remainder, we refer to Birnir [64]. Proposition 2. When the RDS ϕ possesses global random attractor comply with Definition 3, by the Corollary 4.4 in Crauel [8], this attractors supports every invariant measures. The random point attractor of ϕ given by Definition 3 always supports at lest one invariant measure which even is a invariant Markov measure (Crauel [63], P423; Arnold [4], Theorem 1.6.13 and Theorem 1.7.5). When ϕ is a white noise RDS or SDS, together with the Theorem 3.6 in Crauel [63] give that every invariant Markov measure is supported by the global point attractor. On the other hand, if the global random attractors for ϕ exists, then ϕ also has the global point attractor. For any fixed ω ∈Ω, taking advantage of pullback mechanism [4], follow the proof of Theorem 5.2 in Birnir [64], the global random attractor can be decomposed into two ingredients, one is random basic attractor which supports all stable invariant Markov measures of white noise RDS, the other is random remainder. For the definition of basic and remainder, we refer to Birnir [64]. With the assertion that the RDS possesses a global random attractors, in light of Proposition 2, the investigation on global dynamics of RDS can be accomplished by exploiting the numerical results on the structure of global random attractor. The next proposition should be used in checking that the RDS φ(t, ω) satisfies condition “for any nonrandom bounded set B ⊂X, lim t→+∞φ(t, θ−tω)B is relative compact P-a.s.” in Theorem 5. Proposition 3. ([26]) Suppose B ⊂X is any bounded set, let Proposition 3. ([26]) Suppose B ⊂X is any bounded set, let α(B) = inf {d : B has a finite cover of diameter < d} (38) α(B) = inf {d : B has a finite cover of diameter < d} (38 (38) then α(B) is known as the Kuratowski’s α-measure of non-compactness of B, in short, α-measure of B, which has the following properties. 3.2. Main Estimates This subsection presents the main estimates for the solutions of the systems and some lemmas that are momentous to derive the proof for main results. This subsection presents the main estimates for the solutions of the systems and some lemmas that are momentous to derive the proof for main results. Firstly, the following properties on Von Karman bracket were given by Proposition 1.4.2 in Chueshov and Lasiecka [26]. 2 1 2 If either at least on of u, v, w belongs to H2 0(D) or all of them belong to (H1 0 T H2)(D), then Z D[u, v]wdx = Z D[u, w]vdx = Z D[v, w]udx. (39) (39) If v, w ∈(H1 0 T H2)(D), then Z D[u, v]wdx = Z D[u, w]vdx, u ∈H2(D). (40) (40) The next Lemma consider the sharp regularity Von Karman bracket. The next Lemma consider the sharp regularity Von Karman bracket. The next Lemma consider the sharp regularity Von Karman bracket. Lemma 1. ([25]) Suppose D is a bounded domain with regular boundary or a rectangle in R2, the following estimates holds ∥[u, w]∥−j−θ ≤C∥u∥2−θ+β∥w∥3−j−β, u ∈H2−θ+β(D), w ∈H3−j−β(D), (41) (41) 18 of 41 Symmetry 2018, 10, 315 where j = 0, 1, 0 < β ≤θ < 1. ∥[u, w]∥−j ≤C∥u∥2−β∥w∥3−j+β, u ∈H2−β(D), w ∈H3−j+β(D), (42) (42) in which j = 1, 2, 0 ≤β < 1. Let ∆−2 be the inverse operator of ∆2 with clamped boundary condition, invoking Equations (41) and (42), we have (u, w) 7→G(u, w) ≡∆−2[u, w] is bounded mapping from (H2 × H2)(D) to (H3 ∩W2,∞)(D) which satisfies ∥[u, w]∥−2 ≤C∥u∥1∥w∥2, (43) ∥G(u, v)∥2,∞≤C∥u∥2∥v∥2, ∥[w, G(u, v)]∥2 ≤C∥u∥2∥v∥2∥w∥2. ∥[u, w]∥−2 ≤C∥u∥1∥w∥2, (43) ∥G(u, v)∥2,∞≤C∥u∥2∥v∥2, ∥[w, G(u, v)]∥2 ≤C∥u∥2∥v∥2∥w∥2. ∥[u, w]∥−2 ≤C∥u∥1∥w∥2, (43) ∥G(u, v)∥2,∞≤C∥u∥2∥v∥2, ∥[w, G(u, v)]∥2 ≤C∥u∥2∥v∥2∥w∥2. (43) ∥G(u, v)∥2,∞≤C∥u∥2∥v∥2, ∥[w, G(u, v)]∥2 ≤C∥u∥2∥v∥2∥w∥2. The assertion that the condition “D is a bounded domain with regular boundary or a rectangle in Rn” can be relaxed to “D is a bounded domain satisfies cone property in Rn”, which can be derived using the property of continuation in Sobolev space [65]. The coming Lemma reveals a relationship between Airy function F and in-plane force F0. Lemma 2. Let F is the solution for system described by Equations (10e) and (10f); F0 satisfies Equations (10g) and (10h); and then Z D ∆F∆F0dx = 0. Z D ∆F∆F0dx = 0. Proof. See the Appendix B.1. According to Lemma 2, the following estimates which play a crucial role in obtaining the existence of global absorbing set for vibration of Von Karman with a arbitrarily small coefficient of weakly damping. Let Φ = [u, v]T be the solution of SAVKPT2 or SMVKPT2, ε satisfies (23), define Υ(F, F0) = Z D[u, u]F0dx. (44) (44) Combining Lemma 2 with Equations (10e)–(10h), we have Combining Lemma 2 with Equations (10e)–(10h), we have ma 2 with Equations (10e)–(10h), we have Υ(F, F0) = Z D ∆2F(u)F0dx = Z Γ ∂∆F ∂n F0ds − Z Γ ∂F0 ∂n ∆Fds, then Υ(F, F0) ≤∥∂∆F ∂n ∥−3 2 ,Γ∥F0∥3 2 ,0,Γ + ∥∂F0 ∂n ∥1 2 ,Γ∥∆F∥−1 2 ,0, ≤C1∥∂∆F ∂n ∥−3 2 ,Γ∥F0∥3 2 ,0,Γ + C2∥∂F0 ∂n ∥1 2 ,Γ∥∆F∥−1 2 ,0,Γ, ≤η∥∆F∥2 + C(η, C1, C2)∥F0∥2 2. (45) (45) where η is any given positive, C(η, C1, C2) is a positive, which is inversely proportional to η. In addition, invoking the trace theorem [57], we attain where η is any given positive, C(η, C1, C2) is a positive, which is inversely proportional to η. In addition, invoking the trace theorem [57], we attain ∥F0∥2 2 ≤eC∥g1∥2 3 2 ,Γ + bC∥g2∥2 1 2 ,Γ. (46) (46) In contrast to Inequality (9.1.17) provided by Lemma 9.1.7 in Chueshov and Lasiecka [26], the inequality in Equation (45) give a clear relationship between Υ(F, F0) and the in-plane force F0, which along with Equation (46) indicates that Υ(F, F0) is determined by the component of the in-plane force on boundary along the direction x, y. Since the form of damping is weak and the coefficient of it can be arbitrarily small, it is Symmetry 2018, 10, 315 19 of 41 accomplished by verifying the condition in Theorem 5 that “for any nonrandom bounded set B ⊂E1, lim t→+∞φ(t, θ−tω)B is relative compact P-a.s.” relies on the stabilization estimation of the considered systems. The results listed in the next two Lemmas are very important to accomplish the stabilization estimation of SAVKPT1 and SMVKPT1. accomplished by verifying the condition in Theorem 5 that “for any nonrandom bounded set B ⊂E1, lim t→+∞φ(t, θ−tω)B is relative compact P-a.s.” relies on the stabilization estimation of the considered systems. The results listed in the next two Lemmas are very important to accomplish the stabilization estimation of SAVKPT1 and SMVKPT1. Lemma 3. Proof. See the Appendix B.1. Suppose {un}+∞ n=1 ∈L∞((τ, t), (H2 0 T H4)(D), {un t }+∞ n=1 ∈L∞((τ, t), L2(D) are two given bounded sequences, which are weakly star convergence to u, ut, respectively. Then, for ∀n, m ∈N, the following holds lim n→∞lim m→∞ Z t τ ([F(un) + F0, un] −[F(um) + F0, um] , un t −um t ) ds = 0. (47) (47) Lemma 4. Suppose {un}+∞ n=1 ∈L∞((τ, t), (H2 0 T H4)(D), {un t }+∞ n=1 ∈L∞((τ, t), L2(D) are two given bounded sequences, which are weakly star convergence to u, ut, respectively. Then, for ∀n, m ∈N, the following holds lim n→∞lim m→∞ Z t τ ([F(un) + F0, un] −[F(um) + F0, um] , un −um) ds = 0. (48) (48) Lemma 3 was proposed by Khanmamedov [35]. With a similar treatment, the results in Lemma 4 can be attained. Hence, it is omitted it here. Lemma 3 was proposed by Khanmamedov [35]. With a similar treatment, the results in Lemma 4 can be attained. Hence, it is omitted it here. It is noticed that the A1 in Equations (15) and (20) are the same, then the estimates given in the next Lemma, which can be obtained by simple computation, should be employed in both cases of additive white noise and multiplicative white noise. Lemma 5. for any U = [U1, U2]T ∈E1, the ensuring holds Lemma 5. for any U = [U1, U2]T ∈E1, the ensuring holds (A1U, U)E1 ≤−ε 2∥U∥2 E1 −k0 2 ∥U2∥, (49) (49) where 0 < ε < ε0, 0 < k0 ≤α −ε and ε, ε0 satisfies Equation (23). re 0 < ε < ε0, 0 < k0 ≤α −ε and ε, ε0 satisfies Equation (23). where 0 < ε < ε0, 0 < k0 ≤α −ε and ε, ε0 satisfies Equation (23). The following Lemmas are used to prove the existence and uniqueness of solutions for SAVKP and SMVKP by semigroup theory. Lemma 6. −A1 ∈L (E2, E1), (−A1)−1 ∈L (E1, E1). Proof. See Appendix B.2. Proof. See Appendix B.2. Base on the Lemma 6, the ensuring results focus on eigenvalues of A1 can be verified. Lemma 7. The eigenvalues of A1 are as follows. Lemma 7. The eigenvalues of A1 are as follows. λ(+) k = −α + p α2 −4Λk 2 , λ(−) k = −α − p α2 −4Λk 2 , k = 1, · · · , n, · · · . Proof. See Appendix B.3. Symmetry 2018, 10, 315 20 of 41 3.2.1. Main Estimates Only Be Valid in Situation of Additive White Noise 3.2.1. Main Estimates Only Be Valid in Situation of Additive White Noise 1. Main Estimates Only Be Valid in Situation of Additive White Noise This subsubsection is to give main estimates that only be valid in additive whi This subsubsection is to give main estimates that only be valid in additive white noise case. For any given T > 0, τ ∈R, for ∀U, V ∈E1, ∥U∥E1 ≤M, ∥V∥E1 ≤M, by Reference [26], we have there exists constant M = C(M), such that [F(U1) + F0, U1] −[F(V1) + F0, V1] ≤ C(M)∥U −V∥E1 (50) (50) along with Equation (50), we have along with Equation (50), we have ∥F3(U) −F3(V)∥E1 ≤ C1(T, τ, ω, M)∥U −V∥E1 (51) (51) where C1(T, τ, ω, M) is a constant. where C1(T, τ, ω, M) is a constant. where C1(T, τ, ω, M) is a constant. ( ) Let the value of η in Equation (45) be 7 6, 1 2, 1 4, respectively, we find Let the value of η in Equation (45) be 7 6, 1 2, 1 4, respectively, we find 3kε 2 Υ(F, F0)Υ(F, F0) ≤ 7kε 4 ∥∆F∥2 + 3kε 2 C(7 6, C1, C2)∥F0∥2 2, (52) kΥ(F, F0)Υ(F, F0) ≤ k 2∥∆F∥2 + k 2C(1 2, C1, C2)∥F0∥2 2, (53) (52) p ¯k|σz(θtω)|∥q∥kΥ(F, F0) ≤ p ¯k|σz(θtω)|∥q∥k 4∥∆F∥2 + p ¯kk|σz(θtω)|∥q∥C(1 4, C1, C2)∥F0∥2 2. (54) plying Equations (39) and (40) and Lemma 1, we get p ¯k|σz(θtω)|∥q∥kΥ(F, F0) ≤ p ¯k|σz(θtω)|∥q∥k 4∥∆F∥2 + p ¯kk|σz(θtω)|∥q∥C(1 4, C1, C2)∥F0∥2 2. (54) (54) Applying Equations (39) and (40) and Lemma 1, we get Applying Equations (39) and (40) and Lemma 1, we get Applying Equations (39) and (40) and Lemma 1, we get Z D[F(u), u]vdx = Z D[ut, u]F(u)dx + ε Z D[u, u]F(u)dx −σz(θtω) Z D[q, u]F(u)dx ≤−1 2 Z D(∆2F(u))tF(u)dx −ε Z D ∆2F(u)F(u)dx + |σz(θtω)| Z D[q, u]F(u)dx ≤−1 4 d dt∥∆F(u)∥2 −ε∥∆F(u)∥2 + |σz(θtω)|∥q∥1 √ k  ∥A 1 2 u∥2 + k 4∥∆F(u)∥2  (55) (55) and and Z D[F0, u]vdx = Z D[ut, u]F0dx + ε Z D[u, u]F0dx −σz(θtω) Z D[q, u]F0dx ≤ −1 2 Z D(∆2F(u))tF0dx −ε Z D ∆2F(u)F0dx + |σz(θtω)| Z D[q, u]F0dx = −1 2 d dtΥ(F, F0) −εΥ(F, F0) + η 2 ∥Au∥2 + 1 2η (|σz(θtω)|∥q∥1∥F0∥2)2 . where η is positive constant. Set η = ε 4k, then where η is positive constant. Set η = ε 4k, then Z D[F0, u]vdx ≤−1 2Υ(F, F0) −εΥ(F, F0) + ε 8k∥Au∥2 + 2k ε (|σz(θtω)|∥q∥1∥F0∥2)2 . (56) (56) Z D[ 0, ] ≤−1 2Υ(F, F0) −εΥ(F, F0) + ε 8k∥Au∥2 + 2k ε (|σz(θtω)|∥q∥1∥F0∥2)2 . (56) Symmetry 2018, 10, 315 21 of 41 Employing Young’s inequality, it can be obtained that Employing Young’s inequality, it can be obtained that 2  σA 1 2 q(x)z(θtω), A 1 2 u  ≤ε 4∥A 1 2 u∥2 + 4σ2|z(θtω)|2 ε ∥A 1 2 q(x)∥2, (57) 2 (σ(µ −α + ε)q(x)z(θtω), v) ≤k0 2 ∥v∥2 + (σ(µ −α + ε)z(θtω))2 k0 ∥q(x)∥2. (58) (57) (58) The next lemma shows SA(t, ω) possesses global random absorbing set in E1. In addition, the expectation of radius of this random set is bounded. The next lemma shows SA(t, ω) possesses global random absorbing set in E1. In addition, the expectation of radius of this random set is bounded. Lemma 8. For any given non random bounded set B ⊂E1, there exists TB(ω) ≥0, such that, for ∀t ≥TB(ω), the following holds P-a.s. ∥SA(t, θ−tω)B∥E1 ≤r(ω) E(ρ(ω)) ≤M < ∞. In which ρ(ω) and r(ω) are formulated by Equations (26) and (27), respectively. and E(ρ(ω)) ≤M < ∞. In which ρ(ω) and r(ω) are formulated by Equations (26) and (27), respectively. Proof. See Appendix B.4. Let K(ω) = B(0, r(ω)); based on Lemma 8, it can be obtained that, for any non-random bounded set B ⊂E1, there exists TB(ω) > 0, such that, for ∀T1 ≥TB(ω), the following holds SA(T1, θ−T1ω)B ⊂K(ω). SA(T1, θ−T1ω)B ⊂K(ω). SA(T1, θ−T1ω)B ⊂K(ω). The coming lemma plays a key role in verifying the condition in Theorem 5 that “for any nonrandom bounded set B ⊂E1, lim t→+∞φ(t, θ−tω)B is relative compact P-a.s.” which is significant to prove the existence of the global random attractors for SAVKPT1. Lemma 9. Suppose {U(0) n }+∞ n=1 is any given bounded sequence in any given non-random bounded set B ⊂E1, T0 ∈[0, ∞) is a any given constant, n, m ∈N. Then, for ∀ε > 0, there exist TB(ω, ε) ≥TB(ω) and T = max {TB(ω, ε), T0} such that ∥SA(T, θ−Tω)U(0) m −SA(T, θ−Tω)U(0) n ∥E1 ≤ε + KA ε,B,T,ω(U(0) m , U(0) n ), (59) (59) and and lim inf n→+∞lim inf m→+∞KA ε,B,T,ω(U(0) m , U(0) n ) = 0. Proof. See the Appendix B.5. 3.2.2. Main Estimates Only Be Valid in Situation of Multiplicative White Noise For any given T > 0, τ ∈R, ∀U, V ∈E1, ∥U∥E1 ≤M, ∥V∥E1 ≤M, M is constant, take account into z(θtω) is continuous in [τ, τ + T], merging with Equation (50), we have that there exists a constant C(T, τ, ω, M) such that ∥F2(U, θtω) + F3(U) −F2(V, θtω, ) −F3(V)∥E1 ≤ C(T, τ, ω, M)∥U −V∥E1, (60 (60) 22 of 41 Symmetry 2018, 10, 315 which indicates that F2(U, θtω) + F3(U) : E1 →E1 satisfies Lipschtiz condition. Let Φ = [Φ1, Φ2]T = [u, v]T ∈E2; the following estimates should be frequently used. which indicates that F2(U, θtω) + F3(U) : E1 →E1 satisfies Lipschtiz condition. Let Φ = [Φ1, Φ2]T = [u, v]T ∈E2; the following estimates should be frequently used. (σz(θtω)u, u)2 ≤|σz(θtω)|∥u∥2 2, (61) (−σz(θtω)v, v) ≤|σz(θtω)|∥v∥2 2, (62)  σ2z2(θtω)u, v  ≤σ2|z(θtω)|2 2√λ1  ∥Au∥2 + ∥v∥2 . Proof. See Appendix B.4. (63) (σz(θtω)u, u)2 ≤|σz(θtω)|∥u∥2 2, (−σz(θtω)v, v) ≤|σz(θtω)|∥v∥2 2, (63) Z D[F(u), u]vdx Z D[F(u), u]vdx = −1 2 Z D(∆2F(u))tF(u)dx −ε Z D ∆2F(u)F(u)dx + σz(θtω) Z D[u, u]F(u)dx = −1 4 d dt∥∆F(u)∥2 −ε∥∆F(u)∥2 + σz(θtω)∥∆F(u)∥2 (64) Z D = −1 2 Z D(∆2F(u))tF(u)dx −ε Z D ∆2F(u)F(u)dx + σz(θtω) Z D[u, u]F(u)dx = −1 4 d dt∥∆F(u)∥2 −ε∥∆F(u)∥2 + σz(θtω)∥∆F(u)∥2 (64) (64) Z D[F0, u]vdx = Z D[ut, u]F0dx + ε Z D[u, u]F0dx −σz(θtω) Z D[u, u]F0dx = −1 2 d dtΥ(F, F0) −εΥ(F, F0) + σz(θtω)Υ(F, F0)dx (65) Z D = Z D[ut, u]F0dx + ε Z D[u, u]F0dx −σz(θtω) Z D[u, u]F0dx = −1 2 d dtΥ(F, F0) −εΥ(F, F0) + σz(θtω)Υ(F, F0)dx (65) (65) where Υ(F, F0) is defined by Equation (44). 1 3 where Υ(F, F0) is defined by Equation (44). where Υ(F, F0) is defined by Equation (44). 1 where Υ(F, F0) is defined by Equation (44). Let the value of η in Equation (45) be 1 8 and 3 2, respectively, and the following can be satisfied Let the value of η in Equation (45) be 1 8 and 3 2, respectively, and the following can be satisfied Let the value of η in Equation (45) be 1 8 and 3 2, respectively, and the following can be satisfied 4  2|σz(θtω)| + σ2|z(θtω)|2 √Λ1  kΥ(F, F0) ≤ 1 2  2|σz(θtω)| + σ2|z(θtω)|2 √Λ1  k∥∆F∥2 +4  2|σz(θtω)| + σ2|z(θtω)|2 √Λ1  kC(1 8, C1, C2)∥F0∥2 2, (66) εkΥ(F, F0) ≤3 2εk∥∆F∥2 + εkC(3 2, C1, C2)∥F0∥2 2, (67) (66) (67) The coming Lemma asserts that SM(t, ω) possesses global random absorbing set in E1. The coming Lemma asserts that SM(t, ω) possesses global random absorbing set in E1. Lemma 10. Let B ⊂E1 be any given non-random bounded set, then there exists TB(ω) ≥0 such that Lemma 10. Let B ⊂E1 be any given non-random bounded set, then there exists TB(ω) ≥0 such that ∥SM(t, θ−tω)B∥E1 ≤r(ω), ∀t ≥TB(ω), P −a.s. ∥SM(t, θ−tω)B∥E1 ≤r(ω), ∀t ≥TB(ω), P −a.s. and E(ρ(ω)) ≤M < ∞. where ρ(ω), r(ω) is formulated by Equations (30) and (32), respectively. M is given in Theorem 4. Proof. See Appendix B.6. Proof. See Appendix B.6. Let K(ω) = B(0, r(ω)), invoke Lemma 10, we have that for any given bounded set B ⊂E1, there exists TB(ω) > 0, such that for ∀T1 ≥TB(ω), the coming holds Let K(ω) = B(0, r(ω)), invoke Lemma 10, we have that for any given bounded set B ⊂E1, there exists TB(ω) > 0, such that for ∀T1 ≥TB(ω), the coming holds SM(T1, θ−T1ω)B ⊂K(ω). Similar to the results presented in Lemma 9, the stabilization estimation of SMVKPT1 provided in the next Lemma can be derived. Similar to the results presented in Lemma 9, the stabilization estimation of SMVKPT1 provided in the next Lemma can be derived. 23 of 41 Symmetry 2018, 10, 315 Lemma 11. Suppose {U(0) n }+∞ n=1 is any given bounded sequence in any given non-random bounded set B ⊂E1, T0 ∈[0, ∞) is a any given constant, n, m ∈N. Then, for ∀ε > 0, there exist TB(ω, ε) ≥TB(ω) and T = max {TB(ω, ε), T0} such that Lemma 11. Suppose {U(0) n }+∞ n=1 is any given bounded sequence in any given non-random bounded set B ⊂E1, T0 ∈[0, ∞) is a any given constant, n, m ∈N. Then, for ∀ε > 0, there exist TB(ω, ε) ≥TB(ω) and T = max {TB(ω, ε), T0} such that ∥SM(T, θ−Tω)U(0) m −SM(T, θ−Tω)U(0) n ∥E1 ≤ε + KM ε,B,T,ω(U(0) m , U(0) n ), (68) (68) and and lim inf n→+∞lim inf m→+∞KM ε,B,T,ω(U(0) m , U(0) n ) = 0. lim inf n→+∞lim inf m→+∞KM ε,B,T,ω(U(0) m , U(0) n ) = 0. Proof. See Appendix B.7. 4.2. Proof for Theorem 2 It follows from Lemma 8 that the RDS S(t, ω) possesses global absorbing set in E1. The estimation of expectation of radius of the global absorbing set is obtained in the proof for Lemma 8 if the condition that “for any nonrandom bounded set B ⊂E1, lim t→+∞SA(t, θ−tω)B is relative compact P-a.s.” can be satisfied, which is achieved in the following. Then, according the Theorem 5, we can complete the proof of this theorem. ppose ∀B ⊂E1 is any bounded set, let eT0 ≥TP and Suppose ∀B ⊂E1 is any bounded set, let eT0 ≥TP and A B n (ω) = [ s≥neT0 SA(s, θ−sω)B, n ∈N, A B n (ω) = [ s≥neT0 SA(s, θ−sω)B, n ∈N, From Reference [67], we have A B n+1(ω) ⊂A B n (ω), n ∈N, (69) A B n+1(ω) ⊂A B n (ω), n ∈N, (69) and A B n (ω), ∀n ∈N is nonempty closed set. and A B n (ω), ∀n ∈N is nonempty closed set. and A B n (ω), ∀n ∈N is nonempty closed set. B B B A ( ) p y Let A B ∞(ω) = lim n→∞A B n (ω), AB(ω) = lim T→+∞SA(T, θ−Tω)B, then p y Let A B ∞(ω) = lim n→∞A B n (ω), AB(ω) = lim T→+∞SA(T, θ−Tω)B, then A B(ω) = A B ∞(ω) In the following, we verify AB(ω) is relative compact. It is enough to prove In the following, we verify AB(ω) is relative compact. It is enough to prove lim T→+∞αK(SA(T, θ−Tω)B) = 0, (70) lim T→+∞αK(SA(T, θ−Tω)B) = 0, (70) where αK(·) denote the α−measure. Taking advantage of the contradiction method, suppose Equation (70) is not true, then there exists bε0 > 0, for ∀T1 ≥0 and T0 > T1 such that Taking advantage of the contradiction method, suppose Equation (70) is not true, then there exists bε0 > 0, for ∀T1 ≥0 and T0 > T1 such that αK(SA(T0, θ−T0ω)B) ≥3bε0. Let ε0 = bε0, T1 = TB(ε, ω), T0 = T0, T = max {TB(ε, ω), T0}, obviously, T = T0. Hence, αK(S(T0, θ−T0ω)B) ≥3ε0 which reveals that there exists sequence {U(0)}∞ n=1 ∈B such that sup τ∈R ∥SA(T0, θ−T0ω)U(0) m −SA(T0, θ−T0ω)U(0) n ∥E1 ≥2ε0, m ̸= n, n, m = 1, 2, · · · which contradicts Equation (59). Thus, the supposed assumption is invalid which means Equation (70) holds. 4.1. Proof for Theorem 1 Along with Lemmas 5–7, we have A1 can induce a linear semigroup of contractions denoted by eA1t, t ∈R+. Invoking Equation (51), we get F2(θtω) + F3(U) : E1 →E1 satisfies the Lipschtiz condition. z(θtω) is continuous in [τ, t]. Hence, according to Theorem 2.5.1 in Reference [66], we conclude that SAVKP possesses uniqueness (mild) solution with the form ΦA(t, τ, ω; Φτ) = eA(t−τ)Φτ + Z t τ eA(t−s) (F2(θsω) + F3(Φ(s))) ds. where,t ≥τ, t, τ ∈R. Thus, where,t ≥τ, t, τ ∈R. Thus, ΦA(t −τ, 0, θτω; Φτ) = eA(t−τ)Φτ + Z t−τ 0 eA(t−τ−s) (F2(θs+τω) + F3(Φ(s))) ds. Let s + τ = T, we have eA(t−τ)Φτ + Z t−τ 0 eA(t−τ−s) (F2(θs+τω) + F3(Φ(s))) ds = eA(t−τ)Φτ + Z t τ eA(t−T) (F2(θTω) + F3(Φ(T −τ))) dT Therefore, Therefore, ΦA(t −τ, 0, θτω; Φτ) = eA(t−τ)Φτ + Z t τ eA(t−T) (F2(θTω) + F3(Φ)(T −τ)) dT. Hence, ΦA(t −τ, 0, θτω; Φτ) is the value of a solution for Equation (10a) with initial value t = τ, Φ = Φτ at time t. Then ΦA(t −τ, 0, θτω; Φτ) = ΦA(t, τ, ω; Φτ). Furthermore, the solution mapping ϕA(t, τ, ω) satisfies ϕA(t, τ, ω) = ϕA(t −τ, 0, θτω). On the other hand, ΦA(τ, τ, ω; Φτ) = Φτ which means ϕA(τ, τ, ω) = 0. Thus, the proof is completedf. 24 of 41 Symmetry 2018, 10, 315 4.2. Proof for Theorem 2 5. Summary and Conclusions The affirmation that expectation of radius of global random attractors for nonlinear stochastic plates considered in the paper is in direct proportion to the intensity of white noise and F0 can be derived by Theorem 2 and Theorem 4. On the other hand, it follows from Theorem 4 and the assumption in Equation (28) that, for the clamped Von Karman plate without rotational inertia driven by multiplicative white noise, values for the coefficient of the noise that are too large might result in the non-existence of global random attractor for the system, the phenomenon of which cannot be obtained in the status of additive white noise. The estimate of Equation (45) is derived in Section 3.2 to achieve the existence of global absorbing set for the system, which can also accomplished by Inequality (9.1.17) provided by Lemma 9.1.7 in Chueshov and Lasiecka [26]. However, the inequality in Equation (45) gives a clear relationship between Υ(F, F0) defined by Equation (44) in Section 3.2 and the in-plane force F0, which along with Equation (46) indicates that Υ(F, F0) is determined by the component of the in-plane force on boundary along the direction x, y. This assertion can expounds the bucking phenomenon from the theoretical results on global random attractors. Compared with the results on global attractors provided by Chen et al. [36] in situation of multiplicative noise, the investigation on existence of global random attractors for the systems, which are carried out in this paper, do not need the assumption that coefficient of the damping is big enough. This statement can be achieved by the process of proving the existence of global random absorbing set for clamped Von Karman plate without rotational inertia driven by white noise (see Lemma 8 in Section 3.2.1 and Lemma 10 in Section 3.2.2) and attaining the stabilization estimation of the systems(see Lemma 9 in Section 3.2.1 and Lemma 11 in Section 3.2.2). It is noticed that the condition for the existence of global random attractors presented by Chen et al. [36] is so conservative that, once there does not exist a steady ingredient of the loading, which means p = 0 in the governing equations of Von Karman plate considered in [36], then the global random attractors only comprise the random fixed points (even the trivial solution). It is led by the too big coefficient of damping. then ΛB(ω) is compact. then ΛB(ω) is compact. According to Theorem 5, it can be found that the RDS SA(t, ω) possesses random attractors According to Theorem 5, it can be found that the RDS SA(t, ω) possesses random attractors A (ω) ⊂E1, ∀ω ∈Ωdefined by g , ( , ) p ω) ⊂E1, ∀ω ∈Ωdefined by g A (ω) ⊂E1, ∀ω ∈Ωdefined by A (ω) ⊂E1, ∀ω ∈Ωdefined by A (ω) = [ B⊂E1 ΛB(ω). A (ω) = [ B⊂E1 ΛB(ω). A (ω) = [ B⊂E1 ΛB(ω). 4.4. Proof for Theorem 4 This process of proof can be completed with replacing Lemma 8 by Lemma 10, Equation (59) by Equation (68) and the RDS SA(t, ω) by RDS SM(t, ω) in the proof for Theorem 4. Thus, it is omitted here. 4.3. Proof for Theorem 3 By Equation (60), we have F2(U, θtω) + F3(U) : E1 →E1 satisfies Lipschtiz condition, and the rest of proof is very similar to the Proof for Theorem 1 provided in Section 4.4. Thus, it is omitted here. 4.2. Proof for Theorem 2 Then, αK A B ∞(ω)  = 0 which means lim n→∞αK(A B n (ω)) = 0, together with (69), by the Proposition 3, we have T n≥1 A B n (ω) is compact. On the other hand, since \ n≥1 A B n (ω) = \ N≥0 [ n≥N SA(neT0, θ−neT0ω)B, Let Let ΛB(ω) = \ N≥0 [ n≥N SA(neT0, θ−neT0ω)B, ΛB(ω) = \ N≥0 [ n≥N SA(neT0, θ−neT0ω)B, 25 of 41 Symmetry 2018, 10, 315 then ΛB(ω) is compact. 5. Summary and Conclusions The results obtained in this paper indicate that there exists global random attractors for the systems with the small coefficient of weak damping. Moreover, the statement that global random attractors are composed of more than a fixed random point is illustrated by the numerical results on global dynamics. On the other hand, the conclusion that multiplicative white noise is more likely to result in the appearance of global D-bifurcation and secondary global D-bifurcation in the motion of clamped Von Karman without rotational inertia than additive noises can also be validated from the numerical results on global dynamics of the systems. In engineering applications, ( f1, f2) are the in-plane components of the external force that act on the edge of the plate. In light of Equations (3) and (4) given in Section 2.1, with Equation (46) attained 26 of 41 Symmetry 2018, 10, 315 in Section 3.2.1, the boundary value of F0 and ∂F0 ∂n are determined by ( f1, f2). Thus, the aforementioned qualitative results on long time behavior for the two kinds of nonlinear stochastic Von Karman plates are demonstrated by the numerical results on global dynamics. Big enough value of external force that acts on the edge of the plate leads to the appearance of global D-bifurcation in the motion of the simplified Von Karman plate without rotational inertia, which coincides with the phenomena named bucking [1]. Furthermore, the fact mentioned above together with assertion that global D-bifurcation would disappear with increasing the value of intensity of the white noise can give a reasonable explanation of how the random snap-through [68] occurs in motion of the stochastic Von Karman plate and how to eliminate it in the following manner. When the global random attractor only comprise a fixed random point, then random snap-through occurs. Once the global D-bifurcation appears in the motion of the Von Karman plate, the random snap-through will disappears. Alternatively, the large value of the intensity of the white noise results in the occurring of the random snap-through which can be eliminated by increasing the value of external force that act on the edge of the plate. As indicated above, it can be concluded that the random snap-through which seems to be a complex dynamics intuitively is essentially a simple dynamical behavior. Abbreviations The following abbreviations are used in this manuscript: RDS Random Dynamical System SAVKP The system described by Equations (10a), (10c), (10e)–(10h) SAVKPT1 The system described by Equations (10c), (15) and (10e)–(10h) SAVAPT2 The system described by Equations (18), (10c) and (10e)–(10h) SMVKP The system interpreted by Equations (10b), (10c), (10e)–(10h) SMVKPT1 The system interpreted by Equations (20), (10c) and (10e)–(10f) SMVAPT2 The system interpreted by Equations (21), (10c) and (10e)–(10f) 5. Summary and Conclusions Author Contributions: Conceptualization, Investigation, Writing—Original Draft Preparation, and Writing—Review and Editing, H.C.; Investigation, Supervision, Project Administration, Funding Acquisition, and Writing—Review and Editing, D.C.; Investigation, Writing—Review and Editing, J.J.; Resources; and Writing—Review and Editing, X.F. Funding: This work was supported by the Key Project of National Natural Science Foundation of China (No. 11732005) and the National Natural Science Foundation of China (No. 91216106, 11472089). Conflicts of Interest: The authors declare no conflict of interest. Funding: This work was supported by the Key Project of National Natural Science Foundation of China (No. 11732005) and the National Natural Science Foundation of China (No. 91216106, 11472089). Appendix A. The Model Equation Suppose u = s ∑ i=1 li(t)wi, F = s0 ∑ i=1 ai(t)wi,s = s1 + s2, s0, s1, s2 ∈N, where {wi}4 i=1 are eigenvectors related to eigenvalues {Λi}k i=1 of operator A. Taking the inner product of Equation (10e) by wi, i = 1, · · · , k in L2, we have ai(t) = −1 Λi [ s ∑ i=1 li(t)wi, s ∑ i=1 li(t)wi], wi ! , i = 1, · · · , s0, then F = s0 ∑ i=1 −1 Λi [ s ∑ i=1 li(t)wi, s ∑ i=1 li(t)wi], wi ! wi. Thus, the model equations associated with SAVKP have the following form Thus, the model equations associated with SAVKP have the following form dm = (M1m + M2(m, m)) dt + σM3dW, dm = M2m + M2(m, m)  dt + σM3dW, t ∈(τh −h, τh]; m = mτh−h, t ̸∈(τh −h, τh] (A1) (A1) m = mτh−h, t ̸∈(τh −h, τh] 27 of 41 Symmetry 2018, 10, 315 where l = (l1, · · · , lk1)T = (l1, · · · , lk1)T represents the low-frequency modal and the other is high-frequency modal l = (l1, · · · , lk2)T = (lk1, · · · , lk1+k2)T, li is the value of l at time i. g = lt, g = lt, m = [l1, g1, · · · , lk, gk1]T, m = [l1, g1, · · · , lk, gk2]T. h is step size of numerical integration. τ ∈N is an undetermined constant. an undetermined constant. M1 =   0 1 0 0 0 −Λ1 −α 0 0 0 0 0 ... 0 0 0 0 0 −Λs1 −α   , M2(m, m) = −   0 F1(l) ... 0 Fs1(l)   , M3 =   0 (q(x), w1) ... 0 (q(x), ws1)   and M1 =   0 1 0 0 0 −Λk1+1 −α 0 0 0 0 0 ... 0 0 0 0 0 −Λk −α   , M2(m, m) = −   0 Fs1+1(l) ... 0 Fs(l)   , M3(m) =   0 q(x), ws1+1  ... 0 (q(x), ws)   in which F =   F1 ... Fs  =   σq(x) ˙W, w1  ... σq(x) ˙W, ws    F(l) =   F1(l) ... Appendix A. The Model Equation F2(l)  = k   −  [F, s ∑ i=1 liwi], w1  −  [F0, s ∑ i=1 liwi], w1  ... −  [F, s ∑ i=1 liwi], ws  −  [F0, s ∑ i=1 liwi], ws    , (A2) Furthermore, let c M3 =   0 l1 ... 0 ls1   , c M3 =   0 l1 ... 0 ls2   , then, respectively, replacing M3, M3 in Equation (A1) by c M3, c M3 leads to the modal equations for SMVKP. M1 =   0 1 0 0 0 −Λ1 −α 0 0 0 0 0 ... 0 0 0 0 0 −Λs1 −α   , M2(m, m) = −   0 F1(l) ... 0 Fs1(l)   , M3 =   0 (q(x), w1) ... 0 (q(x), ws1)   M1 =   0 1 0 0 0 −Λ1 −α 0 0 0 0 0 ... 0 0 0 0 0 −Λs1 −α   , M2(m, m) = −   0 F1(l) ... 0 Fs1(l)   , M3 =   0 (q(x), w1) ... 0 (q(x), ws1)   and M1 =   0 1 0 0 0 −Λk1+1 −α 0 0 0 0 0 ... 0 0 0 0 0 −Λk −α   , M2(m, m) = −   0 Fs1+1(l) ... 0 Fs(l)   , M3(m) =   0 q(x), ws1+1  ... 0 (q(x), ws)   M1 =   0 1 0 0 0 −Λk1+1 −α 0 0 0 0 0 ... 0 0 0 0 0 −Λk −α   , M2(m, m) = −   0 Fs1+1(l) ... 0 Fs(l)   , M3(m) =   0 q(x), ws1+1  ... 0 (q(x), ws)   and in which in which F =   F1 ... Fs  =   σq(x) ˙W, w1  ... σq(x) ˙W, ws    F(l) =   F1(l) ... F2(l)  = k   −  [F, s ∑ i=1 liwi], w1  −  [F0, s ∑ i=1 liwi], w1  ... Appendix A. The Model Equation −  [F, s ∑ i=1 liwi], ws  −  [F0, s ∑ i=1 liwi], ws    , (A2) Furthermore, let c M3 =   0 l1 ... 0 ls1   , c M3 =   0 l1 ... 0 ls2   , c (A2) Furthermore, let then, respectively, replacing M3, M3 in Equation (A1) by c M3, c M3 leads to the modal equations for SMVKP. then, respectively, replacing M3, M3 in Equation (A1) by c M3, c M3 leads to the modal equations for SMVKP. then, respectively, replacing M3, M3 in Equation (A1) by c M3, c M3 leads to the modal equations for SMVKP. 28 of 41 Symmetry 2018, 10, 315 Appendix B. Proof of the Lemmas in Section 3 Appendix B. Proof of the Lemmas in Section 3 Appendix B.1. Proof of Lemma 2 Since Z D F∆2F0dx = Z Γ ∂∆F0 ∂n F − Z D ∇(∆F0) · ∇Fdx, = Z Γ ∂∆F0 ∂n Fds − Z Γ ∂F ∂n ∆F0ds + Z D ∆F∆F0dx, together with Equation (10f) gives together with Equation (10f) gives together with Equation (10f) gives Z D F∆2F0dx = Z D ∆F∆F0dx. Z D F∆2F0dx = Z D ∆F∆F0dx. Taking into account Equation (10g), we have Z D ∆F∆F0dx = 0. Z D ∆F∆F0dx = 0. Appendix B.2. Proof of Lemma 6 Let E = (H4 × L2)(D), define a(U, V) = < −A1U, V >, (A3) a(U, V) = < −A1U, V >, (A3) where < □, □>= R D □· □dx. By Cauchy inequality, there exists M ≥0 such that |< −A1U, V >| = |(−εU1 + U2, U1) + (−AU1 + ε(α −ε)U1, U2) −((α −ε)U2, U2)| , ≤ M∥U∥E∥V∥E. ∀U, V ∈E (A4) |< −A1U, V >| = |(−εU1 + U2, U1) + (−AU1 + ε(α −ε)U1, U2) −((α −ε)U2, U2)| , ≤ M∥U∥E∥V∥E. ∀U, V ∈E (A4) From the Proofs of Lax–Milgram given by Temam [55], we have From the Proofs of Lax–Milgram given by Temam [55], we have From the Proofs of Lax–Milgram given by Temam [55], we have −A1 ∈ L (E, E∗), (A5) (A5) where E∗is the conjugate space of E. Moreover, Equation (49) yields where E∗is the conjugate space of E. Moreover, Equation (49) yields (−A1U, U)E1 ≥ ε 2∥U∥2 E1, ∀U ∈E2. (A6) (A6) D0 =  U U ∈E, −A1U ∈E1 , (A7) (A7) then D0 = E2. Since E1 ⊂E∗, then (A5) yields −A1 ∈L (E2, E1). Furthermore, Invoking Equation (A6), this gives −A1 : E2 →E1 is injection. On the other hand, since E1 ⊂E∗, by applying (A5), we have −A1 : E2 →E1 is surjection. By open mapping theorem, we obtain that the inverse of −A1 exists and (−A1)−1 ∈L (E1, E1). then D0 = E2. Since E1 ⊂E∗, then (A5) yields −A1 ∈L (E2, E1). Furthermore, Invoking Equation (A6), this gives −A1 : E2 →E1 is injection. On the other hand, since E1 ⊂E∗, by applying (A5), we have −A1 : E2 →E1 is surjection. By open mapping theorem, we obtain that the inverse of −A1 exists and (−A1)−1 ∈L (E1, E1). Symmetry 2018, 10, 315 29 of 41 ix B.3. Proof of Lemma 7 Appendix B.3. Proof of Lemma 7 Appendix B.3. Proof of Lemma 7 Without loss of generality, suppose [wk, ek]T, k ∈N is eigenvector with respect to eigenvalues λk, then A1[wk, ek]T = λk[wk, ek]T, A1[wk, ek]T = λk[wk, ek]T, Thus, Thus, −εwk + ek = λkwk, (A8) −Awk + ε(α −ε)wk − (α −ε)ek = λkek. (A9) (A8) (A9) −εwk + ek = λkwk, (A8) −Awk + ε(α −ε)wk − (α −ε)ek = λkek. (A9) Equation (A8) yields ek = (λk + ε)wk; substituting it into Equation (A9), we have Equation (A8) yields ek = (λk + ε)wk; substituting it into Equation (A9), we have Equation (A8) yields ek = (λk + ε)wk; substituting it into Equation (A9), we have −Awk + ε(α −ε)wk −(α −ε)(lk + ε)wk = λk(λk + ε)wk, then −Awk −αλkwk = λ2 kwk. Since Awk = Λkwk, we obtain k k k, −Λkwk −αλkwk = λ2 kwk. Hence, λ(+) k = −α + p α2 −4Λk 2 , λ(−) k = −α − p α2 −4Λk 2 . A di 4 f f 8 Hence, Appendix B.4. Proof of Lemma 8 Appendix B.4. Proof of Lemma 8 Appendix B.4. From the Proofs of Lax–Milgram given by Temam [55], we have Proof of Lemma 8 Taking the inner product of Equation (18) by Φ in E1 gives Taking the inner product of Equation (18) by Φ in E1 gives Taking the inner product of Equation (18) by Φ in E1 gives Taking the inner product of Equation (18) by Φ in E1 gives d dt∥Φ∥2 E1 = 2(A1Φ, Φ)E1 + 2  σA 1 2 q(x)z(θtω), A 1 2 Φ1  (A10) 2 (σ(µ −α + ε)q(x)z(θtω), Φ2) + 2k ([F(Φ1) + F0, Φ1], Φ2) . dt E1 = 2(A1Φ, Φ)E1 + 2  σA 1 2 q(x)z(θtω), A 1 2 Φ1  (A10) 2 (σ(µ −α + ε)q(x)z(θtω), Φ2) + 2k ([F(Φ1) + F0, Φ1], Φ2) . (A10) According to Lemma 5, we find According to Lemma 5, we find 2(A1Φ, Φ)E1 ≤−ε∥Φ∥2 E1 −k0∥Φ2∥, 2(A1Φ, Φ)E1 ≤−ε∥Φ∥2 E1 −k0∥Φ2∥, It follows from Equations (57) and (58) that the third and fourth term on the right of the inequality sign in Equation (A11) can be controlled by It follows from Equations (57) and (58) that the third and fourth term on the right of the inequality sign in Equation (A11) can be controlled by ε 4∥A 1 2 Φ1∥2 + k0 2 ∥Φ2∥2 + 4σ2|z(θtω)|2 ε ∥A 1 2 q(x)∥2 + (σ(µ −α + ε)q(x)z(θtω))2 k0 ∥q(x)∥2, ε 4∥A 1 2 Φ1∥2 + k0 2 ∥Φ2∥2 + 4σ2|z(θtω)|2 ε ∥A 1 2 q(x)∥2 + (σ(µ −α + ε)q(x)z(θt k0 Since Φ = [Φ1, Φ2]T = [u, v]T, utilizing Equations (55) and (56), we have Since Φ = [Φ1, Φ2]T = [u, v]T, utilizing Equations (55) and (56), we have Since Φ = [Φ1, Φ2]T = [u, v]T, utilizing Equations (55) and (56), we have 2k ([F(Φ1) + F0, Φ1], Φ2) ≤ −k 2 d dt∥∆F(Φ1)∥2 −2kε∥∆F(Φ1)∥2 + 2 p ¯k|σz(θtω)|∥q∥  ∥A 1 2 Φ1∥2 + k 4∥∆F(Φ1)∥2  −kΥ(F, F0) −2kεΥ(F, F0) + ε 4∥AΦ1∥2 + 4k2 ε (|σz(θtω)|∥q∥1∥F0∥2)2 . 30 of 41 Symmetry 2018, 10, 315 as indicated above, we get as indicated above, we get as indicated above, we get d dt∥Φ∥2 E1 ≤ −3ε 4 ∥Φ∥2 E1 + 4σ2|z(θtω)|2 ε ∥A 1 2 q(x)∥2 + (σ(µ −α + ε)q(x)z(θtω))2 k0 ∥q(x)∥2 −k 2 d dt∥∆F(Φ1)∥2 −2kε∥∆F(Φ1)∥2 + 2 p ¯k|σz(θtω)|∥q∥  ∥A 1 2 Φ1∥2 + k 4∥∆F(Φ1)∥2  −k d dtΥ(F, F0) −2kεΥ(F, F0) + ε 4∥AΦ1∥2 + 4k2 ε (|σz(θtω)|∥q∥1∥F0∥2)2 ≤ −ε 2∥Φ∥2 E1 −k 2 d dt∥∆F(Φ1)∥2 −k d dtΥ(F, F0) −kε 4 ∥∆F(Φ1)∥2 −kε 2 Υ(F, F0) +2 p ¯k|σz(θtω)|∥q∥  ∥A 1 2 Φ1∥2 + k 4∥∆F(Φ1)∥2  + 4k2 ε (|σz(θtω)|∥q∥1∥F0∥2)2 +4σ2|z(θtω)|2 ε ∥A 1 2 q(x)∥2 + (σ(µ −α + ε)q(x)z(θtω))2 k0 ∥q(x)∥2 −7kε 4 ε∥∆F(Φ1)∥2 −3kε 2 |Υ(F, F0)|. By means of Equation (52), we catch By means of Equation (52), we catch By means of Equation (52), we catch d dt∥Φ∥2 E1 ≤ −k 2 d dt∥∆F(Φ1)∥2 −k d dtΥ(F, F0) −ε 2∥Φ∥2 E1 −kε 4 ε∥∆F(Φ1)∥2 −kε 2 Υ(F, F0) +2 p ¯k|σz(θtω)|∥q∥  ∥A 1 2 Φ1∥2 + k 4∥∆F(Φ1)∥2  +3kε 2 C(7 6, C1, C2)∥F0∥2 2 + (σ(µ −α + ε)q(x)z(θtω))2 k0 ∥q(x)∥2 +4σ2|z(θtω)|2 ε ∥A 1 2 q(x)∥2 + 4k2 ε (|σz(θtω)|∥q∥1∥F0∥2)2 . It can be derived from Equation (54) that It can be derived from Equation (54) that It can be derived from Equation (54) that It can be derived from Equation (54) that d dt∥Φ∥2 E1 ≤−k 2 d dt∥∆F(Φ1)∥2 −k d dtΥ(F, F0) −ε 2∥Φ∥2 E1 −kε 4 ε∥∆F(Φ1)∥2 −kε 2 Υ(F, F0) + 2 p ¯k|σz(θtω)|∥q∥  ∥A 1 2 Φ1∥2 + k 4∥∆F(Φ1)∥2 + kΥ(F, F0)  + (σ(µ −α + ε)q(x)z(θtω))2 k0 ∥q(x)∥2 + 2 p ¯kk|σz(θtω)|∥q∥C(1 4, C1, C2)∥F0∥2 2 + 4σ2|z(θtω)|2 ε ∥A 1 2 q(x)∥2 + 4k2 ε (|σz(θtω)|∥q∥1∥F0∥2)2 + 3kε 2 C(7 6, C1, C2)∥F0∥2 2. (A11) + 3kε 2 C(7 6, C1, C2)∥F0∥2 2. as indicated above, we get Let E1(t, τ, ω) = E1(Φ1, Φ2, ω) =  ∥Φ2∥2 + ∥A 1 2 Φ1∥2 + k 2∥∆F(Φ1)∥2 + kΥ(F, F0)  , E(t, τ, ω) = E(Φ1, Φ2, ω) =  ∥Φ2∥2 + ∥A 1 2 Φ1∥2 + k 2∥∆F(Φ1)∥2  , Invoking Equation (53), we have Invoking Equation (53), we have Invoking Equation (53), we have E(Φ1, Φ2, ω) ≤E1(Φ1, Φ2, ω) + kC(1 2, C1, C2)∥F0∥2 2, (A12) E(Φ1, Φ2, ω) ≤E1(Φ1, Φ2, ω) + kC(1 2, C1, C2)∥F0∥2 2, (A12) E(Φ1, Φ2, ω) ≤E1(Φ1, Φ2, ω) + kC(1 2, C1, C2)∥F0∥2 2, (A12) Symmetry 2018, 10, 315 31 of 41 which along with Equations (25) and (A11) gives which along with Equations (25) and (A11) gives which along with Equations (25) and (A11) gives d dt∥E1(Φ1, Φ2, ω)∥2 E1 ≤−ε 2E1(Φ1, Φ2, ω) + 2 p ¯k|σz(θtω)|∥q∥E1(Φ1, Φ2, ω) + K. (A13 (A13) Setting ϵ = ε 2 and then employing Equation (A13), it can be asserted that, for any give τ ∈R,∀t ≥ τ, the next holds Setting ϵ = ε 2 and then employing Equation (A13), it can be asserted that, for any give τ ∈R,∀t ≥ τ, the next holds E1(t, τ, ω) ≤ e−ϵ(t−τ)+R t τ 2 √¯k|σz(θsω)|∥q∥dsE1(τ, τ, ω) + Z t τ e−ϵ(t−s)+R t s 2 √¯k|σz(θsω)|∥q∥dkKds. which means that for any t < 0, E1(0, t, ω) ≤ eϵt+R 0 t 2 √¯k|σz(θsω)|∥q∥dsE1(t, t, ω) + Z 0 t eϵt+R 0 t 2 √¯k|σz(θsω)|∥q∥dkKds, Incorporating Equation (A12), we obtain Incorporating Equation (A12), we obtain Incorporating Equation (A12), we obtain E(0, t, ω) ≤eϵt+R 0 t 2 √¯k|σz(θsω)|∥q∥dsE1(t, t, ω) + Z 0 t eϵt+R 0 t 2 √¯k|σz(θsω)|∥q∥dkKds E(0, t, ω) ≤eϵt+R 0 t 2 √¯k|σz(θsω)|∥q∥dsE1(t, t, ω) + Z 0 t eϵt+R 0 t 2 √¯k|σz(θsω)|∥q∥dkKds + kC(1 2, C1, C2)∥F0∥2 2. (A14) (A14) + kC(1 2, C1, C2)∥F0∥2 2. (A14) + kC(1 2, C1, C2)∥F0∥2 2. as indicated above, we get Since Φ = [Φ1, Φ2]T = [u, v]T, v = ut + εu −σq(x)z(θtω), then  ∥A 1 2 u∥2 + ∥ut + εu∥2 (0, t, ω) ≤eϵt+R 0 t 2 √¯k|σz(θsω)|∥q∥dsE(t, t, ω)  ∥A 1 2 u∥2 + ∥ut + εu∥2 (0, t, ω) ≤eϵt+R 0 t 2 √¯k|σz(θsω)|∥q∥dsE(t, t, ω) + Z 0 t eϵt+R 0 t 2 √¯k|σz(θsω)|∥q∥dkKds + eϵt+R 0 t 2 √¯k|σz(θsω)|∥q∥dsσ2∥q(x)∥2|z(θtω)|2 + σ2∥q(x)∥2|z(ω)|2 (A15) (A15) By Equation (34), we have that there exists T1 < 0, such that for ∀t < T1, the following holds(P-a.s. −1 t Z t 0 2 p ¯k|σz(θsω)|∥q∥ds ≥−4 √¯k|σ|∥q∥ √πµ , furthermore, according to Equation (24), we find ϵ0 ≡ϵ −4 √¯k|σ|∥q∥ √πµ > 0, then furthermore, according to Equation (24), we find ϵ0 ≡ϵ −4 √¯k|σ|∥q∥ √πµ > 0, then  ϵ −1 t Z t 0 2 p ¯k|σz(θsω)|∥q∥ds  t ≤ϵ0t, ∀t < T1. (A16) (A16) Since z(ω) is tempered, we have Since z(ω) is tempered, we have Since z(ω) is tempered, we have eϵt+R 0 t 2 √¯k|σz(θsω)|∥q∥dsE(t, t, ω) →0, t →−∞, (A17) eϵt+R 0 t 2 √¯k|σz(θsω)|∥q∥dsE(t, t, ω) →0, t →−∞, (A17) eϵt+R 0 t 2 √¯k|σz(θsω)|∥q∥dsE(t, t, ω) →0, t →−∞, (A17) (A17) and eϵt+R 0 t 2 √¯k|σz(θsω)|∥q∥dsσ2∥q(x)∥2|z(θtω)|2 →0, t →−∞. (A18) eϵt+R 0 t 2 √¯k|σz(θsω)|∥q∥dsσ2∥q(x)∥2|z(θtω)|2 →0, t →−∞. (A18) (A18) 32 of 41 Symmetry 2018, 10, 315 Merging with Equation (25), we attain Merging with Equation (25), we attain Merging with Equation (25), we attain Z 0 −∞eϵt+R 0 t 2 √¯k|σz(θsω)|∥q∥dkKds ≤ Z 0 T1 eϵs+R 0 s 2 √¯k|σz(θsω)|∥q∥dkK0ds + Z T1 −∞eϵ0sK0ds + Z 0 T1 eϵs+R 0 s 2 √¯k|σz(θsω)|∥q∥dk|z(θsω)|K1ds + Z T1 −∞eϵ0s|z(θsω)|K1ds. + Z 0 T1 eϵs+R 0 s 2 √¯k|σz(θsω)|∥q∥dk|z(θsω)|2K2ds + Z T1 −∞eϵ0s|z(θsω)|2K2ds. (A19) Z 0 eϵt+R 0 t 2 √¯k|σz(θsω)|∥q∥dkKds (A19) then ρ(ω) defined by Equation (26) is bounded(P-a.s.). It follows from Equations (A15) to (A18) that there exists TB(ω) < 0, such that, for ∀t ≤TB(ω), then ρ(ω) defined by Equation (26) is bounded(P-a.s.). then ρ(ω) defined by Equation (26) is bounded(P-a.s.). then ρ(ω) defined by Equation (26) is bounded(P-a.s.). as indicated above, we get It follows from Equations (A15) to (A18) that there exists TB(ω) < 0, such that, for ∀t ≤TB(ω), the following holds It follows from Equations (A15) to (A18) that there exists TB(ω) < 0, such that, for ∀t ≤TB(ω), the following holds  1   ∥A 1 2 u∥2 + ∥ut + εu∥2 (0, t, ω) ≤ρ(ω). (A20) (A20) On the other hand, since  ∥A 1 2 u∥2 + ∥ut + εu∥2 (0, t, ω) =  ∥A 1 2 u∥2 + ∥ut + εu∥2 (−t, θtω), let t = −t, TB(ω) = −TB(ω), then, for any non-random bounded set B ⊂E1, there exists TB(ω) > 0, such that, for ∀t > TB(ω), the following holds (P-a.s.) let t = −t, TB(ω) = −TB(ω), then, for any non-random bounded set B ⊂E1, there exists TB(ω) > 0, such that, for ∀t > TB(ω), the following holds (P-a.s.) ∥SA(t, θ−tω)B∥E1 ≤r(ω). ∥SA(t, θ−tω)B∥E1 ≤r(ω). The rest is intended to estimate the expectation of ρ(ω). Invoking Equation (36), we have E  eϵs+R 0 s 2 √¯k|σz(θkω)|∥q∥dk ≤e ϵs−2 √¯k|σ|∥q∥ √µ s, E  eϵs+R 0 s 2 √¯k|σz(θkω)|∥q∥dk ≤e ϵs−2 √¯k|σ|∥q∥ √µ s, on the other hand, on the other hand,  E  |z(θsω)|4 1 2 = Γ( 5 2) µ2√π ! 1 2 ,  E  |z(θsω)|2 1 2 = Γ( 3 2) µ2√π ! 1 2 , (A21) (A21) where Γ(·) is Γ function, which together with Equation (A21) and Cauchy equality gives E  eϵs+R 0 s 2 √ k|σz(θkω)|∥q∥dk|z(θsω)|2 ≤e ϵs−2 √ k∥σ|∥q∥ √µ s Γ( 5 2) µ2√π ! 1 2 , (A22) E  eϵs+R 0 s 2 √ k|σz(θkω)|∥q∥dk|z(θsω)|  ≤e ϵs−2 √ k∥σ|∥q∥ √µ s Γ( 3 2) µ2√π ! 1 2 . (A23) (A22) (A23) Define M = M0 + M1 + M2 + M3 + δ0, (A24) M = M0 + M1 + M2 + M3 + δ0, (A24) 33 of 41 Symmetry 2018, 10, 315 in which M0 = Z 0 T1 e ϵs−2 √ k∥σ|∥q∥ √µ sK0ds + eϵ0T1K0 ϵ0 , M1 = K1 Γ( 3 2) µ2√π ! 1 2 Z 0 T1 e ϵs−2 √ k∥σ|∥q∥ √µ sds + eϵ0T1K2 ϵ0√πµ, M2 = K2 Γ( 5 2) µ2√π ! 1 2 Z 0 T1 e ϵs−2 √ k∥σ|∥q∥ √µ sds + eϵ0T1K3 2ϵ0µ , M3 = σ2∥q(x)∥2 2µ . Obviously, M < ∞. as indicated above, we get In addition, merging with Equations (25) and (A21)–(A23), we have E(ρ(ω)) ≤M < ∞. (A25) (A25) Appendix B.5. Proof of Lemma 9 For ∀t ≥0, let For ∀t ≥0, let {Un}+∞ n=1 = {φ(τ, −t, ω)U(0) n }+∞ n=1 = {[un, vn]T}+∞ n=1, ∀τ ∈[−t, 0], By Lemma 8, we find {Un}+∞ n=1 has a weakly star subsequence in L∞([−t, 0], E1), still denoted by {Un}+∞ n=1. n 1 Taking the inner product of Equation (16) by Un −Um in E1, which, merging with Equation 5 and v = ut + εu, gives d dt∥Un −Um∥2 E1 ≤ −ε∥Un −Um∥2 E1 + 2K(Um, Un), where where K(Um, Un) = ([F(un) + F0, un] −[F(um) + F0, um] , un t −um t ) + ([F(un) + F0, un] −[F(um) + F0, um] , ε(un −um)) . (A26) (A26) Since φ(0, −t, ω) = S(t, θ−tω), ∀t ∈R+, ω ∈Ω, then Since φ(0, −t, ω) = S(t, θ−tω), ∀t ∈R+, ω ∈Ω, then ∥Un −Um∥2 E1(t, θ−tω) ≤e−εt∥U(0) n −U(0) m ∥2 E1 + 2 Z 0 −t eεsK(Um, Un)(s)ds. Notice that U(0) n , U(0) m ∈B, then e−εt∥U(0) n −U(0) m ∥2 E1 →0, (t →∞). Let TB(ε) = max ( −1 ε log ε 2∥B∥2 E1 ! , TB(ω) ) . ∥Un −Um∥2 E1(t, θ−tω) ≤e−εt∥U(0) n −U(0) m ∥2 E1 + 2 Z 0 −t eεsK(Um, Un)(s)ds. Notice that U(0) n , U(0) m ∈B, then e−εt∥U(0) n −U(0) m ∥2 E1 →0, (t →∞). Let TB(ε) = max ( −1 ε log ε 2∥B∥2 E1 ! , TB(ω) ) . Notice that U(0) n , U(0) m ∈B, then e−εt∥U(0) n −U(0) m ∥2 E1 →0, (t →∞). Let TB(ε) = max ( −1 ε log ε 2∥B∥2 E1 ! , TB(ω) ) . thus, for ∀ε > 0, there exists T = max {TB(ε), T0} , such that ∥Un −Um∥2 E1(T, θ−Tω) ≤ε + 2 Z 0 −T eεsK(Um, Un)(s)ds. as indicated above, we get 34 of 41 Symmetry 2018, 10, 315 Set KA ε,B,T,ω(U(0) m , U(0) n ) = 2 Z 0 −T eεsK(Um, Un)(s)ds, Since eεs ∈L∞([−T, 0]), along with Equation (A26), and Lemmas 3 and 4, we obtain Set KA ε,B,T,ω(U(0) m , U(0) n ) = 2 Z 0 −T eεsK(Um, Un)(s)ds, KA ε,B,T,ω(U(0) m , U(0) n ) = 2 Z 0 −T eεsK(Um, Un)(s)ds, Since eεs ∈L∞([−T, 0]), along with Equation (A26), and Lemmas 3 and 4, we obtain lim inf n→+∞lim inf m→+∞KA ε,B,T,ω(U(0) m , U(0) n ) = 0, lim inf n→+∞lim inf m→+∞KA ε,B,T,ω(U(0) m , U(0) n ) = 0, lim inf n→+∞lim inf m→+∞KA ε,B,T,ω(U(0) m , U(0) n ) = 0, Appendix B.6. Proof of Lemma 10 Taking the inner product of Equation (21) by Φ = [Φ1, Φ2]T = [u, v]T in E1, we have Taking the inner product of Equation (21) by Φ = [Φ1, Φ2]T = [u, v]T in E1, we have d dt∥Φ∥2 E1 = 2(A1Φ, Φ)E1 + 2(F2 (Φ, θtω) + F3(Φ, θtω), Φ)E1 . (A27) (A27) Invoking Lemma 5, we find Invoking Lemma 5, we find Invoking Lemma 5, we find 2(A1Φ, Φ)E1 ≤−ε∥Φ∥2 E1 −k0∥Φ2∥. (A28) 2(A1Φ, Φ)E1 ≤−ε∥Φ∥2 E1 −k0∥Φ2∥. (A28) (A28) Since 2(F2(Φ, θtω) + F3(Φ, θtω), Φ)E1 = 2 (σz(θtω)Φ1, Φ1)2 + 2(−σz(θtω)Φ2, Φ2) + 2  σ2z2(θtω)Φ1, Φ2  +2(N(Φ1), Φ2) by Equations (61)–(65), it can be obtained that by Equations (61)–(65), it can be obtained that by Equations (61)–(65), it can be obtained that (F2(Φ, θtω) + F3(Φ, θtω), Φ)E1 = 2|σz(θtω)|∥A 1 2 Φ1∥2 + 2|σz(θtω)|∥Φ2∥2 + σ2|z(θtω)|2 √Λ1  ∥A 1 2 Φ1∥2 + ∥Φ2∥2 −k 2 d dt∥∆F(Φ1)∥2 −2kε∥∆F(Φ1)∥2 + 2kσz(θtω)∥∆F(Φ1)∥2 −k d dtΥ(F(Φ1), F0) −2kεΥ(F(Φ1), F0) + 2kσz(θtω)Υ(F(Φ1), F0). (A29) (A29) Substituting Equations (A28)–(A29) into Equation (A27), we obtain d dt  ∥Φ1∥2 E1 + k 2∥∆F(Φ1)∥2 + kΥ(F(Φ1), F0)  ≤ −ε∥Φ∥2 E1 −ε k 2∥∆F(Φ1)∥2 −3εk 2 ∥∆F(Φ1)∥2 −εkΥ(F(Φ1), F0) −εkΥ(F(Φ1), F0)  2|σz(θtω)| + σ2|z(θtω)|2 √Λ1   ∥A 1 2 Φ1∥2 + ∥Φ2∥2 + k∥∆F(Φ1)∥2 + 3kΥ(F(Φ1), F0)  +4  2|σz(θtω)| + σ2|z(θtω)|2 √Λ1  k|Υ(F(Φ1), F0)|. +4  2|σz(θtω)| + σ2|z(θtω)|2 √Λ1  k|Υ(F(Φ1), F0)|. as indicated above, we get metry 2018, 10, 315 35 o Symmetry 2018, 10, 315 35 of 41 Symmetry 2018, 10, 315 along with Equations (66) and (67), we have along with Equations (66) and (67), we have along with Equations (66) and (67), we have d dt  ∥Φ1∥2 E1 + k 2∥∆F(Φ1)∥2 + kΥ(F(Φ1), F0)  ≤−ε  ∥Φ1∥2 E1 + k 2∥∆F(Φ1)∥2 + kΥ(F(Φ1), F0)  + 3  2|σz(θtω)| + σ2|z(θtω)|2 √Λ1   ∥A 1 2 Φ1∥2 + ∥Φ2∥2 + k 2∥∆F(Φ1)∥2 + kΥ(F(Φ1), F0)  + εkC(3 2, C1, C2)∥F0∥2 2 + 4k  2|σz(θtω)| + σ2|z(θtω)|2 √Λ1  C(1 8, C1, C2)∥F0∥2 2 (A30) (A30) Let Let E1(t, τ, ω) = E1(Φ1, Φ2, ω) =  ∥Φ2∥2 + ∥A 1 2 Φ1∥2 + k 2∥∆F(Φ1)∥2 + kΥ(F, F0)  , E(t, τ, ω) = E(Φ1, Φ2, ω) =  ∥Φ2∥2 + ∥A 1 2 Φ1∥2 + k 2∥∆F(Φ1)∥2  , , τ, ω) = E1(Φ1, Φ2, ω) =  ∥Φ2∥+ ∥A 2 Φ1∥+ 2∥∆F(Φ1)∥+ kΥ(F, F0)  E(t, τ, ω) = E(Φ1, Φ2, ω) =  ∥Φ2∥2 + ∥A 1 2 Φ1∥2 + k 2∥∆F(Φ1)∥2  , applying Equation (53), we attain E(Φ1, Φ2, ω) ≤ E1(Φ1, Φ2, ω) + kC(1 2, C1, C2)∥F0∥2 2, (A31) (A31) according to Equation (A30), we have according to Equation (A30), we have d dtE1(Φ1, Φ2, ω) ≤ −εE1(Φ1, Φ2, ω) + C0(θtω)E1(Φ1, Φ2, ω) + K (A32) (A32) where C0(θtω) is given by Equation (29) and K is denoted by Equation (31). It follows form Equation (A32) that E1(Φ1, Φ2, ω) ≤ e−ε(t−τ)+R t τ C0(θsω)dsE1(Φ1, Φ2, ω) + Z t τ e−ε(t−s)+R t s C0(θkω)dkKds, which means that for any given t ≥τ, t, τ ∈R, ω ∈Ω, the following holds which means that for any given t ≥τ, t, τ ∈R, ω ∈Ω, the following holds E1(t, τ, ω) ≤ e−ε(t−τ)+R t τ C0(θsω)dsE1(τ, τ, ω) + Z t τ e−ε(t−s)+R t s C0(θkω)dkKds. as indicated above, we get Since lim t→−∞−1 t Z t 0 C0(θsω)ds = − 3σ2 2µ√λ1 − 6σ √πµ, (A33) (A33) then, there exits T1 < 0 such that for any t < T1, the ensuing can be satisfied then, there exits T1 < 0 such that for any t < T1, the ensuing can be satisfied lim t→−∞−1 t Z t 0 C0(θsω)ds ≥−3σ2 µ√λ1 −12σ √πµ, (A34) (A34) which together with Equation (28) gives that ϵ = ε − 3σ2 µ√λ1 −12σ √πµ > 0; hence, when t < T1, which together with Equation (28) gives that ϵ = ε − 3σ2 µ√λ1 −12σ √πµ > 0; hence, when t < T1, εt + Z 0 t C0(θsω)ds ≤ϵt < 0, (A35) (A35) 36 of 41 36 of 41 Symmetry 2018, 10, 315 therefore therefore 0 t C0(θsω)dsE(t, t, ω) →0, t →−∞. (A36) eεt+R 0 t C0(θsω)dsE(t, t, ω) →0, t →−∞. eεt+R 0 t C0(θsω)dsE(t, t, ω) →0, t →−∞. (A36) Z 0 −∞eεt+R 0 t C0(θsω)dsK0dt = Z 0 T1 eεt+R 0 t C0(θsω)dsK0ds + eϵT1K0 ϵ , (A37) Z 0 −∞eεt+R 0 t C0(θsω)ds|z(θtω)|K1dt eεt+R 0 t C0(θsω)dsE(t, t, ω) →0, t →−∞. (A36) Z 0 −∞eεt+R 0 t C0(θsω)dsK0dt = Z 0 T1 eεt+R 0 t C0(θsω)dsK0ds + eϵT1K0 ϵ , (A37) Z 0 −∞eεt+R 0 t C0(θsω)ds|z(θtω)|K1dt = Z 0 T1 eεt+R 0 t C0(θsω)ds|z(θtω)|K1ds + Z T1 −∞eϵs|z(θsω)|K1ds. (A38) Z t −∞eεt+R 0 t C0(θsω)ds|z(θsω)|2K2dt = Z t T1 eεt+R 0 t C0(θsω)ds|z(θtω)|2K2ds + Z T1 −∞eϵs|z(θsω)|2K2ds. (A39) (A36) = Z 0 T1 eεt+R 0 t C0(θsω)dsK0ds + eϵT1K0 ϵ , (A37) Z 0 −∞eεt+R 0 t C0(θsω)ds|z(θtω)|K1dt (A37) = Z 0 T1 eεt+R 0 t C0(θsω)ds|z(θtω)|K1ds + Z T1 −∞eϵs|z(θsω)|K1ds. (A38) Z t −∞eεt+R 0 t C0(θsω)ds|z(θsω)|2K2dt = Z t T1 eεt+R 0 t C0(θsω)ds|z(θtω)|2K2ds + Z T1 −∞eϵs|z(θsω)|2K2ds. (A39) (A38) (A39) Combining Equation (31) with the fact that z(θtω) is tempered, we have that ρ0(ω) defined by Equation (29) is a bounded random variable (P-a.s.). Furthermore, merging with Equation (A31), we find the random variable ρ0(ω) in Equation (30) is also bounded. Incorporating Equation (A40), it can be derived that. for any initial value Φ ∈B, there exists TB(ω) < 0 such that E(0, t, ω) ≤ q ρ(ω), ∀t ≤TB(ω). Based on the relationship between v and u, we have that. as indicated above, we get for any initial value [u, v]T ∈E1, the following holds  ∥A 1 2 u∥2 + ∥ut + εu∥2 E1 (0, t, ω) ≤ |σz(ω)|2 Λ1 + 1  ρ(ω), ∀t ≤TB(ω). (A40) (A40) Let t = −t, TB(ω) = −TB(ω); along with Equation (32), it can be asserted that, for any given non-random bounded set B ⊂E1, there exists TB(ω) > 0 such that for ∀t > TB(ω), the following holds P-a.s. ∥S(t, θ−tω)B∥E1 ≤r(ω). ∥S(t, θ−tω)B∥E1 ≤r(ω). Thus, S(t, ω) possesses global random absorbing set in E1. Thus, S(t, ω) possesses global random absorbing set in E1. The remainder of this proof is intended to estimate the expectation of ρ(ω). It follows from Equations (35), (36) and (29) that E  eϵs+R 0 s C0(θkω)dk ≤e ϵs−6|σ| √µ s− 3σ2 µ√ Λ1 s, E  eϵs+R 0 s C0(θkω)dk ≤e ϵs−6|σ| √µ s− 3σ2 µ√ Λ1 s, Merging with Equation (A21) and Cauchy inequality, we have Merging with Equation (A21) and Cauchy inequality, we have E  eεs+R 0 s C0(θkω)dk|z(θsω)|2 ≤e ϵs−6|σ| √µ s− 3σ2 µ√ Λ1 s Γ( 5 2) µ2√π ! 1 2 , (A41) E  eεs+R 0 s C0(θkω)dk|z(θsω)|  ≤e ϵs−6|σ| √µ s− 3σ2 µ√ Λ1 s Γ( 3 2) µ2√π ! 1 2 . (A42) (A41) (A42) 37 of 41 Symmetry 2018, 10, 315 Let M = M0 + M1 + M2 + kC(1 2, C1, C2)∥F0∥2 2 + δ0, (A43) Let Let M = M0 + M1 + M2 + kC(1 2, C1, C2)∥F0∥2 2 + δ0, (A43) M = M0 + M1 + M2 + kC(1 2, C1, C2)∥F0∥2 2 + δ0, (A43) in which M0 = Z 0 T1 e ϵs−6|σ| √µ s− 3σ2 µ√ Λ1 sK0ds + eϵ0T1K0 ϵ , M1 = K1 Γ( 3 2) µ2√π ! 1 2 Z 0 T1 e ϵs−6|σ| √µ s− 3σ2 µ√ Λ1 sds + eϵ0T1K2 ϵ√πµ , M2 = K2 Γ( 5 2) µ2√π ! 1 2 Z 0 T1 e ϵs−6|σ| √µ s− 3σ2 µ√ Λ1 sds + eϵ0T1K3 2ϵµ . Together with Equations (30), (A41), (A42) and (A37)–(A39), we have Together with Equations (30), (A41), (A42) and (A37)–(A39), we have E(ρ(ω)) ≤M < ∞. Appendix B.7. Proof of Lemma 11 Appendix B.7. Proof of Lemma 11 For ∀t ≥0, ∀τ ∈[−t, 0], let {Φ(0) n }+∞ n=1 = {T(θ−tω)U(0) n }+∞ n=1, {Un}+∞ n=1 = {φ(τ, −t, ω)U(0) n }+∞ n=1 = {[un, vn]T}+∞ n=1, {Φn}+∞ n=1 = {ϕ(τ, −t, ω)Φ(0) n }+∞ n=1 = {[un, vn]T}+∞ n=1. For ∀t ≥0, ∀τ ∈[−t, 0], let {Φ(0) n }+∞ n=1 = {T(θ−tω)U(0) n }+∞ n=1, For ∀t ≥0, ∀τ ∈[−t, 0], let {Φ(0) n }+∞ n=1 = {T(θ−tω)U(0) n }+∞ n=1, {Un}+∞ n=1 = {φ(τ, −t, ω)U(0) n }+∞ n=1 = {[un, vn]T}+∞ n=1, {Φn}+∞ n=1 = {ϕ(τ, −t, ω)Φ(0) n }+∞ n=1 = {[un, vn]T}+∞ n=1. By Lemma 10, we find that {Un}+∞ n=1, {Φn}+∞ n=1 have weakly star convergence in L∞([−t, 0], E1), still denoted by {Un}+∞ n=1, {Φn}+∞ n=1. Obviously Φn −Φm satisfies Equation (22). Taking the inner product of Equation (22) by Φn −Φm in E1, we have d dt∥Φn −Φm∥2 E1 = 2(A1(Φn −Φm), Φn −Φm)E1 + 2 (F2(Φn, θtω) −F2(Φm, θtω), Φn −Φm)E1 + 2 (F3(Φn, θtω) −F3(Φm, θtω), Φn −Φm)E1 (A44) (A44) In light of Lemma 5, we have 2 (A1(Φn −Φm), Φn −Φm)E1 ≤−ε∥Φn −Φm∥2 E1 −k0∥Φ2,n −Φ2,m∥. (A45) (A45) In term of Equations (61)–(63), we find 2(F2(Φn, θtω) −F2(Φm, θtω) + F3(Φn, θtω) −F3(Φm, θtω), Φ)E1 ≤ 2|σz(θtω)|∥A 1 2 Φ1∥2 + 2|σz(θtω)|∥Φ2∥2 + σ2|z(θtω)|2 √Λ1  ∥A 1 2 Φ1∥2 + ∥Φ2∥2 +((N(un) −N(um), vn −vm), Merging with Equation (29), we obtain Merging with Equation (29), we obtain Merging with Equation (29), we obtain 2(F2(Φn, θtω) −F2(Φm, θtω) + F3(Φn, θtω) −F3(Φm, θtω), Φ)E1 ≤ 1 3C0(θtω)∥Φn −Φm∥2 E1 + ((N(un) −N(um), vn −vm). Symmetry 2018, 10, 315 38 of 41 38 of 41 = ut + εut −σuz(θtω), then Since v = ut + εut −σuz(θtω), then 2(F2(Φn, θtω) −F2(Φm, θtω) + F3(Φn, θtω) −F3(Φm, θtω), Φ)E1 ≤1 3C0(θtω)∥Φn −Φm∥2 E1 + K(Um, Un) + σz(θtω) bK(Um, Un). (A46) (A46) where K(Um, Un) is denoted by Equation (A26) bK(Um, Un) = ([F(un) + F0, un] −[F(um) + F0, um] , un −um) . Appendix B.7. Proof of Lemma 11 where TB(ω) is defined in Lemma 10, where TB(ω) is defined in Lemma 10, K(T, Φm, Φn) = Z 0 −T e−εs+R 0 −s 2 3 C0(θkω)dk  K(Um, Un) + σz(θsω) bK(Um, Un)  ds, K(T, Φm, Φn) = Z 0 −T e−εs+R 0 −s 2 3 C0(θkω)dk  K(Um, Un) + σz(θsω) bK(Um, Un)  ds, 39 of 41 Symmetry 2018, 10, 315 employ the relationship between {Un}+∞ n=1 and {Φn}+∞ n=1, we derive employ the relationship between {Un}+∞ n=1 and {Φn}+∞ n=1, we derive mploy the relationship between {Un}+∞ n=1 and {Φn}+∞ n=1, we derive employ the relationship between {Un}+∞ n=1 and {Φn}+∞ n=1, we derive ∥Un −Um∥2 E1(T, θ−Tω) ≤ |σz(ω)|2 Λ1 + 1    ε  |σz(ω)|2 Λ1 + 1  + K(T, Φm, Φn)  , = ε + 2 |σz(ω)|2 Λ1 + 1  K(T, Φm, Φn). Let Let KM ε,B,T,ω(U(0) m , U(0) n ) = 2 |σz(ω)|2 Λ1 + 1  K(T, Φm, Φn), then ∥Un −Um∥2 E1(T, θ−Tω) ≤ ε + KM ε,B,T,ω(U(0) m , U(0) n ). ∥Un −Um∥2 E1(T, θ−Tω) ≤ ε + KM ε,B,T,ω(U(0) m , U(0) n ). along with Equation (1), we have e−εs+R 0 −s 2 3 C0(θkω)dk ∈L∞([−T, 0]), z(θtω) ∈C([−T, 0]), which together with Lemmas 3 and 4 gives lim inf n→+∞lim inf m→+∞KM ε,B,T,ω(U(0) m , U(0) n ) = 0, Appendix B.7. Proof of Lemma 11 (A47) Substituting Equations (A45) and (A46) into Equation (A44), it can be obtained d dt∥Φn −Φm∥2 E1 ≤−ε∥Φn −Φm∥2 E1 + 2 3C0(θtω)∥Φn −Φm∥2 E1 + 2K(Um, Un) + 2σz(θtω) bK(Um, Un), (A48) (A48) hence ∥Φn −Φm∥2 E1(0, −t, ω) ≤ e−εt+R 0 −t 2 3 C0(θkω)dk∥Φn −Φm∥2 E1(−t, −t, ω) (A49) +2 Z 0 −t e−εs+R 0 −s 2 3 C0(θkω)dk  K(Um, Un) + σz(θtω) bK(Um, Un)  ds. (A49) By Equation (A35), we have that for any given T0 ≥−T, ∀t > T0, the following holds ∥Φn −Φm∥2 E1(0, −t, ω) ≤ e−ϵt∥Φn −Φm∥2 E1(−t, −t, ω) (A50) +2 Z 0 −t e−εs+R 0 −s 2 3 C0(θkω)dk  K(Um, Un) + σz(θsω) bK(Um, Un)  ds, ∥Φn −Φm∥2 E1(0, −t, ω) ≤ e−ϵt∥Φn −Φm∥2 E1(−t, −t, ω) (A50) 2 Z 0 εs+R 0 2 C0(θkω)dk  K(U U ) (θ ) bK(U U )  d (A50) +2 Z 0 −t e−εs+R 0 −s 2 3 C0(θkω)dk  K(Um, Un) + σz(θsω) bK(Um, Un)  ds, and and e−ϵt∥Φn −Φm∥2 E1(−t, −t, ω) →0, t →+∞. (A51) (A51) Hence, for any ∀ε > 0, let Hence, for any ∀ε > 0, let TB(ε) = max   −1 ϵ log   ε 4  |σz(ω)|2 Λ1 + 1  ∥B∥2 E1  , TB(ω)   . then, it follows from Equations (A50) and (A51) that there exists then, it follows from Equations (A50) and (A51) that there exists T = max {TB(ε), T0} , then, it follows from Equations (A50) and (A51) that there exists T = max {TB(ε), T0} , T = max {TB(ε), T0} , such that ∥Φn −Φm∥2 E1(T, θ−Tω) ≤ ε  |σz(ω)|2 Λ1 + 1  + 2 Z 0 −T e−εs+R 0 −s 2 3 C0(θkω)dkK(s, Φm, Φn)ds. References 1. Amabili, M. 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Landuse effects on runoff generating processes in tussock grassland indicated by mean transit time estimation using tritium
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Runoff generating processes in adjacent tussock grassland and pine plantation catchments as indicated by mean transit time estimation using tritium M. K. Stewart1 and B. D. Fahey2 1Aquifer Dynamics & GNS Science, P.O. Box 30 368, Lower Hutt 5040, New Zealand 2Landcare Research, P.O. Box 40, Lincoln 7640, New Zealand M. K. Stewart1 and B. D. Fahey2 1Aquifer Dynamics & GNS Science, P.O. Box 30 368, Lower Hutt 5040, New Zealand 2Landcare Research, P.O. Box 40, Lincoln 7640, New Zealand M. K. Stewart1 and B. D. Fahey2 1Aquifer Dynamics & GNS Science, P.O. Box 30 368, Lower Hutt 5040, New Zealand 2Landcare Research, P.O. Box 40, Lincoln 7640, New Zealand Received: 1 February 2010 – Published in Hydrol. Earth Syst. Sci. Discuss.: 10 February 2010 Revised: 13 May 2010 – Accepted: 4 June 2010 – Published: 24 June 2010 Abstract. The east Otago uplands of New Zealand’s South Island have long been studied because of the environmen- tal consequences of converting native tussock grasslands to other land covers, notably forestry and pasture for stock graz- ing. Early studies showed that afforestation substantially re- duced annual water yield, stream peak flows, and 7-day low flows, mainly as a consequence of increased interception. Tritium measurements have indicated that surprisingly old water is present in catchments GH1 and GH2, and the small headwater wetland and catchment (GH5), and contributes strongly to baseflow. The data have been simulated assum- ing the presence of two types of water in the baseflow, young water from shallow aquifers connecting hillside regolith with the stream, and old water from deep bedrock aquifers, re- spectively. The mean transit time of the young water is ap- proximately one month, while that of the old water is 25– 26 years as revealed by the presence of tritium originating from the bomb-peak in NZ rainfall in late 1960s and early 1970s. Such a long transit time indicates slow release from groundwater reservoirs within the bedrock, which constitute by far the larger of the water stores. Comparison of the re- sults from catchments GH1 (tussock) and GH2 (pine forest) suggests that about equal quantities of water (85 mm/a) are contributed from the deep aquifers in the two catchments, al- though runoff from the shallow aquifers has been strongly reduced by afforestation in GH2. This study has revealed the presence of a long transit time component of water in runoff in a catchment with crystalline metamorphic bedrock. Hydrology and Earth System Sciences Hydrology and Earth System Sciences Hydrol. Earth Syst. Sci., 14, 1021–1032, 2010 www.hydrol-earth-syst-sci.net/14/1021/2010/ doi:10.5194/hess-14-1021-2010 © Author(s) 2010. CC Attribution 3.0 License. Hydrol. Earth Syst. Sci., 14, 1021–1032, 2010 www.hydrol-earth-syst-sci.net/14/1021/2010/ doi:10.5194/hess-14-1021-2010 © Author(s) 2010. CC Attribution 3.0 License. 1 Introduction Understanding streamwater sources and residence times is important for managing the quality and quantity of water pro- duced by catchments, especially if land use is changing. This paper describes the application of dating techniques to the identification of water sources in the Glendhu Experimental Catchments. The east Otago uplands of New Zealand’s South Island have long been the focus of attention because of the envi- ronmental consequences of converting native tussock grass- lands to other land covers, notably forestry and pasture for stock grazing. As a response to some of these concerns, a paired catchment study was established at Glendhu in 1980 in the upper Waipori river basin 60 km west of the city of Dunedin to assess the hydrological effects of the afforesta- tion of tussock grassland. After a 3-year calibration pe- riod (1980–1982, Pearce et al., 1984), one catchment (GH2, 310 ha) was planted in Monterey pine (Pinus radiata) and the other (GH1, 218 ha) left in native tussock grassland as a con- trol. Subsequent analyses have shown that afforestation has substantially reduced annual water yield, stream peak flows, and 7-day low flows (Fahey and Jackson, 1997) mainly as a consequence of increased interception, but also from in- creased evapotranspiration. Previous workers have applied a variety of methods to elu- cidate the mechanisms responsible for both stormflow and baseflow generation in the control catchment (GH1). Bonell et al. (1990) examined the sources of water for selected storms, based on analyses of the naturally occurring iso- tope deuterium (2H) and chloride. They found that runoff from storms in the small to moderate size range were dom- inated by pre-event water (with a composition identical to that prior to the storm event), while larger storms contained both event and pre-event water. Runoff in the later phase of Correspondence to: M. K. Stewart (m.stewart@gns.cri.nz) from storms in inated by pre-e that prior to the both event and p Published by Copernicus Publications on behalf of the European Geosciences Un Correspondence to: M. K. Stewart (m.stewart@gns.cri.nz) Published by Copernicus Publications on behalf of the European Geosciences Union. Published by Copernicus Publications on behalf of the European Geosciences Union. 1022 M. K. Stewart and B. D. Fahey: Runoff generating processes baseflow recession was dominated by pre-event water. They suggested that numerous small wetlands in the headwaters of the larger catchments acted as temporary storage areas sup- plying pre-event water. 2.1 Glendhu catchments Fig. 2. Fig. 2. Master recession curve for Glendhu catchments (from Pearce et al., 1984). The catchments display rolling-to-steep topography, and range in elevation from 460 to 650 m a.s.l. (Fig. 1). Bedrock is moderately-to-strongly weathered schist, with the weath- ered material filling in pre-existing gullies and depressions. Much of the bedrock-colluvial surface is overlain by a loess mantle of variable thickness (0.5 to 3 m). Well-to-poorly drained silt loams are found on the broad interfluves and steep side slopes, and poorly drained peaty soils in the valley bottoms. Amphitheatre-like sub-catchments (e.g. GH5) are common features in the headwaters of both GH1 and GH2. They frequently exhibit central wetlands that extend down- stream as riparian bogs. Snow tussock (Chionochloa rigida) is the dominant vegetation cover in the control catchment (GH1); Monterey pine (pinus radiata) extends over 67% of GH2. Headwater wetlands have a mixed cover of sphag- num moss, tussock, and wire grass (Empodisma minus). The mean annual temperature at GH5 (elevation 625 m a.s.l.) is 7.6 ◦C, and the mean annual rainfall is 1350 mm/a. Annual runoff is measured at all weirs to an accuracy of ±5% (Pearce et al., 1984). Fig. 2. Fig. 2. Master recession curve for Glendhu catchments (from Pearce et al., 1984). prises 30% of the annual hydrograph and ceases shortly af- ter the change in recession rate in most storm hydrographs (Pearce et al., 1984). 1 Introduction Miller (1994), however, concluded that these features may not be important sources of baseflow, but merely serve to link the surrounding hillslopes with the streams that drain them. Fahey et al. (1998) and Bowden et al. (2001) found that storm runoff occurs primarily as in- terflow, and that baseflow can be sustained for long periods from soil moisture stored in the deep loess horizons blanket- ing the surrounding hillslopes, but only for a few days from the water in the bog itself. Fig. 1. Fig. 1. Map of Glendhu catchments (GH1, GH2 and GH5). The present study uses tritium to examine the transit time of water flowing from the tussock and forested catchments (GH1 and GH2), and one of the small headwater catchments containing a wetland (GH5). In particular, the effects of the different land treatments in GH1 and GH2 are investigated. 2 Background Fig. 1. Fig. 1. Map of Glendhu catchments (GH1, GH2 and GH5). 2.2 Master recession curve Figure 2 shows the master recession curve, not involv- ing snowmelt or additional rainfall, derived by Pearce et al. (1984) from the longest recessions observed during a 3- year study period in GH1 and GH2 (before afforestation). This recession curve is typical of high to medium runoff events. The plot shows that there is a marked change of slope between the early and late parts of the recessions (at a flow of about 2.6 mm/day, where 1 mm/day equals 0.12 L/s/ha). Quickflow, as defined by Hewlett and Hibbert (1967), com- 2.4 Hydrological balances at GH1 and GH2 Pearce et al. (1984) showed that GH1 and GH2 (before the latter was forested), had very similar runoff ratios. Long term precipitation and runoff at GH1 weir average 1350 mm/a and 743 mm/a, respectively (Fahey and Jackson, 1997). Ac- tual evapotranspiration of 622 mm/a was measured for tus- sock grassland in the period April 1985 to March 1986 at a nearby site in catchment GH1 (570 m a.s.l.) by Campbell and Murray (1990) using a weighing lysimeter. The Priestley- Taylor estimate of PET was 643 mm/a for the period, and 599 mm/a for 1996, so ET for GH1 is taken as 600 mm/a. The GH1 hydrological balance is: Precipitation (1350 mm/a) – ET (600 mm/a) = Runoff (743 mm/a), and loss around the weir is clearly negligible (Pearce et al., 1984). Compari- son of runoff from GH1 and GH2 (after the latter had been forested for 7 years), showed that there was a decrease of 260 mm/a in GH2 runoff due to afforestation (Fahey and Jackson, 1997). Consequently, the GH2 balance is: Precip- itation (1350 mm/a) – ET (860 mm/a) = Runoff (483 mm/a). The increase in ET for GH2 is attributed to increased in- terception (with evaporative loss) and transpiration. Runoff at GH5 weir was found to be 404 mm/a, suggesting that there was loss of water around the weir (confirmed by visual inspection). g y CFC samples were collected air-free in 2.5 L glass bottles according to methods developed by Busenberg and Plum- mer (1992) and van der Raaij (2003). The bottles were rinsed in the water to be collected, then filled smoothly from the bot- tom and allowed to overflow. Care was taken to ensure that there were no small bubbles adhering to the inner sides of the bottle. After overflowing for some time, the tube was slowly removed, leaving a convex meniscus on the top of the bottle. The cap was filled with water, then placed over the menis- cus and firmly secured. A shaped nylon liner within the cap expelled any surplus water as the cap was being tightened. Then the bottle was tipped upside down and closely observed to see if any bubbles rose up through the water in the bottle. If any did, the sample was discarded and a new sample was collected. Samples were stored at constant temperature. 2.4 Hydrological balances at GH1 and GH2 Measurements of the dissolved CFC concentrations in the water were made by gas chromatography using a purge and trap method, and EC detector (van der Raaij, 2003). Mea- surement and use of CFC concentrations for dating ground- water is described by Plummer and Busenberg (1999). Dis- solved argon and nitrogen concentrations were also analysed by gas chromatography for the February 2005 samples (van der Raaij, 2003). These were used to determine the excess air concentrations and recharge temperatures of the samples (Plummer and Busenberg, 1999). 2.3 Deuterium results Hydrograph separation of event and pre-event water was carried out using deuterium and chloride to investigate the runoff mechanisms operating in GH1 and GH2, and the causes of the transition point in the master recession curve (Bonell et al., 1990). Results showed that for quickflow volumes greater than 10 mm, the first part of the storm Hydrol. Earth Syst. Sci., 14, 1021–1032, 2010 www.hydrol-earth-syst-sci.net/14/1021/2010/ 1023 M. K. Stewart and B. D. Fahey: Runoff generating processes al., 1981). The results are based on the new radioactive half- life of tritium of 12.32 years, and new calibration of standard water SRM4926C (1.100462±0.366% at 3 September 1998, Morgenstern and Taylor, 2009). hydrograph could be attributed to two sources, pre-event wa- ter from a shallow unconfined groundwater aquifer, and event water from saturation overland flow. The pre-event water re- sponded more rapidly to rainfall than the event water. For quickflow volumes less than 10 mm, only pre-event water from groundwater contributed. The second part of the hy- drograph consisted only of pre-event water, from a very well- mixed shallow unconfined groundwater body. hydrograph could be attributed to two sources, pre-event wa- ter from a shallow unconfined groundwater aquifer, and event water from saturation overland flow. The pre-event water re- sponded more rapidly to rainfall than the event water. For quickflow volumes less than 10 mm, only pre-event water from groundwater contributed. The second part of the hy- drograph consisted only of pre-event water, from a very well- mixed shallow unconfined groundwater body. Tritium is produced naturally in the atmosphere by cos- mic rays, and large amounts were released into the atmo- sphere by nuclear weapons tests in the early 1960s, giving rain and surface water a relatively high tritium concentration compared to the natural level. The bomb-peak is now much smaller, because of radioactive decay and dispersion, or has completely passed through shorter residence time hydrolog- ical systems, but is still the most direct way of determining water ages using tritium. Cosmic ray tritium can also be used for dating groundwater and streamflow, if sufficiently precise tritium measurements are available (McGlynn et al., 2003; Morgenstern and Taylor, 2009; Stewart et al., 2010). 3.1 Tritium, CFC and other measurements SiO2 was measured on the samples collected on 22 Febru- ary 2005 and 26 February 2009, using inductively coupled plasma optical emission at the GNS Science Water Lab, Wairakei. Silica concentrations are normally low in rainfall, but become higher in water infiltrating the ground because of dissolution or interaction with silicate minerals underground. In general, the longer the residence time of the water in the ground, the greater the silica concentration. Silica concentra- tions can therefore be used to distinguish rainfall, soil water or short residence time shallow groundwater from longer res- idence time deeper groundwater. Samples were collected from the small wetland (0.39 ha) in GH5 (3.64 ha), from different sites along the stream origi- nating in the wetland, and from the outlets of catchments GH1 (218 ha) and GH2 (310 ha), in December 2001, Febru- ary 2005, and February 2009. The measurements were made at the Water Dating Laboratory of GNS Science. Tritium samples were collected in 1.1 L glass bottles, which were allowed to overflow before being tightly capped, in order to prevent contact with the atmosphere. The samples were electolytically enriched in tritium by a factor of 70, and counted in an ultra low-background Quantalus liquid scin- tillation counter (Morgenstern and Taylor, 2009; Hulston et Deuterium and oxygen-18 were measured on samples from the later sampling trips, using equilibration of the water with H2 and CO2 gases, respectively. The concentration of Hydrol. Earth Syst. Sci., 14, 1021–1032, 2010 www.hydrol-earth-syst-sci.net/14/1021/2010/ 1024 M. K. Stewart and B. D. Fahey: Runoff generating processes M. K. Stewart and B. D. Fahey: Runoff generating processes 18O in water samples is expressed in the delta (δ) notation as per mil (‰) difference between the 18O/16O ratio of the sample and that of the international standard VSMOW (Vi- enna standard mean ocean water): 18O in water samples is expressed in the delta (δ) notation as per mil (‰) difference between the 18O/16O ratio of the sample and that of the international standard VSMOW (Vi- enna standard mean ocean water): The model parameters are the mean transit time (τm) and dis- persion parameter (DP). 4.1 Tritium and other patterns (2) Samples were collected from two tubes permanently inserted in the central wetland of GH5 (Fahey et al., 1998; Bowden et al., 2001). One was a piezometer tube drawing from 1 m depth near the mid-bog piezometer nest, the other from an aluminium tube drawing from 1.2 m depth near the lower piezometer nest. The latter tube (referred to as the N-tube) was used for neutron moisture probe measurements in the past. Not enough water could be extracted from the mid-bog tube for tritium analysis in 2005. The results are given in Ta- ble 1. The bog samples generally have higher tritium values than the stream samples (see below). CFC samples could not be collected from the bog sites as the entire amount of water extractable from the tubes was needed for tritium measure- ment. where Cin and Cout are the input and output concentrations. t is calendar time and the integration is carried out over the transit times τ. h(τ) is the flow model or response function of the hydrological system. λ (=ln2/T1/2) is the tritium decay constant. T1/2 is the half-life of tritium (12.32 years). /2 Two flow models are commonly used in environmental tracer studies. The exponential-piston flow model (EPM) combines a section with exponential transit times followed by a piston flow section to give a model with parameters of mean transit time (τm) and exponential fraction (f) (param- eters slightly modified from Maloszewski and Zuber, 1982). The response function is given by h(τ) = 0 for τ < τm(1−f ) (3a) h(τ) = (f τm)−1.exp[−(τ/f τm)+(1/f )−1] for τ ≥τm(1−f ) (3b) Samples were collected from the small stream originating below the GH5 wetland. The stream gains in flow as it tra- verses the gradually steepening section away from the bog. The distance of each sample site from the head of the bog is given in Table 1. Tritium concentrations generally de- crease away from the bog. CFC samples were collected at the stream sites. The CFC-11 and CFC-12 concentrations in the stream near the wetland are considerably less than the concentrations expected for water in equilibrium with the at- mosphere at the time of sampling, but are substantially above zero. Whether the streamwater retains its original CFC con- centrations when recharged, or has been affected by chemical degradation in the bog is not clear, but the latter is likely. 3.1 Tritium, CFC and other measurements Although this equation was derived as a solution to the dispersion equation, implying transport and dispersion along a single flowpath, the fact that DP is a fitted parameter means that it effectively includes transit time variance due to space variance from the recharge distribution at the surface, and any diffusive exchange of tracer with stag- nant water in the aquifer, as well as the dispersive-convective transport in the aquifer. Hence, the expression has wider ap- plication than just aquifer dispersion. δ18O = " 18O/16Osample 18O/16OVSMOW −1 # ×1000 (1) (1) The measurement error is ±0.10‰ (standard error based on analysis of duplicate samples). Models can be combined to represent more complicated systems, as illustrated by the EPM model above. Based on the understanding of the system gained from earlier studies at Glendhu, we have used a model comprising two DM models in parallel; a “double dispersion” model (DDM) (e.g. Stewart and Thomas, 2008). The two DMs describe short-transit- time and long-transit-time flow components. The DDM model is simply formed by adding the two DM models: 3.2 Transit time determination Transport of water along the various flowpaths through catchments results in water in the outflow having a range of transit times, i.e. the water does not have a discrete age, but has a distribution of ages. This distribution is described by a flow model, which reflects the average conditions in the catchment. DDM = bDM1 +(1−b)DM2 (5) (5) Inputs to the catchment (e.g. tritium in the recharge water) are modified by passing through the hydrological system (as represented by the flow model) before appearing in the out- put. The convolution integral and an appropriate flow model are used to relate the tracer input and output. The convolution integral is given by where b is the fraction of the young component. The model has five parameters. where b is the fraction of the young component. The model has five parameters. 4 Results Cout(t) = ∞ Z 0 Cin(t −τ)h(τ)exp(−λτ)dτ (2) www.hydrol-earth-syst-sci.net/14/1021/2010/ M. K. Stewart and B. D. Fahey: Runoff generating processes Analytical results for samples collected from the Glendhu Catchments. Sample Distance Tritium CFC-11 CFC-12 Temp SiO2 δ18 O δ2 H site Date m TU pptv pptv ◦C mg/L ‰ ‰ Midbog 4/12/01 75 2.97 – – – – – – N-tube 4/12/01 106 2.77 – – – – – – 20 m u/s GH5 4/12/01 187 2.78 165.1 353.8 – – – – GH5 4/12/01 207 2.78 139.4 335.0 – – – – 30 m d/s GH5 4/12/01 237 2.71 175.6 379.4 – – – – GH1 5/12/01 1357 2.63 258.2 491.1 – – – – GH2 6/12/01 – 2.69 – – – – – – Rainfall 2000 – 2.55 257.6 539.7 – – – – N-tube 22/02/05 106 3.25 – – – 3.9 −9.7 – 15 m u/s GH5 22/02/05 192 2.72 112.3 318.1 7.6 8.9 −9.0 – 20 m d/s GH5 22/02/05 227 2.61 208.3 494.9 8.3 10.7 −8.9 – 100 m d/s GH5 22/02/05 307 2.45 228.4 522.5 8.3 11.2 −9.0 – GH1 21/02/05 1307 2.29 245.4 540.9 10.0 14.4 −9.0 – GH2 22/02/05 – 2.34 – – – 12.1 −9.1 – Rainfall 2004 – 2.30 257.6 539.7 – – – – Midbog 26/02/09 75 2.59 – – – 6.6 −8.98 −60.4 N-tube 26/02/09 106 2.83 – – – < 0.05 −9.20 −61.9 5 m u/s GH5 26/02/09 202 2.90 – – – 3.7 −9.12 −62.4 70 m d/s GH5 26/02/09 277 2.71 – – – 6.3 −9.09 −60.8 GH1 26/02/09 1357 2.54 – – – 10.4 −9.01 −61.0 GH2 26/02/09 – 2.42 – – – 10.0 −9.05 −62.0 Waipori R 26/02/09 – 2.37 – – – 5.0 −9.12 -63.0 Rainfall 2008 – 2.65 – – – – – – Table 1. Analytical results for samples collected from the Glendhu Catchments. the stream flows away from the wetland, the CFC concen- trations tend to increase to approach equilibrium values with respect to the atmosphere. as well as by input of young water, and therefore the GH1 and GH2 samples are not useful for estimating mean transit times of the water (Stewart et al., 2005a). Silica concentrations also tend to increase away from the bog (Table 1, Fig. 3c). The 2009 N-tube sample has zero sil- ica, which appears to be due to chemical degradation due to the high organic content and acid condition at depth in the bog. M. K. Stewart and B. D. Fahey: Runoff generating processes The other bog samples are also relatively low in silica, while GH1 and GH2 have the highest silica concentrations. The δ18O values show very little variation (Table 1, Fig. 3d) except for the 2005 N-tube sample, which may have retained its original δ18O value. The 2009 δ2H values also show lit- tle variation; their values (Table 1) are very close to those observed by Bonell et al. (1990) in February-April 1988 for the “remarkably well-mixed shallow unconfined groundwa- ter body” (i.e. −60.8 to −62.4‰). Note that Glendhu lies close to the −60‰ contour given by Stewart et al. (1983) for New Zealand precipitation. The final samples were collected from the streams at the outlets of GH1 and GH2 catchments. Tritium concentrations were slightly higher than that of the rainfall average for 2001 on 6 December 2001, were close to the average for 2004 on 22 February 2005, and were lower than the average for 2008 on 26 February 2009. The CFC concentrations of GH1 were close to atmospheric levels in 2001 and 2005. The tritium data are plotted in Fig. 3a. Water from depth in the wetland had tritium concentrations much higher than mean rainfall, suggesting that the water contains ‘bomb’ tritium (i.e. tritium originating from atmospheric nuclear weapons testing in the 1960s and 70s), and consequently part of the water has an age of 30 or more years. The stream draining the wetland (GH5) also has higher tritium than re- cent rainfall, and therefore is also likely to contain some of the old water. The peak tritium concentration may be grad- ually moving downstream, from the midbog sample in 2001, to the N-tube sample in 2005, and to the 5 m u/s GH5 sample in 2009. 4.1 Tritium and other patterns As (3a) (3b) where f is the ratio of the exponential to the total volumes, and τm(1-f) the time required for water to flow through the piston flow section. The dispersion model (DM) assumes a tracer transport which is controlled by advection and dispersion processes (Maloszewski and Zuber, 1982) h(τ) = 1 τ√4πDP(τ/τm) exp " −(1−τ/τm)2 4DP(τ/τm) # (4) (4) Hydrol. Earth Syst. Sci., 14, 1021–1032, 2010 www.hydrol-earth-syst-sci.net/14/1021/2010/ Hydrol. Earth Syst. Sci., 14, 1021–1032, 2010 Hydrol. Earth Syst. Sci., 14, 1021–1032, 2010 www.hydrol-earth-syst-sci.net/14/1021/2010/ 1025 M. K. Stewart and B. D. Fahey: Runoff generating processes 4.2 Estimation of mean transit times level CFC concentration (pptv) Distance from boghead (m) Fig 3a 3 4 0 5 10 15 0 50 100 150 200 250 300 350 Distance from boghead (m) Silica (mg/L) Feb-05 Feb-09 GH1 GH5 Stream Bog c Fig 3b -10.0 -9.5 -9.0 -8.5 0 50 100 150 200 250 300 350 Distance from boghead (m) δ18O (‰) Feb-05 Feb-09 GH1 GH5 Stream Bog d d Fig. 3. Variation of tritium, CFC, silica and oxygen-18 concentrations in waters with distance from the head of the wetland in GH5 catchment. The dotted vertical lines show approximately where the stream begins. Table 2. Best-fit parameters for simulation models (double dispersion model (DDM), dispersion model (DM), and exponential piston flow model (EPM). (The parameters of the young component of the DDM are τm1=0.1 year, DP1=0.1.) Table 2. Best-fit parameters for simulation models (double dispersion model (DDM), dispersion model (DM), and exponential piston flow model (EPM). (The parameters of the young component of the DDM are τm1=0.1 year, DP1=0.1.) 4 5 6 7 Site Double dispersion model Dispersion model EPM b τm2 DP2 sd τm DP sd τm f sd (yr) (TU) (yr) (TU) (yr) (%) (TU) GH1 0.84 25 0.04 0.04 1.0 2.3 0.05 0.5 100 0.11 GH2 0.74 26 0.03 0.01 2.7 1.5 0.03 0.85 100 0.19 Midbog 0.77 34 0.01 0.00 3.9 3.1 0.00 41.5 19 0.06 N-tube 0.00 40 0.01 0.10 40 0.01 0.10 42 20 0.22 GH5 0.69 39 0.01 0.11 0.6 10 0.12 0.1 100 0.23 70 m d/s GH5 0.92 34 0.01 0.03 0.3 10 0.04 0.1 100 0.10 b is fraction of young component, τm2 and DP2 are parameters of the old component in the DDM, sd is the goodness-of-fit expressed as the standard deviation of the simulation about the measurements, τm and DP parameters of the DM, and τm and f parameters of the EPM. 6 7 b is fraction of young component, τm2 and DP2 are parameters of the old component in the DDM, sd is the goodness-of-fit expressed as the standard deviation of the simulation about the measurements, τm and DP parameters of the DM, and τm and f parameters of the EPM. 6 7 nt, τm2 and DP2 are parameters of the old component in the DDM, sd is the goodness-of-fit expressed as the ation about the measurements, τm and DP parameters of the DM, and τm and f parameters of the EPM. 4.2 Estimation of mean transit times Using tritium to estimate mean transit times requires knowl- edge of the tritium input to the catchment. The tritium concentration in precipitation is based on measurements on monthly samples at Kaitoke (near Wellington), adjusted for latitude and altitude (Stewart and Taylor, 1981; Stewart and Morgenstern, 2001). Many years of monthly tritium The CFC concentrations increase with distance away from the wetland (Fig. 3b), and quite quickly approach equilib- rium with respect to the atmosphere. (The atmospheric CFC levels are shown in the figure.) This shows that the CFC con- centrations are affected by interaction with the atmosphere www.hydrol-earth-syst-sci.net/14/1021/2010/ Hydrol. Earth Syst. Sci., 14, 1021–1032, 2010 1026 M. K. Stewart and B. D. Fahey: Runoff generating processes M. K. Stewart and B. D. Fahey: Runoff generating processes 2.0 2.2 2.4 2.6 2.8 3.0 3.2 3.4 0 50 100 150 200 250 300 350 Distance from boghead (m) Tritium (TU) Dec-01 Feb-05 Feb-09 GH1 GH5 Rainfall in 2000 Rainfall in 2004 Rainfall in 2008 Stream Bog a 1 Fig 3a 2 0 100 200 300 400 500 0 50 100 150 200 250 300 350 Distance from boghead (m) CFC concentration (pptv) Dec-01 Feb-05 CFC-12 CFC-11 Bog GH5 GH1 Stream b CFC-12 atmos. level CFC-11 atmos. level 3 Fig 3b 4 1 2 0 5 10 15 0 50 100 150 200 250 300 350 Distance from boghead (m) Silica (mg/L) Feb-05 Feb-09 GH1 GH5 Stream Bog c 3 Fig 3c 4 1 Fig 3d 2 -10.0 -9.5 -9.0 -8.5 0 50 100 150 200 250 300 350 Distance from boghead (m) δ18O (‰) Feb-05 Feb-09 GH1 GH5 Stream Bog d Fig. 3. Variation of tritium, CFC, silica and oxygen-18 concentrations in waters with distance from the head of the wetland in GH5 catchment. The dotted vertical lines show approximately where the stream begins. 0 100 200 300 400 500 0 50 100 150 200 250 300 350 Distance from boghead (m) CFC concentration (pptv) Dec-01 Feb-05 CFC-12 CFC-11 Bog GH5 GH1 Stream b CFC-12 atmos. level CFC-11 atmos. 4.2 Estimation of mean transit times 0 20 40 60 1960 1970 1980 1990 2000 2010 Tritium (TU) Tritium in recharge GH1 a Fig 4a 84% 16% Deep groundwater τm2 = 25 yr Shallow groundwater τm1 = 0.1 yr Baseflow Recharge Recharge Subsurface reservoir τm = 1.0 yr Baseflow DM DDM b where Ci and Ri are the tritium concentrations in bulk rain- fall and the recharge amounts for the ith month, respectively. The resulting tritium concentrations in recharge for catch- ment GH1 are shown in Fig. 4a. The corrections from use of Eq. (6) are very small. a The models described above are used to simulate the out- put tritium concentrations and find the model types and pa- rameters that give the best fits to the data. The model fit is assessed using least squares regression (expressed as the standard deviation of the tritium simulation about the tritium measurements, i.e. sd = qX [(Csi −Cmi)2]/N (7) (7) where Csi, Cmi are the simulated and measured tritium val- ues, respectively, and N is the number of measurements). The best-fit parameters of the various models applied are given in Table 2. Results in the table show that the best DM and DDM fits are similar in quality to each other as shown by the standard deviation (sd), while the best EPM fits are much poorer in all cases. Figure 4b, c show the best-fit flow conceptualisations and transit time distributions with the DM and DDM for GH1. Both the DM and DDM have high peaks near zero age (the tops of which are not shown on Fig. 4c be- cause of the scale) and long tails that extend to 50 years. With only two parameters the DM has a constrained shape, but it is apparent that by optimising the fit the model is trying to accommodate a lot of young water and some very old water. The DDM was used to try to delineate these two age com- ponents more clearly (i.e. the first DM accommodates the young water component, and the second DM the old water component). The transit time distribution of the DDM with its two peaks has approximately the same shape as the tran- sit time distribution of the DM except for the middle portion (Fig. 4c). 4.2 Estimation of mean transit times measurements at Kaitoke and Invercargill Airport showed that while they had very similar variations, Invercargill Air- port had tritium concentrations higher than Kaitoke by a fac- tor of 1.1 because of its higher latitude. Adjusting for the 600 m altitude of the Glendhu Catchments increases this fac- tor to 1.3. Other elevated locations for which this scale fac- tor has been estimated are the Wairau River catchment (fac- tor 1.35, northeast South Island, mean altitude 1100 m), the Waimakariri River (factor 1.2, east South Island, mean alti- tude 700 m), and the Upper Motueka River (factor 1.2, north South Island, mean altitude 1000 m) (Taylor et al., 1989, 1992; Stewart et al., 2005b). These all support a scale factor of about 1.3 for Glendhu. We also need to adjust the precipitation for evapotranspi- ration (ET) as the water infiltrates the ground. ET prefer- entially removes summer precipitation during the recharge process. Precipitation is distributed uniformly throughout the year as demonstrated by records at Mahinerangi Dam lo- cated 20 km east of Glendhu. The 30-year mean summer and winter rainfalls at Mahinerangi were 490 and 482 mm/a, respectively for 1961–1990. The mean annual tritium con- centrations in recharge (Cin) for both GH1 and GH2 were corrected for ET as described in Stewart et al. (2007), using the equation Cin = 12 X i=1 CiRi/ 12 X i=1 Ri (6) (6) www.hydrol-earth-syst-sci.net/14/1021/2010/ Hydrol. Earth Syst. Sci., 14, 1021–1032, 2010 www.hydrol-earth-syst-sci.net/14/1021/2010/ M. K. Stewart and B. D. Fahey: Runoff generating processes 1027 0 20 40 60 1960 1970 1980 1990 2000 2010 Tritium (TU) Tritium in recharge GH1 a Fig 4a 4b 84% 16% Deep groundwater τm2 = 25 yr Shallow groundwater τm1 = 0.1 yr Baseflow Recharge Recharge Subsurface reservoir τm = 1.0 yr Baseflow DM DDM b GH1 0.00 0.05 0.10 0 10 20 30 40 50 Time (years) Transit time distribution DDM DDM c DM Figs. 4c. Fig. 4. (a) Tritium concentration in recharge for GH1. (b) Con- ceptualisation of baseflow using the DM and DDM models at GH1. (c) Best-fit transit time distributions with the DM and DDM models for GH1. 4.2 Estimation of mean transit times In contrast, the EPM transit time distribution can- not be changed enough to accommodate the measurements well (Table 2), because f (the ratio of the exponential to the total volume) cannot be greater than 100%. The double EPM (DEPM) likewise is not as satisfactory as the DDM. 1 2 4b GH1 0.00 0.05 0.10 0 10 20 30 40 50 Time (years) Transit time distribution DDM DDM c DM Fig. 4. (a) Tritium concentration in recharge for GH1. (b) Con- ceptualisation of baseflow using the DM and DDM models at GH1. (c) Best-fit transit time distributions with the DM and DDM models for GH1. number of measurements) and fitting curves to the high and low values of the measurements.) Fig. 5c shows that the min- imum values in the sd are broad and unambiguous. However the transit time distributions have rather distorted shapes (i.e. high peaks near zero and long tails, see Fig. 4c), because of their high values of the dispersion parameter. Maloszewski and Zuber (1982) showed that the maximum DP expected for an unconfined aquifer would be about 2, and the same rea- soning suggests that the maximum for a catchment should be about 1.4 (assuming a roughly circular shape). Hence, the high DP values suggest that two water components are present, and the DDM is used to resolve the young and old components in the streamflow. M. K. Stewart and B. D. Fahey: Runoff generating processes 2.0 2.5 3.0 3.5 2000 2002 2004 2006 2008 2010 Tritium (TU) Tritium input GH1 DM DDM a 1 2 Fig 5a 3 2.0 2.5 3.0 3.5 2000 2002 2004 2006 2008 2010 Tritium (TU) Tritium input GH2 DM DDM b 2 3 Fig 5b 4 1 0.00 0.05 0.10 0.15 0.20 0 1 2 3 4 5 Mean transit time (years) SD (TU) GH1 GH2 c DM 2 3 Fig 5c 4 1 2 0.00 0.05 0.10 0.15 0.20 0 10 20 30 40 50 Mean transit time of old component (years) SD (TU) GH1 GH2 d DDM 3 Fig 5d. 4 Fig. 5. Tritium measurements and simulations for stream sites GH1 and GH2. Variation of the quality of fit (sd) with mean transit time for the DM, and mean transit time of the old component for the DDM. The dotted line shows the measurement error (0.05 TU). 2.0 2.5 3.0 3.5 2000 2002 2004 2006 2008 2010 Tritium (TU) Tritium input GH1 DM DDM a Fig 5a 2 3 4 0.00 0.05 0.10 0.15 0.20 0 1 2 3 4 5 Mean transit time (years) SD (TU) GH1 GH2 c DM 1 2 3 2.0 2.5 3.0 3.5 2000 2002 2004 2006 2008 2010 Tritium (TU) Tritium input GH2 DM DDM b Fig 5b 0.00 0.05 0.10 0.15 0.20 0 10 20 30 40 50 Mean transit time of old component (years) SD (TU) GH1 GH2 d DDM Mean transit time of old component (years) Fig 5c 4 Fig. 5. Tritium measurements and simulations for stream sites GH1 and GH2. Variation of the quality of fit (sd) with mean transit time for the DM, and mean transit time of the old component for the DDM. The dotted line shows the measurement error (0.05 TU). 11 1 13 1 ing 23% old water (τm2 ∼34 years), with the remainder be- ing young water (τm1 ∼1 month). The N-tube samples can only be fitted with a sharply-peaked old component (τm2=40 years), with no young component present, i.e. the DDM is the same as the DM result. M. K. Stewart and B. D. Fahey: Runoff generating processes The “GH5 stream” samples (the aver- ages of the 20 m u/s GH5 and GH5 samples from 4 December 2001, 15 m u/s GH5 and 20 m d/s GH5 samples on 22 Febru- ary 2005, and 5 m u/s GH5 sample on 26 February 2009, see Table 1) are matched by 31% of the same old component (τm2=40 years, DP2=0.01), and 69% of the young compo- nent. The “70 m d/s GH5” stream samples (30 m d/s on 4 December 2001, 100 m d/s on 22 February 2005 and 70 m d/s on 26 February 2009) have 8% old component (τm2 = 40 years, DP2 = 0.01) and 92% young component. With increas- ing distance downstream, the flow in the stream increases and the proportion of young water rises. Old water drains from the bog, but it is probably sourced ultimately from deep stor- age (groundwater), which rises through or around the bog. been used. The best-fitting mean transit times for the old component are 25±2 years for GH1 and 26±1 years for GH2 (Fig. 5d), although there are subsidiary minima at 4 years and 40 years. These subsidiary minima are rejected because they give relatively poor fits for all of the sites (including GH1 where they give sd ∼0.08 TU, compared with the best-fit sd of 0.04 TU at 25 years). The young fractions (0.84±0.01 for GH1 and 0.74±0.01 for GH2) indicate that the majority of the water in the streams is young. This young water is ex- pected to be derived from the shallow groundwater connect- ing the near-surface layers of the wetlands and the surround- ing hillslopes with the stream (Bonell et al., 1990; Fahey et al., 1998; Bowden et al., 2001). But there is also a substantial fraction of old water in the streamflow in both catchments. 4.2.2 GH5 catchment and stream Some insight into the nature of the deep component can be gained from looking at the results for GH5 and the stream deriving from it (Fig. 6a to d). Both DM and DDM results are plotted, but the descriptions below refer mainly to the DDM results. The best-fit DM parameter sets at three of the sites have young overall mean transit times and high DP val- ues – two have DP ∼10 which was set as an arbitrary limit (otherwise the values would have been higher). The high DP values indicate a wide distribution of ages, with much very young water and some very old water. The N-tube site has only the old component. Only two tritium samples were col- lected from the midbog tube. Application of the DDM model (Fig. 6a, Table 2) gives a two-component mixture contain- 4.2.1 GH1 and GH2 catchments The tritium measurements (and their errors) and the simula- tions for GH1 and GH2 are plotted in Fig. 5a and b with an expanded tritium scale. Variation of the goodness-of-fit in- dicator (sd) with the mean transit time (τm) for the DM is shown in Fig. 5c, and that for the DDM with the mean transit time of the old water component (τm2) in Fig. 5d. The best- fitting simulations agree with the data to within the measure- ment error (±0.05 TU). With the DM, the best-fitting mean transit times for GH1 and GH2 are 1.0±0.1 and 2.7±0.1 years, respectively, where the uncertainties are based on the tritium measurement er- ror. (The uncertainties are calculated by combining the mea- surement errors of the three points (using the expression (1/N)√Pσ 2 i , where σi are the measurement errors and N the The DDM has five parameters, two each describing the components and one their relative proportions. The young component is assumed to have a one month mean transit time and dispersion parameter of 0.1 (the fit is insensitive to the latter). The 1-month mean transit time is considered approximate because average annual tritium input data has Hydrol. Earth Syst. Sci., 14, 1021–1032, 2010 www.hydrol-earth-syst-sci.net/14/1021/2010/ 1028 M. K. Stewart and B. D. Fahey: Runoff generating processes M. K. Stewart and B. D. Fahey: Runoff generating processes 1 They showed that chloride results on Plynlimon streams implied very wide transit time distribu- tions that could be described by the gamma flow model, but not by the exponential or dispersion models. This result has been confirmed more generally by measurements on many other streams (Godsey et al., 2010). The presence of sub- stantial amounts of old water in many streams and rivers has also been established by Stewart et al. (2010) from a survey of the literature on tritium measurements in streams. at present. However, there are strong indications that the distribution can be very wide with substantial amounts of both very young water and “surprisingly” old water (Kirch- ner et al., 2000). They showed that chloride results on Plynlimon streams implied very wide transit time distribu- tions that could be described by the gamma flow model, but not by the exponential or dispersion models. This result has been confirmed more generally by measurements on many other streams (Godsey et al., 2010). The presence of sub- stantial amounts of old water in many streams and rivers has also been established by Stewart et al. (2010) from a survey of the literature on tritium measurements in streams. At Glendhu, there are indications of very old water in the stream from the presence of bomb-peak tritium (i.e. by stream tritium concentrations being greater than current recharge tritium levels), while the bulk of the water appears to be quite young. The dispersion model (DM) gives good fits to the data, but requires values of the parameter DP that are greater than the maximum reasonably expected for a catchment (about 1.4). Consequently, a two-component transit time distribution is considered the most suitable for interpreting the results. The two components have transit time distributions represented by dispersion models, and the combination of the two in parallel is the “double dispersion” model (DDM). The DDM produces the best simulations to the data at all of the sites. The exponential piston flow model (EPM) gives relatively poor fits to the data, because the dis- tribution cannot be ‘stretched’ enough since f (the ratio of the exponential to the total volume) cannot be greater than 100%. (However the gamma model, of which the exponen- tial model is a special case, would very likely give good fits to the data, Kirchner et al., 2000.) M. K. Stewart and B. D. Fahey: Runoff generating processes 1 M. K. Stewart and B. D. Fahey: Runoff generating processes 1 1 Fig 6a 2 2.0 2.5 3.0 3.5 2000 2002 2004 2006 2008 2010 Tritium (TU) Tritium input Midbog DM DDM a Fig 6b 2 1 2 3 4 5 2000 2002 2004 2006 2008 2010 Tritium (TU) Recharge N-tube DDM b 1 Fig 6c 2 2.0 2.5 3.0 3.5 2000 2002 2004 2006 2008 2010 Tritium (TU) Tritium input GH5 DM DDM c 1 2.0 2.5 3.0 3.5 2000 2002 2004 2006 2008 2010 Tritium (TU) Tritium input 70 m d/s GH5 DM DDM d 2 Fig 6d 3 Fig. 6. Tritium measurements and simulations for midbog, N-tube, GH5 and 70 m d/s GH5 sites. Fig 6b 1 2 3 4 5 2000 2002 2004 2006 2008 2010 Tritium (TU) Recharge N-tube DDM b 2.0 2.5 3.0 3.5 2000 2002 2004 2006 2008 2010 Tritium (TU) Tritium input 70 m d/s GH5 DM DDM d Tritium (TU) Fig 6c 2 Fig. 6. Tritium measurements and simulations for midbog, N-tube, GH5 and 70 m d/s GH5 sites. 15 Regarding equifinality, it is probable that a number of dif- ferent models and parameterisations could give good fits to the data, especially as there are only three measurements at each site. (e.g. It would be interesting to try a model with three water components, such as one with three DMs in par- allel.) But these could multiply the number of parameters. Given the need to limit parameters, the DDM is considered the best choice. Note that even single measurements of tri- tium can in principle give unambiguous estimates of age when the tritium concentration in the stream is low compared with the current rainfall level. The present measurements are 3–4 years apart in time, and therefore are useful for estimat- ing longer transit times. More measurements at short time in- tervals would be needed to investigate the young water com- ponent of the DDM in more detail. More measurements in the future could also help to refine the transit time distribu- tion. at present. However, there are strong indications that the distribution can be very wide with substantial amounts of both very young water and “surprisingly” old water (Kirch- ner et al., 2000). 5.1 Choice of transit time distribution model and equifinality It is apparent that streamflow can be supplied from a vari- ety of sources within a catchment (or even from outside it by subsurface paths), and each source will have its own par- ticular flowpaths and transit times depending on its nature. McDonnell et al. (2010) have pointed out that the resulting distribution of transit times in streams is largely unknown Hydrol. Earth Syst. Sci., 14, 1021–1032, 2010 www.hydrol-earth-syst-sci.net/14/1021/2010/ 1029 5.3 Source of old component What do these long transit times mean in regard to water flows in the catchment? The importance of interflow in pro- ducing stormflow has been demonstrated by earlier workers (Miller, 1994; Bowden et al., 2001). Bowden et al. (2001) showed that lateral flow in the thin Organic and A Horizon layers was substantial and probably often emerged as flow over the wetland surface in high quickflow events, contribut- ing to the new water inputs to the streams. They identified slow drainage from deep loess horizons (layers B and C) as the source of the extended baseflow in the catchments. Such drainage from the 1.5 m loess horizons and weathered bedrock colluvium mantling the slopes would be connected by a shallow groundwater system to the stream. While this is a likely source of young water in the baseflow, it is highly improbable that the loess could introduce the mean delay of 25–26 years identified by tritium in the old water frac- tion. Water flowing over bedrock would be expected to travel quite rapidly hence the long delay would have to derive from drainage from the unsaturated loess and bedrock colluvium. It is much more probable that the old water results from slow flow through the bedrock itself, as schematically illustrated in Fig. 7a and b. Wetlands in valley bottoms may also help to trap old water at depth by slowing the egress of water from the deep groundwater systems. This study has probed the transit times of water contribut- ing to the second part of the recession. Tritium measure- ments have indicated that surprisingly old water is present in the streams and contributes significantly to baseflow and therefore probably to quickflow, although the remainder of the water is quite young (with transit times of a few months). The age of the old water component is revealed by the pres- ence of tritium originating from the bomb-peak in NZ rainfall in the late 1960s and early 1970s. A mean transit time of 25– 26 years is obtained for catchments GH1 and GH2. At GH1, annual baseflow amounts to about 520 mm/a (i.e. 70% of an- nual runoff). The old component runoff is therefore 83 mm/a (16% of baseflow). For GH2, the old component runoff is about 88 mm/a annually (26% of baseflow). 5.3 Source of old component The closeness of these figures shows that roughly equal amounts of old water are supplied to the streams in the two catchments per catch- ment area. The GH1 and GH2 samples were all collected during mod- erate baseflow conditions in summer. Flows were between 480–600 mm/a (GH1) and 380–530 mm/a (GH2). It is ex- pected that the fraction of the young component (b) would tend to be greater at higher baseflow giving the streamwater a younger overall mean transit time (τm), according to the equation Consideration of the storage required to produce such old water supports the presence of bedrock aquifers. A wa- ter store of 2.2 m thickness is required to supply 85 mm/a for 25.5 years (catchments GH1 and GH2). Assuming to- tal porosity of 0.1, this implies an aquifer thickness of 22 m over the catchments – far too much to be accommodated in the loess and colluvium. τm = bτm1 +(1−b)τm2 (8) (8) Thus τm may vary approximately inversely with streamflow. Future measurements at a wider variety of streamflows would be needed to establish this. Old water is also observed within the GH5 wetland (Mid- bog, N-tube and GH5 stream sampling sites), and the N-tube site has 100% old water. Such water is held at depth within the peat and only slowly released. It appears to be associ- ated with outflow of a deep aquifer into the bog peat. There may also be gradual movement of bomb-tritium water down- stream along the wetland as younger water penetrates from the head end of the bog (Fig. 3a). The midbog and GH5 sites have 23 and 31% of the deep-sourced old water, respectively. Young water flowing through the near surface of the wetland and slopes contributes the remainder. 5.2 Flow components – relation to master recession curve Previous hydrometric studies at Glendhu revealed a marked change of slope in the recession hydrographs for GH1 and GH2 (Pearce et al., 1984), suggesting that there is a change in the dominant runoff generating processes at that point. Deu- terium and chloride measurements in streamflow (Bonell et al., 1990) showed that the first part of the recession (quick- flow) contained pre-event water (with very uniform deu- terium and chloride concentrations), plus new water from the current event if quickflow yields exceeded 10 mm. The sec- ond part of the recession (baseflow) contained only the very uniform pre-event water. These observations were explained Hydrol. Earth Syst. Sci., 14, 1021–1032, 2010 www.hydrol-earth-syst-sci.net/14/1021/2010/ 1030 M. K. Stewart and B. D. Fahey: Runoff generating processes by runoff being supplied by groundwater bodies connecting regolith on the hillsides with the stream. When sufficient rain has fallen to exceed near-surface storage in the wetlands and lower slopes, runoff is augmented by event water via satura- tion overland flow. When rainfall is insufficient, quickflow contains only pre-event water. In the former case, pre-event water responds more rapidly to rainfall than event water. contains a higher proportion of old water (16%) suggesting that more deep groundwater is supplied to the stream lower down in the catchment. References Figs. 7b. Fig. 7. Longitudinal and cross sections for catchment GH5. Bonell, M., Pearce, A. J., and Stewart, M. K.: The identification of runoff-production mechanisms using environmental isotopes in a tussock grassland catchment, Eastern Otago, New Zealand, Hydrol. Process., 4, 15–34, 1990. Catchment scale storage has become of increasing interest because such storage affects how rapidly the stream responds to environmental change such as land use or climate change (Soulsby et al., 2009). Catchments with low storage will respond more rapidly than catchments with greater storage. The transit time distribution in runoff affects how long solu- ble contaminants are retained in a catchment. The presence of long transit time water in the Glendhu catchments means that soluble contaminants will be retained in the catchment and stream concentration will be elevated for many years fol- lowing a contamination event. Concentrations will initially fall because of the young water present, but then the decline will slow as old water feeds into the stream. Bowden, W. B., Fahey, B. D., Ekanayake, J., and Murray, D. L.: Hillslope and wetland hydrodynamics in a tussock grass- land, Southland, New Zealand, Hydrol. Process., 15, 1707–1730, 2001. Busenberg, W., and Plummer, L.N.: Use of chlorofluorocarbons (CCl3F and CCl2F2) as hydrologic tracer and age-dating tools: the alluvium and terrace system of Central Oklahoma, Water Re- sour. Res., 28, 2257–2283, 1992. 19 Campbell, D. I., and Murray, D. L.: Water balance of snow tussock grassland in New Zealand. J. Hydrol., 118, 229–245, 1990. 19 Fahey, B. D., Bowden, W. B., Smith, J., and Murray, D. L.: Hillslope–wetland hydrological linkages in the headwaters of a tussock grassland catchment at Glendhu, South Island, New Zealand, in: Hydrology, Water Resources, and Ecology of Headwaters. Proceedings of the HeadWater ’98 Conference, Meran/Merano, Italy, IAHS Publication No. 248, 157–164, 1998. 5.4 Environmental change and catchment storage About 85 mm/a of runoff is contributed annually from the deep aquifers in both catch- ments – it appears that afforestation has not yet affected the flow from deep storage in catchment GH2. This study has reinforced the importance of bedrock flow in contributing to runoff in a crystalline metamorphic setting. flow model. The tritium measurements showed that minor but substantial amounts of old water contribute to the GH1 and GH2 streams, and the stream draining the GH5 wetland. The remainder of the water is young. It appears that baseflow derives from two sources, shallow aquifers connecting re- golith on the hillsides with the stream and including shallow layers of the headwater wetlands, and deep aquifers within bedrock connecting with the stream and deep layers of the wetland. Although the latter only provides 16% (GH1) and 26% (GH2) of baseflow, it constitutes by far the larger of the two water stores. The old water apparently reaches the streams mainly from low down in GH1 and GH2 catchments, but also via wetlands like GH5. About 85 mm/a of runoff is contributed annually from the deep aquifers in both catch- ments – it appears that afforestation has not yet affected the flow from deep storage in catchment GH2. This study has reinforced the importance of bedrock flow in contributing to runoff in a crystalline metamorphic setting. a Longitudinal section of catchment GH5 590 600 610 620 630 640 650 0 50 100 150 200 250 300 Distance (m) Height (m) Sill Bog Hillslope Bedrock Bedrock a Longitudinal section of catchment GH5 Bedrock b Fig 7a Cross section of catchment GH5 600 610 620 630 640 0 50 100 15 Distance (m) Height (m) Acknowledgements. We thank the staff of Rayonier New Zealand Ltd, Invercargill, for giving us access to Glendhu Forest. This research was partially funded by the New Zealand Foundation for Research, Science, and Technology, the Korean Research Foundation (KRF 2001-013-G00012), the Hellaby Indigenous Grasslands Research Trust, and the Dunedin City Council. Edited by: L. Pfister 150 5.4 Environmental change and catchment storage Afforestation of GH2 has reduced the runoff substantially (by 260 mm/a after 7 years) mainly by increased interception loss (Fahey and Jackson, 1997). McLean (2001) and Fahey (2010, unpublished) sought to determine whether the rate of recession has changed in response to afforestation of GH2, but found no significant changes in slope. However, the frac- tion of old water in baseflow at GH2 (26%) is higher than that at GH1 (16%), leading to roughly equal amounts of runoff of old water in the two catchments. This may be showing that runoff has been reduced from the shallow regolith aquifer of GH2, but not yet from the deep bedrock aquifer. The 70 m downstream GH5 site has the smallest amount of old water (8%). Enough young water has entered the stream at this point to strongly dilute the old water from the GH5 wetland (streamflow is much larger here than in the stream near GH5). And the young water itself must contain an even smaller proportion of old water. Lower down in the GH1 catchment (at GH1 weir) the larger streamflow nevertheless www.hydrol-earth-syst-sci.net/14/1021/2010/ Hydrol. Earth Syst. Sci., 14, 1021–1032, 2010 1031 M. K. Stewart and B. D. Fahey: Runoff generating processes Longitudinal section of catchment GH5 590 600 610 620 630 640 650 0 50 100 150 200 250 300 Distance (m) Height (m) Sill Bog Hillslope Bedrock Bedrock a Fig 7a Cross section of catchment GH5 600 610 620 630 640 0 50 100 150 Distance (m) Height (m) b Figs. 7b. Fig. 7. Longitudinal and cross sections for catchment GH5. flow model. The tritium measurements showed that minor but substantial amounts of old water contribute to the GH1 and GH2 streams, and the stream draining the GH5 wetland. The remainder of the water is young. It appears that baseflow derives from two sources, shallow aquifers connecting re- golith on the hillsides with the stream and including shallow layers of the headwater wetlands, and deep aquifers within bedrock connecting with the stream and deep layers of the wetland. Although the latter only provides 16% (GH1) and 26% (GH2) of baseflow, it constitutes by far the larger of the two water stores. The old water apparently reaches the streams mainly from low down in GH1 and GH2 catchments, but also via wetlands like GH5. 6 Conclusions The east Otago uplands of New Zealand’s South Island have been studied because of the environmental consequences of converting native tussock grasslands to other land covers, notably forestry and pasture for stock grazing. Tritium mea- surements have been used to estimate the transit times of wa- ter contributing to baseflow based on the double dispersion Fahey, B. D. and Jackson, R. J.: Hydrological impacts of convert- ing native forest and grasslands to pine plantations, South Island, New Zealand, Agric. Forest Meteorol., 84, 69–82, 1997. Godsey, S. E., Aas, W., Clair, T. A., de Wit, H. A., Fernandez, I. J., Kahl, J. S., Malcolm, I. A., Neal, C., Neal, M., Nelson, S. Hydrol. Earth Syst. Sci., 14, 1021–1032, 2010 www.hydrol-earth-syst-sci.net/14/1021/2010/ M. K. Stewart and B. D. Fahey: Runoff generating processes M. K. Stewart and B. D. Fahey: Runoff generating processes 1032 Tetzlaff, D., Kirchner, J. W.: Generality of fractal 1/f scaling in catchment tracer time series, and its implications for catchment travel time distributions, Hydrol. Process., 24, 1660–1671, 2010. Stewart, M. K., Cameron, S. C., Hong, T. Y.-S., Daughney, C. J., Tait, T., and Thomas, J. T.: Investigation of groundwater in the Upper Motueka River Catchment, GNS Science Report 2003/32, p. 47, 2005b. Tetzlaff, D., Kirchner, J. W.: Generality of fractal 1/f scaling in catchment tracer time series, and its implications for catchment travel time distributions, Hydrol. Process., 24, 1660–1671, 2010. Hewlett, J. D. and Hibbert, A. R.: Factors affecting the response of small watersheds to precipitation in humid areas. In Sopper, W.E., Lull, H.W. (Eds.), Forest Hydrology, Oxford, Pergamon, 275–290, 1967. Stewart, M. K., Cox, M. A., James, M. R., and Lyon, G. L.: Deu- terium in New Zealand rivers and streams, INS Rept. No. INSR- 320, p. 32, 1983. Hulston, J. R., Taylor, C. B., Lyon, G. L., Stewart, M. K., and Cox, M. A.: Environmental isotopes in New Zealand hydrology. Part 2. Standards, measurement techniques and reporting of measure- ments for oxygen18, deuterium and tritium in water, N. Z. J. Sci., 24, 313–322, 1981. Stewart, M. K., Fahey, B. D., and Davie, T. J. A.: New light on streamwater sources in the Glendhu Experimental Catchments, East Otago, New Zealand. N.Z.H.S., I.A.H., N.Z.S.S.S. Conf. “Where Waters Meet”, Auckland, N. Z., Nov., 2005a. Stewart, M. 6 Conclusions K., Mehlhorn, J., and Elliott, S.: Hydrometric and nat- ural tracer (18O, silica, 3H and SF6) evidence for a dominant groundwater contribution to Pukemanga Stream, New Zealand, Hydrol. Process., 21, 3340–3356, 2007. Kirchner, J. W., Feng, X., and Neal, C.: Fractal stream chemistry and its implications for contaminant transport in catchments, Na- ture, 403, 524–527, 2000. Stewart, M. K. and Morgenstern, U.: Age and source of ground- water from isotope tracers, in: Groundwaters of New Zealand, edited by: Rosen, M. R. and White, P. A., N. Z. H. S., Welling- ton, New Zealand, 161–183, 2001. Maloszewski, P. and Zuber, A.: Determining the turnover time of groundwater systems with the aid of environmental tracers, 1. Models and their applicability. J. Hydrol., 57, 207–331, 1982. McDonnell, J. J., McGuire, K., Aggarwal, P., Beven, K., Biondi, D., Destouni, G., Dunn, S., James, A., Kirchner, J., Kraft, P., Lyon, S., Maloszewski, P., Newman, B., Pfister, L., Rinaldo, A., Rodhe, A., Sayama, T., Seibert, J., Solomon, K., Soulsby, C., Stewart, M., Tetzlaff, D., Tobin, C., Troch, P., Weiler, M., Western, A., W¨orman, A., and Wrede, S.: How old is streamwater? Open questions in catchment transit time conceptualization, modelling and analysis, Hydrol. Process. 24, 1745–1754, 2010. Stewart, M. K., Morgenstern, U., and McDonnell, J. J.: Trunca- tion of stream residence time: How the use of stable isotopes has skewed our concept of streamwater age and origin, Hydrol. Process., 24, 1646–1659, 2010. Stewart, M. K. and Taylor, C. B.: Environmental isotopes in New Zealand hydrology. Part 1. Introduction: The role of oxygen18, deuterium and tritium in hydrology, N. Z. J. Sci., 24, 295–311, 1981. McLean, S.: Baseflow response to vegetation change, Glendhu State Forest, Otago, New Zealand. MSc Thesis, University of Otago, Dunedin, New Zealand, 2001. Stewart, M. K. and Thomas, J. T.: A conceptual model of flow to the Waikoropupu Springs, NW Nelson, New Zealand, based on hydrometric and tracer (18O, Cl, 2H and CFC) evidence, Hydrol. Earth Syst. Sci., 12, 1–19, doi:10.5194/hess-12-1-2008, 2008. McGlynn, B. L., McDonnell, J. J., Stewart, M. K., and Seibert, J.: On the relationships between catchment scale and streamwater mean residence time, Scientific Briefing, Hydrol. Proc., 17, 175– 181, 2003. Taylor, C. B.: The relationship between electrolytic deuterium and tritium separation factors, and attainment of improved accuracy in radiometric low-level tritium measurement, J. Appl. Rad. Iso- topes, 45, 683–692, 1994. Miller, B. 6 Conclusions J.: Soil water regimes of the Glendhu Experimental Catchments, BSc Honours thesis, University of Otago, Dunedin, New Zealand, p. 81, 1994. Taylor, C. B., Brown, L. J., Cunliffe, J. J., and Davidson, P. W.: Environmental isotope and 18O applied in a hydrological study of the Wairau Plain and its contributing mountain catchments, Marlborough, New Zealand. J. Hydrol., 138, 269–319, 1992. Morgenstern, U. and Taylor, C. B.: Ultra low-level tritium mea- surement using electrolytic enrichment and LSC, Isot. Environ. Healt. S, 45, 96–117, 2009. Pearce, A. J., Rowe, L. K., and O’Loughlin, C. L.: Hydrology of mid-altitude tussock grasslands, Upper Waipori catchment, Otago II. Water balance, flow duration, and storm runoff, J. Hy- drol. (N. Z.), 23, 45–59, 1984. Taylor, C. B., Wilson, D. D., Brown, L. J., Stewart, M. K., Burdon, R. J., and Brailsford, G. W.: Sources and flow of North Canter- bury Plains groundwater, New Zealand. J. Hydrol.,106, 311–340, 1989. Plummer, L. N. and Busenberg, E.: Chlorofluorocarbons. Chapter 15 in Environmental Tracers in: Subsurface Hydrology, edited by: Cook, P. and Herczeg, A. L., Kluwer Academic Publishers, 441–478, 1999. Van der Raaij, R.: Age dating of New Zealand groundwaters using sulphur hexafluoride, M. Sc., School of Earth Sciences, Victoria University of Wellington, New Zealand, 2003. Soulsby, C., Tetzlaff, D., and Hrachowitz, M.: Tracers and transit times: windows for viewing catchment scale storage? Hydrol. Process. 23, 3503–3507, 2009. Hydrol. Earth Syst. Sci., 14, 1021–1032, 2010 www.hydrol-earth-syst-sci.net/14/1021/2010/
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Bacteriological Assessment of Groundwater Quality Around a Major Municipal Dumpsite, Calabar, Se-Nigeria
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Bacteriological Assessment of Groundwater Quality Around a Major Municipal Dumpsite, Calabar, Se-Nigeria IBU OCHELEBE  UNIVERSITY OF CALABAR AZUBUIKE EKWERE  (  zerratta77@yahoo.com ) University of Calabar ANIEKAN EDET  University of Calabar IBU OCHELEBE  UNIVERSITY OF CALABAR AZUBUIKE EKWERE  (  zerratta77@yahoo.com ) University of Calabar ANIEKAN EDET  University of Calabar Introduction Waste and waste management remain an important issue for most human societies. This is so because human activities always lead to the generation of waste which affects the geo-system through soils, surface and groundwater systems with attendant effects on plant, animal, and human populations (Ekwere and Ekwere, 2015). The rapid growth of urban settlements around the globe further compounds waste and its management problems due to the generation of huge quantities of municipal waste, usually disposed off in dumpsites. The nature of these dumpsites in reference to their development and engineering structure determines, to a great extent, their competence as a waste management strategy. These municipal wastes have been shown to be major sources of environmental pollution through the introduction of chemical components at levels above the environmental threshold (Ekwere and Ekwere, 2015). Where municipal dumpsites are poorly constructed without proper engineering standards, for example, without a base lining, leachate released from the dumpsite can infiltrate and contaminate the groundwater system of such localities. Infiltration and leaching from landfills located close to residential areas have been reported (Ekwere & Ekwere, 2015; Eni et al., 2014). Groundwater systems are easily contaminated in areas where there is a high concentration of such waste dumpsites as opposed to areas where there is a low concentration (Ugbaja & Edet, 2004). Dumpsite leachates are a major source of microbial contamination of groundwater in most areas. Waterborne bacteria and related diseases are major public health concerns worldwide because of their huge cost in terms of fatalities, prevention, and treatment. Proper assessment and water quality monitoring for indicator bacteria in water sources and processes controlling their distribution around dumpsites are key to preventing these health concerns. According to the Washington State Department of Health (2016), the presence of certain indicator organisms such as E. coli in drinking water usually indicates recent feacal contamination, which means that there is a great risk that pathogens are present. Usually, these pathogens can be tracked from their possible sources through the water chain to the end consumers (Ekwere et al., 2021). This study attempts to determine the microbial indicators in groundwater around a major municipal waste dumpsite. Research Article Keywords: dumpsite, groundwater, coliform, indicator organisms, health risk, Calabar, Nigeria License:   This work is licensed under a Creative Commons Attribution 4.0 International License. Read Full License Page 1/12 Abstract Waterborne diseases are major public health concerns worldwide, not only for the morbidity and mortality they cause, but also for the huge cost of their prevention and treatment. These diseases are directly related to environmental deterioration and pollution, to which water is easily vulnerable. Assessment and water quality monitoring for microbial indicators in domestic water sources are key factors in preventing these health concerns. This study investigated the microbial indicators in groundwater around a major municipal waste dumpsite in Calabar metropolis in southeastern Nigeria. Twenty-nine (29) groundwater and seven (7) surface water samples were collected around the dumpsite across wet and dry seasons. The samples were analyzed for some indicator bacteria. The results show that the average counts for total bacteria were 5155 Cfu/100ml, total coliform bacteria 76 Cfu/100ml, total salmonella/shigella 56 Cfu/100ml, and total feacal coliform 53 Cfu/100ml in the dry season. In the wet season, the average count was: total bacteria 10,356 CFU/100ml, total coliform bacteria 468 Cfu/100ml, total salmonella/shigella 1081 CFU/100ml, total feacal coliform 28 Cfu/100ml, total vibrio cholera 433 CFU/100ml, and Escherichia coli 33 Cfu/100ml. Contamination levels are beyond permissible limits for indicator organisms in groundwater across seasons, with a higher frequency in the wet season, which pose a major health risk for consumers. Description of the study area The dumpsite considered under this study has been operational for over a period of twenty years within Calabar, the capital city of Cross River state, Nigeria. The dumpsite and its environs lie within longitudes 8˚ 21´ 45˝ to 8˚ 21´ 59˝ East and latitudes 5˚ 02´ 15˝ to 5˚ 02´ 25˝ North (Fig. 1). The study area is located within a tropical climatic zone, marked by distinct rainy and wet seasons. The area experiences an average annual precipitation of 2508.10mm and a mean annual temperature of 27.07°C (Edet et al., 2013). The climatic data recorded during the study period by the Nigerian Meteorological station at the local airport in Calabar shows that the average temperature for 2016 and 2017 was 27.55 C and 27.41 C, respectively. The total rainfall recorded for the same periods was 2452.70mm and 3119.60mm, respectively. Page 2/12 Page 2/12 The area is generally low-lying and relatively flat, with elevations varying from about 10 m to a little above 60 m (Ekwere et al., 2011) and is drained majorly by the Great Kwa River, located one kilometer east of the dumpsite. The area is generally low-lying and relatively flat, with elevations varying from about 10 m to a little above 60 m (Ekwere et al., 2011) and is drained majorly by the Great Kwa River, located one kilometer east of the dumpsite. In terms of geologic settings, the study area lies within the Niger Delta sedimentary basin built on three lithostratigraphic units (Short & Stauble, 1967; Avbovbo, 1978). The units are the Benin, Agbada, and Akata Formations, which increase in age in that order. The Benin Formation underlies the entire study area. The formation is Oligocene to recent in age and is composed of medium to coarse sandstones, sands, shales, and gravels (Edet, 2017). The Benin Formation, also called the Coastal Plain Sand, is marked by fluvial sands, pebbles, clay, lignite, and alluvium in the study area. Drilled bore data from the area indicates the subsurface geology is made up of an alternating sequence of gravel, sands, silts, clay, and lignite occurring at various levels with variable thicknesses (Edet & Okereke, 2002). The fine-grained alluvium, shales, clays, siltstones, and mudstone constitute the aquitard systems in the area. Sampling A total of twenty-nine groundwater and seven surface water samples were collected around the dumpsite and control points in the wet and dry seasons for analysis. The details of the sampling points are presented in Table 1, and the sample locations are as shown in Fig. 1. The samples were collected into clean 25cl polyethylene bottles after rinsing with an aliquot of the sample to be collected. To ensure that the borehole samples were representative of the groundwater, the boreholes were properly purged to remove all the stagnant water from the borehole plumb line prior to sampling from the well head. The stream and river samples were collected by submerging the sample bottle well below the surface, free from films that could be a possible source of contamination (Hem, 1985). Description of the study area These aquitards can be grouped into two classes based on their geologic origin, which are: common unlithified aquitards (clays and fine- grained alluvium) and common indurated aquitards (shales, mudstone, and siltstone). Essien and Okon (2016), report that fluvial processes were dominant during the deposition of the sediments in a high-energy environment. The generalized geologic map of Cross River State showing the study area is shown in Fig. 1. The aquiferous units within the study are of variable thicknesses, highly prolific and consist of sandy-gravely sediments and heterogeneously distributed silts, shales and clay lenses. The occurrence of silt, shale, and clay layers at various levels and thicknesses from one locality to the other results in localized confined units, thus giving rise to a multi-aquifer system (Okereke et al., 1998). This sequence was also observed by Edet and Okereke (2002), who also reported that static water level measurements vary from a minimum of 4.6m to a maximum of 70.2m with a mean value of 44.5m. They also observed that hydraulic conductivity varies between 61.2 and 180m2/d with corresponding transmissivity in the range of 22.2–61.2 m2/day. Edet (2014) reported that well discharge varies between 360 and 2760 m3/day, the depth to water level varies from less than 5 m to more than 70 m, hydraulic conductivity ranges between 110 and 285 m/day, and transmissivity is between 1957 and 24748 m2/day. Amah & Anam (2016) reported a specific capacity of 9.02 to 346 m3/day, a transmissivity of 485–1393.8 m2/day and a hydraulic conductivity of 9.7 to 27.9m3/day. Also, Nwankwola (2015) reported a regional yield of 6 to 9 liters/second (518.4–777.6 m3/day) for the Benin Formation. Field and laboratory measurements Temperature, pH, and total dissolved solids of samples were measured in the field using a HANA multi-parameter probe (model HI 9813-5). The static water level was recorded with a dip meter. The hydraulic head was estimated as the difference between the sample point elevation and the static water level measurement. The data served as input for the generation of the equipotential lines and groundwater flow directions in order to locate wells in the upstream and downstream directions of groundwater flow. The microbial populations were determined by the method of Chesbrough (2005); 1mL of the water sample was passed through serial dilution to the sixth factor. 1 ml of the diluent was plated out on molten sterile agar (commercial grade) using the pour plate method. The pour plate was allowed to set (solidify) and incubated in the incubator for 24 hours at 37˚ C (44˚ C for E. coli) for the colonies to develop. After incubation, the colonies were counted and the results were multiplied by the dilution factor. The microbial populations were isolated on different growth media, which were prepared according to the manufacturer’s specification and sterilized in the autoclave at 121 o C for 15 minutes at 15 psi, before they were used for isolation of the different microbial parameters as presented in Table 2. The different microbial species were identified by their colors and morphological examination. Field and laboratory measurements Page 3/12 Table 1 Details of sampling points Details of sampling points Details of sampling points S/N Sample Coordinates Distance from dumpsite (m) Sample type Latitude Longitude 1 3BH 5° 2′ 0.8″ 8° 21′ 47.4″ 194 Groundwater 2 4BH 5° 2′ 4.6″ 8° 21′ 51.2″ 151 Groundwater 3 5BH 5° 1′ 56.4″ 8° 21′ 55.8″ 227 Groundwater 4 6BH 5° 1′ 54.0″ 8° 22′ 2.4″ 387 Groundwater 5 7BH 5° 1′ 59.8″ 8° 22′ 3.3″ 375 Groundwater 6 8BH 5° 2′ 0.8″ 8° 22′ 11.9″ 505 Groundwater 7 9BH 5° 1′ 34.2″ 8° 22′ 28.9″ 914 Groundwater 8 11BH 5° 2′ 5.2″ 8° 21′ 45.1″ 269 Groundwater 9 12BH 5° 2′ 9.9″ 8° 21′ 51.66″ 215 Groundwater 10 14BH 5° 2′ 11.3″ 8° 22′ 10.2″ 516 Groundwater 11 15BH 5° 2′ 28.3″ 8° 22′ 1.7″ 875 Groundwater 12 18SW 5° 2′ 9.7″ 8° 21′ 59.3″ 275 Surface water 13 19BH 5° 1′ 58.8″ 8° 22′ 0.6″ 189 Groundwater 14 20BH 5° 2′ 9.7″ 8° 22′ 6.42″ 351 Groundwater 15 21BH 5° 1′ 38.5″ 8° 21′ 51″ 1500 Groundwater 16 22BH 5° 2′ 23.7″ 8° 22′ 0.6″ 673 Groundwater 17 23BH 5° 3′ 45.4″ 8° 21′ 19.9″ 2950 Groundwater 18 24BH 5° 3′ 51.2″ 8° 20′ 43.4″ 3075 Groundwater 19 25BH 5° 1′ 53.3″ 8° 20′ 41.6″ 2650 Groundwater 20 26BH 4° 55′ 0.3″ 8° 23′ 1.11″ 7525 Groundwater 21 1SW 5° 1′ 28.8″ 8° 21′ 57.7″ 1100 Surface water 22 2SW 5° 1′ 50.7″ 8° 21′ 51.5″ 375 Surface water 23 10SW 5° 1′ 52.6″ 8° 22′ 24.6″ 1100 Surface water 24 16L 5° 2′ 0.01″ 8° 21′ 58.86″ 0 Leachate 25 17L 5° 1′ 58.58″ 8° 21′ 57.13 0 Leachate the colonies were counted and the results were multiplied by the dilution factor The microbial popula After incubation, the colonies were counted and the results were multiplied by the dilution factor. The microbial populations were isolated on different growth media, which were prepared according to the manufacturer’s specification and sterilized in the autoclave at 121 o C for 15 minutes at 15 psi, before they were used for isolation of the different microbial parameters as presented in Table 2. The different microbial species were identified by their colors and morphological examination. Data analysis and interpretation The data was interpreted using descriptive statistics, graphs, and comparisons between the most pertinent parameters such as proximity to the dumpsite, static water level, and well location relative to the direction of groundwater flow and the dumpsite, site characteristics, and season to gain insight into the likely factors controlling the microbial concentration and distribution in the area. The quality of the water was based on comparison with the maximum admissible value of the Standard Organization of Nigeria (SON, 2007) and the Environmental Protection Agency (EPA, 2002) for domestic purposes. Field and laboratory measurements Page 4/12 Table 2 Growth media used in the isolation of microbial parameters Microbial Parameter Growth Media Coliform bacteria and Total coliform bacteria Macconkey agar Total fungal count Sabourand dextrose agar E. Coli Eosin methylene blue agar Vibro cholera Tiosulphate citrate bile salt sucrose (TCBS) agar Salmonella and shigella Salmonella and shigella agar Table 2 Table 2 The results of the bacteriological analysis of the water samples are presented in Table 4. The total bacterial counts for all samples were quite high in groundwater, ranging from 70 Cfu/100 ml in location 14BH to 63000 Cfu/100 ml in location 20BH and from 1500 Cfu/100 ml in location 25BH to 21000 Cfu/100 ml in location 22BH in the dry and wet seasons, respectively. Results And Discussion The static water level varies from 0 m to 44.5 m in the dry season and from 0 m to 32.3 m in the wet season (Table 3). These values are within the range of those recorded by Edet (2014), which varied from less than 4 m to 70 m. Though not all the wells were monitored in both seasons, the higher level in the wet season is an indication of higher recharge from precipitation. Water table contours were closer packed in some areas than others and did not show any definite flow pattern (Fig. 2). This is an indication of the heterogeneous nature of the aquifer system. This may arise majorly from the presence of aquitard systems, as their presence commonly increases the complexity of flow paths and they are capable of deflecting flows and controlling boundaries between flow systems at local, intermediate, and regional scales (Cherry et al., 2006). Page 5/12 Table 3 Fluctuation in static water level between dry and wet seasons Location Static Water Level with respect to Ground Surface (m) Dry Season Wet Season Change in Static Water Level MW1 12.80 12.68 0.12 MW2 15.85 15.80 0.05 MW3 11.50 11.22 0.28 MW4 - 3.78 - MW4A 10.96 10.65 0.31 MW4B - 6.50 - MW5 0 0 0 MW6 - 3.73 - MW6A - 3.20 - MW6B 3.50 3.20 0.30 MW7 44.50 - - MW8 25.30 - - MW9 25.85 25.80 0.05 MW10 23.2 22.76 0.44 MW11 15.60 15.25 0.35 MW12 32.50 32.30 0.20 MW12B - 28.41 - MW13 - 18.60 - Average 20.142 14.258 Table 3 l l b Page 6/12 Table 4 Results of microbial analysis of water sample Sample ID Total bacterial count (cfu/100ml) Total Coliform bacterial count (cfu/100ml) Total Salmonella /shigella count (cfu/100ml) Total feacal coliform count (cfu/100ml) Total Vibrio cholera count (cfu/100ml) Total Escherichia coli count (cfu/100ml) Temp. Results And Discussion The total salmonella/shigella count in the dry season ranged from 0 Cfu/100ml in locations (4BH, 6BH, 8BH, 9BH, 11BH, 12BH, 14BH, and 15BH) to 350 Cfu/100ml at location 19BH and from 0 Cfu/100ml at location 23BH to 5000 Cfu/100ml at location 12BH in the wet season. The total fecal coliform count ranged from 0 Cfu/100ml in locations (3BH, 4BH, 11BH, 12BH, 14BH, and 15BH) to 260 Cfu/100ml at location 6BH in the dry season and from 0 Cfu/100ml in locations (5BH, 8BH, 11BH, 12BH, 14BH, 23BH, 24BH, 25BH, and 26BH) to 340Cfu/100ml at location 9BH in the wet season. The total vibrio cholera was not recorded in the dry season samples but ranged from 0 Cfu/100ml in locations (5BH, 6BH, 11BH, 14BH, 15BH, 24BH, 25BH, and 26BH) to 500 Cfu/100ml in location 12BH in the wet season. Also, the total Escherichia coli (E. coli) was not recorded in the dry season groundwater samples but ranged from 0Cfu/100ml in locations (3BH, 5BH, 8BH, 11BH, 12BH, 14BH, 23BH, 24BH, 25BH, and 26BH) to 300Cfu/100ml at location 9BH in the wet season. The total bacteria count in the surface water ranged from 340 CFU/100ml at location 2SW to 700 CFU/100ml at location 1SW in the dry season and from 2000 CFU/100ml at location 2SW to 25000 CFU/100ml at location 1SW in the wet season. The total coliform bacterial count ranged from 0 Cfu/100ml at location 10 SW to 210 Cfu/100ml at location 2SW in the dry season and from 510 Cfu/100ml at location 1SW to 900 Cfu/100ml at location 10SW in the wet season. The total salmonella/shigella count ranged from 0 Cfu/100ml at location 1SW to 100Cfu/100ml at locations (2SW & 10SW) in the dry season and from 130Cfu/100ml at location 1SW to 1600Cfu/100ml at location 10SW in the wet season. The total fecal coliform count ranged from 0 Cfu/100ml at locations (2SW & 10SW) to 50 Cfu/100ml at location 1SW in the dry season and from 0 Cfu/100ml at locations (2SW & 10SW) in the wet season. While the total vibrio cholera was not recorded in the dry season samples, it ranged from 40 Cfu/100ml at location 1SW to 400 Cfu/100ml at location 2SW. And the total E. coli count of 10Cfu/100ml was recorded only at location 10SW in the dry season and ranged from 0 Cfu/100ml at locations (10SW & 2SW) to 30 Cfu/100ml at location 1SW in the wet season. Results And Discussion oC pH TDS mg/l Groundwater dry 3BH 300 0 50 0 0 0 26.35 4.05 57.0 4BH 260 30 0 0 0 0 26.45 3.75 69.5 5BH 550 100 100 100 0 0 26.45 3.65 64.5 6BH 410 0 0 260 0 0 26.4 4.65 55.5 7BH 250 100 0 120 0 0 26.4 4.0 36.5 8BH 100 0 0 0 0 0 26.45 4.85 41.0 9BH 110 0 0 50 0 0 26.5 5.10 78.5 11BH 300 0 0 0 0 0 26.4 3.35 40.0 12BH 710 0 0 0 0 0 26.4 4.05 31.5 14BH 70 0 0 0 0 0 26.55 4.55 19.5 15BH 500 100 0 0 0 0 27.75 5.05 46.0 19BH 1100 60 350 80 * 0 27.15 5.07 56.0 20BH 63000 600 220 80 * 0 26.85 4.9 43.0 Mean 5204.62 76.15 55.38 53.08 0 0 26.62 4.39 49.68 Surface water dry 1SW 700 210 0 50 0 0 26.52 5.35 31.5 2SW 340 120 100 0 0 0 26.51 5.45 76.0 10SW 250 0 100 0 0 10 26.35 3.55 20.5 18SW 370 80 50 0 * 0 27.05 5.31 7.0 Mean 415 102.5 62.5 12.5 0 2.5 26.61 4.92 33.75 Groundwater wet 3BH 17000 560 2400 10 70 0 27.05 4.05 68.0 5BH 8400 210 150 0 0 0 26.35 4.7 70.15 6BH 5400 240 50 12 0 60 27.10 4.5 42.0 7BH 7000 160 80 20 100 30 27.02 5.15 38.5 8BH 7900 800 120 0 400 0 26.21 4.7 28.0 9BH 16000 180 2000 340 700 300 27.0 5.5 10.0 11BH 20000 420 1700 0 0 0 26.1 3.85 68.5 12BH 10000 720 5000 0 5000 0 27.03 5.05 41.05 14BH 9200 110 300 0 0 0 26 15 5 25 60 5 Page 7/12 Page 7/12 Sample ID Total bacterial count (cfu/100ml) Total Coliform bacterial count (cfu/100ml) Total Salmonella /shigella count (cfu/100ml) Total feacal coliform count (cfu/100ml) Total Vibrio cholera count (cfu/100ml) Total Escherichia coli count (cfu/100ml) Temp. Results And Discussion oC pH TDS mg/l 21BH 14000 550 1500 30 70 60 27.4 4.7 30.0 22BH 21000 1100 1400 10 300 21 26.65 5.55 28.0 23BH 6000 140 0 0 280 0 27.2 5.02 45.5 24BH 7300 80 290 0 0 0 27.2 5.05 45.5 25BH 1500 0 11 0 0 0 28.2 6.1 10 26BH 4000 10 10 0 0 0 27.14 6.25 30.5 Mean 10356.25 467.5 1013.19 27.63 432.5 32.56 26.8 5.05 44.33 Surface water wet 1SW 25000 510 130 10 40 30 27.05 6.75 30.0 2SW 2000 600 280 0 400 0 26.07 6.55 40.5 10SW 10000 900 1600 0 100 0 26.3 4.95 28.5 Mean 12333.33 670 670 3.33 180 10 26.47 6.083 33 SON   10 0 0 0 0       EPA   100 0 0 0 0       The total coliform bacterial count ranged from 0 Cfu/100ml in locations (3BH, 6BH, 8BH, 9BH, 11BH, 12BH, and 14BH) to 600 Cfu/100ml in location 20BH and from 0 Cfu/100ml in location 25BH to 2200 in location 15BH during the dry and wet seasons, respectively. The total salmonella/shigella count in the dry season ranged from 0 Cfu/100ml in locations (4BH, 6BH, 8BH, 9BH, 11BH, 12BH, 14BH, and 15BH) to 350 Cfu/100ml at location 19BH and from 0 Cfu/100ml at location 23BH to 5000 Cfu/100ml at location 12BH in the wet season. The total fecal coliform count ranged from 0 Cfu/100ml in locations (3BH, 4BH, 11BH, 12BH, 14BH, and 15BH) to 260 Cfu/100ml at location 6BH in the dry season and from 0 Cfu/100ml in locations (5BH, 8BH, 11BH, 12BH, 14BH, 23BH, 24BH, 25BH, and 26BH) to 340Cfu/100ml at location 9BH in the wet season. The total vibrio cholera was not recorded in the dry season samples but ranged from 0 Cfu/100ml in locations (5BH, 6BH, 11BH, 14BH, 15BH, 24BH, 25BH, and 26BH) to 500 Cfu/100ml in location 12BH in the wet season. Also, the total Escherichia coli (E. coli) was not recorded in the dry season groundwater samples but ranged from 0Cfu/100ml in locations (3BH, 5BH, 8BH, 11BH, 12BH, 14BH, 23BH, 24BH, 25BH, and 26BH) to 300Cfu/100ml at location 9BH in the wet season. Sample ID Total bacterial count (cfu/100ml) Total Coliform bacterial count (cfu/100ml) Total Salmonella /shigella count (cfu/100ml) Total feacal coliform count (cfu/100ml) Total Vibrio cholera count (cfu/100ml) Total Escherichia coli count (cfu/100ml) Temp. Results And Discussion oC pH TDS mg/l 21BH 14000 550 1500 30 70 60 27.4 4.7 30.0 22BH 21000 1100 1400 10 300 21 26.65 5.55 28.0 23BH 6000 140 0 0 280 0 27.2 5.02 45.5 24BH 7300 80 290 0 0 0 27.2 5.05 45.5 25BH 1500 0 11 0 0 0 28.2 6.1 10 26BH 4000 10 10 0 0 0 27.14 6.25 30.5 Mean 10356.25 467.5 1013.19 27.63 432.5 32.56 26.8 5.05 44.33 Surface water wet 1SW 25000 510 130 10 40 30 27.05 6.75 30.0 2SW 2000 600 280 0 400 0 26.07 6.55 40.5 10SW 10000 900 1600 0 100 0 26.3 4.95 28.5 Mean 12333.33 670 670 3.33 180 10 26.47 6.083 33 SON   10 0 0 0 0       EPA   100 0 0 0 0 The total coliform bacterial count ranged from 0 Cfu/100ml in locations (3BH, 6BH, 8BH, 9BH, 11BH, 12BH, and 14BH) to 600 Cfu/100ml in location 20BH and from 0 Cfu/100ml in location 25BH to 2200 in location 15BH during the dry and wet seasons, respectively. The total salmonella/shigella count in the dry season ranged from 0 Cfu/100ml in locations (4BH, 6BH, 8BH, 9BH, 11BH, 12BH, 14BH, and 15BH) to 350 Cfu/100ml at location 19BH and from 0 Cfu/100ml at location 23BH to 5000 Cfu/100ml at location 12BH in the wet season. The total fecal coliform count ranged from 0 Cfu/100ml in locations (3BH, 4BH, 11BH, 12BH, 14BH, and 15BH) to 260 Cfu/100ml at location 6BH in the dry season and from 0 Cfu/100ml in locations (5BH, 8BH, 11BH, 12BH, 14BH, 23BH, 24BH, 25BH, and 26BH) to 340Cfu/100ml at location 9BH in the wet season. The total vibrio cholera was not recorded in the dry season samples but ranged from 0 Cfu/100ml in locations (5BH, 6BH, 11BH, 14BH, 15BH, 24BH, 25BH, and 26BH) to 500 Cfu/100ml in location 12BH in the wet season. Also, the total Escherichia coli (E. coli) was not recorded in the dry season groundwater samples but ranged from 0Cfu/100ml in locations (3BH, 5BH, 8BH, 11BH, 12BH, 14BH, 23BH, 24BH, 25BH, and 26BH) to 300Cfu/100ml at location 9BH in the wet season. The total coliform bacterial count ranged from 0 Cfu/100ml in locations (3BH, 6BH, 8BH, 9BH, 11BH, 12BH, and 14BH) to 600 Cfu/100ml in location 20BH and from 0 Cfu/100ml in location 25BH to 2200 in location 15BH during the dry and wet seasons, respectively. Results And Discussion The isolation of some bacteria pathogens capable of causing waterborne diseases such as salmonella typhi (typhoid fever), salmonella paratyphi (paratyphoid), shigella spp. (bacillary dysentery), E. coli, and vibrio cholera (cholera) is an indication of recent contamination by human and animal feces (Mohan, 2010; EPA, 2002). The results generally show that a strong relationship exists between microbial concentrations in groundwater and rainfall. A higher concentration was recorded in the wet season compared to The isolation of some bacteria pathogens capable of causing waterborne diseases such as salmonella typhi (typhoid fever), Page 8/12 Page 8/12 the dry season samples in both control points and around the dumpsite (Figs. 3 and 4), suggesting that runoff is a significant factor in the temporal distribution of the bacteria in the area, as some indicator organisms are associated with particles transported by runoff (George et al., 2004). However, the concentration of the microbial indicators was higher around the dumpsite compared to the control points, indicating that the dumpsite leachate contributes to the concentration of the indicator organisms in the area. the dry season samples in both control points and around the dumpsite (Figs. 3 and 4), suggesting that runoff is a significant factor in the temporal distribution of the bacteria in the area, as some indicator organisms are associated with particles transported by runoff (George et al., 2004). However, the concentration of the microbial indicators was higher around the dumpsite compared to the control points, indicating that the dumpsite leachate contributes to the concentration of the indicator organisms in the area. A comparison between the concentration of the indicator organisms in the different boreholes and their distance from the center of the dumpsite and static water level was made. The results did not show any definite pattern, but rather wells located downstream of the dump (20BH, 19BH, and 7BH) had higher diversity and microbial concentration compared to those closer but upstream (4BH and 3BH). Three locations with higher microbial concentration but further away from the dumpsite and upstream were boreholes with poorly protected well heads (15BH, 9BH, and 5BH) (Fig. 5). The same pattern was observed in the wet season samples (Fig. 6). This pattern suggests that the most important factors affecting well vulnerability to microbial contamination were those relating to the location of the wells relative to groundwater flow with respect to the dumpsite, activities around the wells, and well head protection. Conclusion The groundwater around the dumpsite recorded a high concentration of indicator organisms. The results of the sampled boreholes indicate that the groundwater is impaired with regard to the SON and EPA standards. The study revealed that the important factors that are responsible for the impairment are the location of wells relative to groundwater flow direction, runoff from precipitation, and poor sanitation around the well head. Other minor factors are the proximity to a dumpsite and the water level. It is recommended that well owners protect their wells and at least boil their water before drinking. Results And Discussion These factors show greater influence compared to the well's distance from the dumpsite. Statement Of Declaration The authors declare that there are no conflicts of interest of any sort associated with the development of this research paper. References 1. Amah, E. A; Anam, G. S. (2016). Determination of Aquifer Hydraulic Parameters from pumping Test Data Analysis: A case study of Akpabuyo Coastal plain sand Aquifer, Cross River State, SE Nigeria. Journal of Applied Geology and Geophysics 4(1), 1–8. 2. Avbovbo, A. A (1978). Tertiary lithostrtigraphy of Niger Delta. 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Contaminants Transport Through Aquitards: A State-of-the-Science Review.USA: Awwa Research Foundation. 3. Cherry,J. A; Lichtner, P. C. J. A; Parker, B. L; Bradburry, K. J; Eaton, T. T; Gotkowitz, M. B; Hart, D. J; Borchardt, M. A (2006). Contaminants Transport Through Aquitards: A State-of-the-Science Review.USA: Awwa Research Foundation. 4. Chesbrough, M (2005) District Laboratory Practice in Tropical Countries Cambridge Universit 5. Edet, A (2017). Hydrogeology and groundwater evaluation of a shallow coastal aquifer, Southern Akwa Ibom State (Nigeria). App Water Sci., 7, 2397–2412. 6. Edet, A. E (2014). An Aquifer Vulnerability Assessment of the Benin Formation Aquifer, Calabar, Southeastern Nigeria using DRASTIC and GIS Approach. Environ Earth Sci, 71, 1747–1765. 7. Edet, A. E; Okereke, C. S. (2002). Delineation of shallow groundwater aquifers in the coastal plain sands of Calabar area (Southern Nigeria) using surface resistivity and hydrogeological data. 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Hydrochemistry of the near shore marine bay, Calabar River (South-eastern, Nigeria). RMZ- Materials and Geoenvironment. Volume 58, No.4 pp 421–436. 10. Ekwere, A. S; Ekwere, S. J (2015). Heavy metal assessment of groundwaters in the vicinities of dumpsites in Calabar metropolis, southeastern Nigeria. Earth Sciences, vol. 4(6): 261–265. 10. Ekwere, A. S; Ekwere, S. J (2015). Heavy metal assessment of groundwaters in the vicinities of dumpsites in Calabar metropolis, southeastern Nigeria. Earth Sciences, vol. 4(6): 261–265. 11. Ekwere, A. S; Oyonga, A. O; Maingala, M. B., (2021). Assessment of effectiveness of water safety plans (WSP) on water quality in rural communities of Anambra state, south-eastern Nigeria. Water Supply vol.21 (2), 878–885. 11. Ekwere, A. S; Oyonga, A. O; Maingala, M. B., (2021). Assessment of effectiveness of water safety plans (WSP) on water quality in rural communities of Anambra state, south-eastern Nigeria. Water Supply vol.21 (2), 878–885. 12. Eni D. I; Ubi A. E; Digha N. (2014). Vulnerability Assessment of Boreholes Located Close to LEMNA Landfill in Calabar Metropolis, Nigeria. International Journal of Physical and Human Geography, 2(2), 6–15. 12. Eni D. I; Ubi A. E; Digha N. (2014). Vulnerability Assessment of Boreholes Located Close to LEMNA Landfill in Calabar Metropolis, Nigeria. International Journal of Physical and Human Geography, 2(2), 6–15. Page 9/12 Page 9/12 13. EPA. (2002). Parameter of water Quality: Interpretation and Standards. Ireland: Environmental Protection Agency. 3. EPA. (2002). Parameter of water Quality: Interpretation and Standards. Ireland: Environmenta 14. Essien, N. U; Okon, E. E. (2016). Sedimentary processes and Depositional Environment of parts of Benin Formation in Calabar Flank, southeastern Nigeria. British Journal of Applied science and Technology,18(5). 15. George, I; Anzil, A; Servais, P (2004). Quantification of fecal coliform inputs to aquatic systems through soil leaching. Water Res. 38,611–618 16. Hem, J. D (1985). References Study and Interpretation of the Chemical Characteristics of Natural Water. Water-Supply. U.S. Geological Survey, Alexandria, Paper 2254. 17. Nwankwola, H. O (2015). Hydrogeology and Groundwater Resources of Nigeria. New York Science Journal, 8(1), 89–100. 18. Mohan, H. (2010). Textbook of Pathology. JPBM publishers New Delhi. 17. Nwankwola, H. O (2015). Hydrogeology and Groundwater Resources of Nigeria. New York Science Journal, 8(1), 89–100. 17. Nwankwola, H. O (2015). Hydrogeology and Groundwater Resources of Nigeria. New York Science Journal, 8(1), 89–100. 18. Mohan, H. (2010). Textbook of Pathology. JPBM publishers New Delhi. 18. Mohan, H. (2010). Textbook of Pathology. JPBM publishers New Delhi. 18. Mohan, H. (2010). Textbook of Pathology. JPBM publishers New Delhi. 19. Okereke, C. S; Esu, E. O; Edet, A. E (1998).Determination of potential groundwater sites using geological and geophysical techniques in the Cross River State, Southeastern Nigeria. Journal of African Earth Sciences, 27(1), 149–163. 19. Okereke, C. S; Esu, E. O; Edet, A. E (1998).Determination of potential groundwater sites using geological and geophysical techniques in the Cross River State, Southeastern Nigeria. Journal of African Earth Sciences, 27(1), 149–163. 20. Short, K. C; Stauble A. J (1967). Outline of Geology of Niger Delta. American Association of Petroleum Geologist Bulletin, 51, 761–779. 20. Short, K. C; Stauble A. J (1967). Outline of Geology of Niger Delta. American Association of Petroleum Geologist Bulletin, 51, 761–779. 21. SON, (2007). Nigerian Standard for DrinkingWater Quality. Abuja, Nigeria: Standard Organization of Nigeria. 21. SON, (2007). Nigerian Standard for DrinkingWater Quality. Abuja, Nigeria: Standard Organization of Nigeria. 21. SON, (2007). Nigerian Standard for DrinkingWater Quality. Abuja, Nigeria: Standard Organiza 22. Ugbaja, A. N; Edet, A. E (2004). Groundwater pollution near shallow waste dump in southern Calabar, Southeastern Nigeria. Global Journal of Geological Science. 2(2), 199–206. 22. Ugbaja, A. N; Edet, A. E (2004). Groundwater pollution near shallow waste dump in southern Calabar, Southeastern Nigeria. Global Journal of Geological Science. 2(2), 199–206. Page 10/12 22. Ugbaja, A. N; Edet, A. E (2004). Groundwater pollution near shallow waste dump in southern Calabar, Southeastern Nigeria. Global Journal of Geological Science. 2(2), 199–206. 23. Washington State department of health (2016). https://fortress.wa.gov/doh/oderpass/ Figures 23. Washington State department of health (2016). https://fortress.wa.gov/doh/oderpass/ 23. Washington State department of health (2016). https://fortress.wa.gov/doh/oderpass/ Figures Page 10/12 Figure 1 Map of the study area showing dumpsite and sampling locations with an inset generalized geologic map of Cross River State showing the study area Figure 2 Map of the study area showing equipotential lines and flow direction Figure 3 Average distribution of the microbial indicators around the dumpsite and control points in dry season. Figure 2 Figure 2 Map of the study area showing equipotential lines and flow direction Figure 3 Average distribution of the microbial indicators around the dumpsite and control points in dry season. Average distribution of the microbial indicators around the dumpsite and control points in dry season. Average distribution of the microbial indicators around the dumpsite and control points in dry season. Page 11/12 Figure 4 Average distribution of the microbial indicators around the dumpsite and control points in wet season. Figure 4 Average distribution of the microbial indicators around the dumpsite and control points in wet season. Average distribution of the microbial indicators around the dumpsite and control points in wet season. Average distribution of the microbial indicators around the dumpsite and control points in wet seas Figure 5 Comparison of the microbial concentration with distance from the center of the dumpsite in the dry season Figure 6 Comparison of the microbial concentration with distance from the center of the dumpsite and static water level in the wet season Figure 6 Comparison of the microbial concentration with distance from the center of the dumpsite and static water level in the wet season Comparison of the microbial concentration with distance from the center of the dumpsite and static water level in the wet season Page 12/12 Page 12/12
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Response to Comment on “The effect of disease-modifying anti-rheumatic drugs on skeletal muscle mass in rheumatoid arthritis patients: a systematic review with meta-analysis”
Arthritis research & therapy
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LETTER Open Access Authors’ contributions Authors’ contributions Authors contributions The author(s) read and approved the final manuscript. Hein et al. Arthritis Research & Therapy (2022) 24:246 https://doi.org/10.1186/s13075-022-02932-5 Declarations The second point, about why we did not perform our analysis with the valued adjusted by size, is relevant and must be discussed. The main problem is because not all studies collected or mentioned that data, so the num- ber of studies in the meta-analysis would significantly decrease. Still, we agreed that adjusted muscle mass and not adjusted muscle mass are different measures, and we are planning to perform this analysis to add in a possible reply to this letter. Competing interests The authors declare that they have no competing interests. Competing interests The authors declare that they have no competing interests. Thales R. Hein*, Leonardo Peterson, Barbara J. Bartikoski, Juliana Portes, Rafaela C. Espirito Santo and Ricardo M. Xavier Thales R. Hein*, Leonardo Peterson, Barbara J. Bartikoski, Juliana Portes, Rafaela C. Espirito Santo and Ricardo M. Xavier Ricardo M. Xavier Finally, with the last point, we agreed that DEXA and BIA are different methods of body composition measure and that could lead to confusion in results. Our group decided to perform another meta-analysis separating studies that used DEXA from studies that used BIA and add that data in a reply to this letter. Dear authors,h Thank you for reading our paper and for the critical analysis. All suggestions are relevant, and the issues were deeply discussed by our group to solve them.i About the first point raised by the authors, we agreed that we had lesser papers about anti-TNF therapy included. However, we revised our inclusion/exclusion criteria, and we decided to still not include the men- tioned papers. These studies presented relevant data, but methodological issues such as therapy regimen force us to exclude them. Authors’ contributions The author(s) read and approved the final manuscript. © The Author(s) 2022. Open Access This article is licensed under a Creative Commons Attribution 4.0 International License, which permits use, sharing, adaptation, distribution and reproduction in any medium or format, as long as you give appropriate credit to the original author(s) and the source, provide a link to the Creative Commons licence, and indicate if changes were made. The images or other third party material in this article are included in the article’s Creative Commons licence, unless indicated otherwise in a credit line to the material. If material is not included in the article’s Creative Commons licence and your intended use is not permitted by statutory regulation or exceeds the permitted use, you will need to obtain permission directly from the copyright holder. To view a copy of this licence, visit http://​creat​iveco​mmons.​org/​licen​ses/​by/4.​0/. The Creative Commons Public Domain Dedication waiver (http://​creat​iveco​ mmons.​org/​publi​cdoma​in/​zero/1.​0/) applies to the data made available in this article, unless otherwise stated in a credit line to the data. Response to Comment on “The effect of disease‑modifying anti‑rheumatic drugs on skeletal muscle mass in rheumatoid arthritis patients: a systematic review with meta‑analysis” Thales R. Hein*, Leonardo Peterson, Barbara J. Bartikoski, Juliana Portes, Rafaela C. Espirito S Thales R. Hein*, Leonardo Peterson, Barbara J. Bartikoski, Juliana Portes, Rafaela C. Espirito Santo and Ricardo M. Xavier This reply refers to the comment available online at https://​doi.​org/​10.​1186/​ s13075-​022-​02931-6. *Correspondence: thaleshein@gmail.com Universidade Federal Do Rio Grande Do Sul, Rheumatology, Rua Ramiro Barcelos, 2350, Porto Alegre, RS 90035‑903, Brazil Publisher’s Note S i N i Publisher’s Note Springer Nature remains neutral with regard to jurisdictional claims in pub- lished maps and institutional affiliations. Universidade Federal Do Rio Grande Do Sul, Rheumatology, Rua Ramiro Barcelos, 2350, Porto Alegre, RS 90035‑903, Brazil © The Author(s) 2022. Open Access This article is licensed under a Creative Commons Attribution 4.0 International License, which permits use, sharing, adaptation, distribution and reproduction in any medium or format, as long as you give appropriate credit to the original author(s) and the source, provide a link to the Creative Commons licence, and indicate if changes were made. The images or other third party material in this article are included in the article’s Creative Commons licence, unless indicated otherwise in a credit line to the material. If material is not included in the article’s Creative Commons licence and your intended use is not permitted by statutory regulation or exceeds the permitted use, you will need to obtain permission directly from the copyright holder. To view a copy of this licence, visit http://​creat​iveco​mmons.​org/​licen​ses/​by/4.​0/. The Creative Commons Public Domain Dedication waiver (http://​creat​iveco​ mmons.​org/​publi​cdoma​in/​zero/1.​0/) applies to the data made available in this article, unless otherwise stated in a credit line to the data.
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http://deepblue.lib.umich.edu/bitstream/2027.42/192087/2/preoperative-ultrasound-guided-botulinum-toxin-a-injection-for-complex-ventral-wall-hernia-repair-one-tertiary-care-cent.pdf
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Preoperative Ultrasound Guided Botulinum Toxin A Injection for Complex Ventral Wall Hernia Repair: One Tertiary Care Center's Approach
Deep Blue (University of Michigan)
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OMIC S gy olo di urnal of Ra Jo OMICS Journal of Radiology Nall et al., OMICS J Radiol 2023, 12:11 ISSN: 2167-7964 Research Article Open Access Preoperative Ultrasound Guided Botulinum Toxin A Injection for Complex Ventral Wall Hernia Repair: One Tertiary Care Center’s Approach Christopher Nall1*, Dana Feraco2, Shashin Doshi3 and Madeline Niblock4 Radiology, Michigan Medicine, Taubmen Center, B1-140A, Ann Arbor, 48109, USA Radiology, Michigan Medicine, Taubmen Center, B1-140A, Ann Arbor, 48109, MI, USA 3 Radiology, Beaumont Health, 3601 W 13 Mile Rd, Royal Oak-48073, MI, USA 4 College of Osteopathic Medicine, Michigan State University, 965 Wilson Rd, East Lansing-48824, USA 1 2 Abstract Purpose: To discuss the utility of administrating botulinum toxin A (Botox) as an adjunct to surgical repair of complex abdominal wall hernias. Through discussion of the ultrasound-guided procedural technique and outcome data of one tertiary care center, it is our intention to bring awareness to this newer therapeutic option to facilitate the performance of this procedure at other care centers on a larger scale. Materials and methods: The procedure method of ultrasound-guided Botox injections and clinical course at one institution will be discussed. Outcome data including complications, achievement of primary fascial closure, rate of hernia recurrence, and patient population will be presented. Results: Preoperative ultrasound-guided botulinum toxin A injection is a safe and effective procedure in patients undergoing complex ventral abdominal wall hernia repair that helps facilitate primary closure of large abdominal wall defects. Conclusion: Awareness of this safe and effective preoperative image-guided procedure will help facilitate performance of this technique at more care centers, increasing the likelihood of primary closure of abdominal wall defects in more patients with large complex ventral hernias. Keywords: Abdominal wall hernia; Loss of domain; Ultrasound guided intervention; Botox Introduction Utilization of Botulinum Toxin A (BTA) has emerged as a promising technique for preoperative abdominal wall muscle relaxation [3]. A neurotoxin derived from Clostridium botulinum, BTA acts by blocking Abdominal wall reconstruction of complex ventral hernias presents several significant surgical challenges. Complex ventral hernias with loss of domain, described as large abdominal wall defects that cannot accommodate the abdominal viscera, occur when abdominopelvic contents distribute into the hernia sac (Figures 1-3) [1]. This herniation promotes increased lateral muscle retraction and abdominal wall muscle tension, causing difficulties with tissue approximation and subsequent risk for postoperative pain, compartment syndrome, and hernia recurrence [2-4]. Many of the current surgical techniques that aim to improve the preoperative expansion of the abdominal wall musculature, including pneumoperitonisation, myocutaneous fascial expanders, and component separation, are associated with high rates of post-operative wound infection and deep muscle injury, contributing to high costs and hernia recurrence rates [5,6]. Figure 1B: 56 y/o male with diastasis of the anterior abdominal wall. Axial (A) and sagittal (B) CT shows alarge ventral defect containing much of the mesentery and bowel. *Corresponding author: Christopher Nall MD, Radiology, Michigan Medicine, Taubmen Center, B1-140A, Ann Arbor, 48109, USA, E-mail: cnall@med.umich.edu Received: 16-Nov-2023, Manuscript No: roa-23-120254, Editor assigned: 18Nov-2023, Pre-QC No: roa-23-120254 (PQ), Reviewed: 30-Nov-2023, QC No: roa-23-120254, Revised: 06-Dec-2023, Manuscript No: roa-23-120254 (R), Published: 11-Dec-2023, DOI: 10.4172/2167-7964.1000504 Citation: Nall C, Feraco D, Doshi S, Niblock M (2023) Preoperative Ultrasound Guided Botulinum Toxin A Injection for Complex Ventral Wall Hernia Repair: One Tertiary Care Center’s Approach. OMICS J Radiol 12: 504. Figure 1A: 56 y/o male with diastasis of the anterior abdominal wall. Axial (A) and sagittal (B) CT shows alarge ventral defect containing much of the mesentery and bowel. OMICS J Radiol, an open access journal ISSN: 2167-7964 Copyright: © 2023 Nall C, 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. Volume 12 • Issue 11 • 1000504 Citation: Nall C, Feraco D, Doshi S, Niblock M (2023) Preoperative Ultrasound Guided Botulinum Toxin A Injection for Complex Ventral Wall Hernia Repair: One Tertiary Care Center’s Approach. OMICS J Radiol 12: 504. Page 2 of 5 Figure 2A: 60 y/o female with a large ventral hernia. Axial (A) and sagittal (B) CT images demonstrate the hernia containing large and small bowel. Figure 2B: 60 y/o female with a large ventral hernia. Axial (A) and sagittal (B) CT images demonstrate thehernia containing large and small bowel. different patients with ventral hernias with significant loss of domain, identified according to surgical consultation documentation. The first patient of the cohort later underwent two additional US-guided BTA injection procedures solely intended as an adjunct to pain relief and not with the intention of fascial closure. As such, this patient’s subsequent encounters were excluded from the data set. The US-guided procedures were performed by the Musculoskeletal Radiology division of a 1,110 bed-academic hospital in Southeast Michigan from May 2015 to July 2018. After obtaining Institutional Review Board (IRB) approval, outcome data following the US-guided BTA injection procedure and ventral hernia repair of these 24 patients were obtained through observational retrospective review of electronic medical records. All the hernias were described as “post-surgical” in etiology. Although variable, the target time frame for BTA injection was 4 weeks prior to hernia repair. Versed and Fentanyl were administered to provide conscious sedation by an independent radiology nurse throughout the duration of the procedure. The abdomen was prepared and draped in a sterile fashion. Each injection site was anesthetized with 1% lidocaine prior to the administration of BTA (Figure 4) [11]. 300 mg of BTA was diluted in 150 cc of normal saline and under real-time ultrasound guidance, a 20-gauge spinal needle was used to administer the dilute BTA into the muscle belly of the superior, mid, and inferior portions of the rectus abdominis and lateral wall muscles (transverse abdominis, internal oblique, and external oblique). Completed injection sites were subject to minor variations in procedure technique given the variability of the size of ventral defect, degree of muscle retraction, and target visibility. The rectus abdominis was frequently difficult to visualize due to significant thinning which caused concerns for safe injection and led to reduced administrations in that muscle region (Figure 6). An example of typical injected volumes and locations during the procedure are as follows (Figure 5) [12]: Right inferior oblique: 12 cc (4cc at each layer) Right mid oblique: 12 cc (4cc at each layer) Right superior oblique: 12 cc (4cc at each layer) Right inferior rectus abdominis: 4 cc Right mid rectus abdominis: 4 cc Figure 3: 48 y/o male with ventral hernia. Sagittal CT shows diastasis of the anterior abdominal wall extending from the subxiphoid level to the mid pelvis, containing small and large bowel. Right superior rectus abdominis: 4 cc Left inferior oblique: 12 cc (4cc at each layer) acetylcholine ligand-receptor binding at the neuromuscular junction, leading to flaccid paralysis of the local musculature. Commercially marketed as Botox and Dysport, BTA is frequently used for cosmetic procedures, dystonias, pain management, and spasticity disorders given its efficacy and duration of effects for up to 6 months from the time of administration. Since 2006, human and animal models have shown BTA’s preoperative paralytic efficacy on abdominal wall prior to operation via the lengthening and thinning of local musculature [7,8]. BTA administration may thus serve as a suitable candidate for assisting in the primary fascial closure of large hernia defects [9-13]. Methods and Material Patients with extensive ventral wall defects with loss of domain presented to the Musculoskeletal Radiology division for US-guided injection of BTA into the abdominal wall musculature. There were 26 instances of ultrasound (US)-guided administration of BTA on 24 OMICS J Radiol, an open access journal ISSN: 2167-7964 Figure 4: Graphic depicting the target anatomy and approach when localizing the lateral oblique muscleson ultrasound prior to injection. EO (external oblique muscle) IO (internal oblique muscle) TA (transverseabdominis muscle). Reproduced from Zendejas et al. 2013. Volume 12 • Issue 11 • 1000504 Citation: Nall C, Feraco D, Doshi S, Niblock M (2023) Preoperative Ultrasound Guided Botulinum Toxin A Injection for Complex Ventral Wall Hernia Repair: One Tertiary Care Center’s Approach. OMICS J Radiol 12: 504. Page 3 of 5 Figure 5: Location of target injection sites for BTA administration. Reproduced and adapted from Smootet al. 2011 [12]. Figure 6C: Anatomic targets for BTA injection. Axial CT (A) demonstrating the relevant anatomy with corresponding intra-procedural US images during (B) and following (C) the injection of the rectus abdominis and the lateral abdominal wall musculature (D,E). Rectus abdominis (RA), External oblique(E)O), Internal Oblique (IO), Transverse abdominis (TA). Figure 6A: Anatomic targets for BTA injection. Axial CT (A) demonstrating the relevant anatomy with corresponding intra-procedural US images during (B) and following (C) the injection of the rectus abdominis and the lateral abdominal wall musculature (D,E). Rectus abdominis (RA), External oblique(E)O), Internal Oblique (IO), Transverse abdominis (TA). Figure 6D: Anatomic targets for BTA injection. Axial CT (A) demonstrating the relevant anatomy with corresponding intra-procedural US images during (B) and following (C) the injection of the rectus abdominis and the lateral abdominal wall musculature (D,E). Rectus abdominis (RA), External oblique(E)O), Internal Oblique (IO), Transverse abdominis (TA). Figure 6B: Anatomic targets for BTA injection. Axial CT (A) demonstrating the relevant anatomy with corresponding intra-procedural US images during (B) and following (C) the injection of the rectus abdominis and the lateral abdominal wall musculature (D,E). Rectus abdominis (RA), External oblique(E)O), Internal Oblique (IO), Transverse abdominis (TA). Left mid oblique: 12 cc (4cc at each layer) Left superior oblique: 12 cc (4cc at each layer) Left inferior rectus abdominis: 4 cc OMICS J Radiol, an open access journal ISSN: 2167-7964 Figure 6E: Anatomic targets for BTA injection. Axial CT (A) demonstrating the relevant anatomy with corresponding intra-procedural US images during (B) and following (C) the injection of the rectus abdominis and the lateral abdominal wall musculature (D,E). Rectus abdominis (RA), External oblique(E)O), Internal Oblique (IO), Transverse abdominis (TA). Volume 12 • Issue 11 • 1000504 Citation: Nall C, Feraco D, Doshi S, Niblock M (2023) Preoperative Ultrasound Guided Botulinum Toxin A Injection for Complex Ventral Wall Hernia Repair: One Tertiary Care Center’s Approach. OMICS J Radiol 12: 504. Page 4 of 5 Left mid rectus abdominis: 4 cc Left superior rectus abdominis: 4 cc Measurements of the transverse diameter of the abdominal wall defect were obtained at the maximum defect width from the medial edge of the rectus abdominis on each side. The most recent axial abdominal CT available prior to BTA administration was used to determine these measurements. hernia repair. At 1-year post-op, 78% had experienced no recurrence (Figure 8). The mean age of the 24-patient cohort was 56 years and was predominantly male. Mean patient BMI at the time of BTA administration was 32.1. Most patients received a total of 10 to 12 injections (Table 1A and 1B). Mean hernia defect width was 15.8 *One patient in our cohort did not undergo hernia repair due to significant comorbidities. The post ventral hernia repair outcome data is therefore calculated using 23 patients total (Figure 7). Results 96% of our patient cohort achieved primary closure at the time of Figure 7D: Total number of BTA injections per procedure. Figure 7A: BMI distribution at the time of BTA injection. Figure 8A: 82 y/o male with a large ventral wall hernia defect and multiple dilated loops of small bowel.Preprocedural axial (A) and sagittal (B) CT images. The patient underwent US-guided BTA injections 2 months later in preparation for hernia repair. Figure 7B: Age distribution at the time of BTA injection. Figure 7C: Gender distribution of patients undergoing BTA injection. OMICS J Radiol, an open access journal ISSN: 2167-7964 Figure 8B: 82 y/o male with a large ventral wall hernia defect and multiple dilated loops of small bowel.Preprocedural axial (A) and sagittal (B) CT images. The patient underwent US-guided BTA injections 2 months later in preparation for hernia repair. Volume 12 • Issue 11 • 1000504 Citation: Nall C, Feraco D, Doshi S, Niblock M (2023) Preoperative Ultrasound Guided Botulinum Toxin A Injection for Complex Ventral Wall Hernia Repair: One Tertiary Care Center’s Approach. OMICS J Radiol 12: 504. Page 5 of 5 guided abdominal wall BTA injections prior to ventral hernia repair was reported. Among studies by Elstner et al. and Rodriguez-Acevedo et al., our cohort is one of the largest data sets to examine this topic to date [2,9]. Of the 23 patients who underwent ventral hernia repair, 96% of patients achieved primary closure. This finding is consistent with the published literature that has reported a closure rate of 83% when preoperative abdominal wall BTA injections were performed [8]. Abdominal hernia recurrence was experienced by 22% of the patients in our data set. This is a significant reduction in comparison to the recurrence rate of up to 53% when only surgical techniques, such as mesh and component separation, were utilized for ventral hernia repair [10]. All BTA injections were well tolerated and there were no reported procedure-related complications. Figure 8C: 82 y/o male 2.5 years after undergoing ventral hernia repair. Axial (C) and sagittal (D) CT images show the abdominal wall musculature is still well approximated. Conclusion Preoperative ultrasound-guided Botulinum Toxin a injection is a safe and effective procedure for patients undergoing complex ventral abdominal wall hernia repair that aids primary closure of large abdominal wall defects. Awareness of this emerging preoperative image-guided procedure will help facilitate the performance of this technique at more care centers, increasing the likelihood of primary closure of abdominal wall defects in many patients with large complex ventral abdominal wall hernias. Conflict of Interest There are no conflicts of interest. References 1. Azar FK, Crawford TC, Poruk KE (2017) Ventral hernia repair in patients with abdominal loss of domain: an observational study of one institution’s experience. Hernia 21: 245-252. Figure 8D: 82 y/o male 2.5 years after undergoing ventral hernia repair. Axial (C) and sagittal (D) CT images show the abdominal wall musculature is still well approximated. 2. Rodriguez-Acevedo O, Elstner KE, Jacombs A, Read J, Tomazini Martins R, et al. (2017) Preoperative Botulinum Toxin A Enabling Defect Closure and Laparoscopic Repair of Complex Ventral Hernia. Surg Endosc 32: 831-839. 3. Ibarra-Hurtado TR, Nuno-Guzman CM, Miranda-Oiaz AG, Troyo-Sanroman R, Navarra-Ibarra R, et al. (2014) Effect of botulinum toxin type A in lateral abdominal wall muscles thickness and length of patients with midline incisional hernia secondary to open abdomen management. Hernia 18: 647-652. 4. Gillion JF, Sanders D, Miserez M (2016) The economic burden of incisional ventral hernia repairs: a multicentric cost analysis. Hernia 20: 819-830. 5. Switzer NJ, Dykstra MA, Gill RS (2015) Endoscopic versus open component separation: systematic review and meta-analysis. Surg Endosc 29: 787-795. Table 1A: Achievement of primary surgical closure following US guided BTA injections (A) andrecurrence rate 1 year post-op (B). 6. McAdory S, Cobb WS, Carbonell AM (2009) Progressive preoperative pneumoperitoneum for hernias with loss of domain. Am Surg 75: 504-508. 7. Cakmak M, Caglayan F, Somuncu S (2006) Effect of paralysis of the abdominal wall muscles by botulinum A toxin to intraabdominal pressure: an experimental study. J Pediatr Surg 41: 821-825. 8. Farooque F, Jacombs A, Roussos R (2016) Preoperative abdominal muscle elongation with Botulinum Toxin A for complex incisional ventral hernia repair. ANZ J Surg 86: 79-83. Table 1B: Achievement of primary surgical closure following US guided BTA injections (A) and recurrencerate 1 year post-op (B). centimeters (cm) with a range of 4.9 to 29.2 cm. Average time from BTA injection to hernia repair was 49 days with a range of 8 to 133 days. 0 of 24 patients experienced a documented US-related complication. 5 of 23 patients experienced a surgical procedure-related complication such as post-operative fluid collection, chronic wound, or bowel perforation. Discussion Outcome data on 24 patients undergoing 26 preoperative USOMICS J Radiol, an open access journal ISSN: 2167-7964 9. Elstner KE, Jacombs AS, Read JW (2016) Laparoscopic repair of complex ventral hernia facilitated by pre-operative chemical component relaxation using Botulinum Toxin A. Hernia 20: 209-219. 10. Eriksson A, Rosenberg J, Bisgaard T (2014) Surgical treatment for giant incisional hernia: a qualitative systematic review. Hernia 18: 31-38. 11. Zendejas (2013) Outcomes of chemical component paralysis using botulinum toxin for incisional hernia repairs. World J Surg 37: 2830-2837. 12. Smoot D, Zielinski M, Jenkins D (2011) Botox A injection for pain after laparoscopic ventral hernia: a case report. Pain Med 12: 1121-1123. 13. Weissler JM, Lanni MA, Tecce MG, Carney MJ, Shubinets V, et al. (2017) Chemical component separation: a systematic review and meta-analysis of botulinum toxin for management of ventral hernia. J Plast Surg Hand Surg 20: 1-9. Volume 12 • Issue 11 • 1000504
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The effect of chronic soluble keratin supplementation in physically active individuals on body composition, blood parameters and cycling performance
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RESEARCH ARTICLE Open Access The effect of chronic soluble keratin supplementation in physically active individuals on body composition, blood parameters and cycling performance Emma M. Crum*, Yanita D. McLeay, Matthew J. Barnes and Stephen R. Stannard Crum et al. Journal of the International Society of Sports Nutrition (2018) 15:47 https://doi.org/10.1186/s12970-018-0251-x RESEARCH ARTICLE Open Access The effect of chronic soluble keratin supplementation in physically active individuals on body composition, blood parameters and cycling performance Emma M. Crum*, Yanita D. McLeay, Matthew J. Barnes and Stephen R. Stannard Crum et al. Journal of the International Society of Sports Nutrition (2018) 15:47 https://doi.org/10.1186/s12970-018-0251-x RESEARCH ARTICLE Open Access The effect of chronic soluble keratin supplementation in physically active individuals on body composition, blood parameters and cycling performance Emma M. Crum*, Yanita D. McLeay, Matthew J. Barnes and Stephen R. Stannard Crum et al. Journal of the International Society of Sports Nutrition (2018) 15:47 https://doi.org/10.1186/s12970-018-0251-x Crum et al. Journal of the International Society of Sports Nutrition (2018) 15:47 https://doi.org/10.1186/s12970-018-0251-x © 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. The effect of chronic soluble keratin supplementation in physically active individuals on body composition, blood parameters and cycling performance Emma M. Crum*, Yanita D. McLeay, Matthew J. Barnes and Stephen R. Stannard Abstract Background: Keratins are structural, thiol-rich proteins, which comprise 90% of total poultry feather weight. Their favourable amino acid profile suggests the potential for use as a protein source and ergogenic aid for endurance athletes, following treatment to increase digestibility. This study investigated whether 4 weeks of soluble keratin (KER) consumption (0.8 g/kg bodyweight/day) by 15 endurance-trained males would have favourable effects on body composition, blood and cardiorespiratory variables, and cycling performance, compared to casein protein (CAS). Methods: Supplementation was randomized, blinded and balanced, with a minimum eight-week washout period between trials. An exercise test to measure oxygen consumption during submaximal and maximal cycling exercise was completed at the start at and end of each intervention. Anthropometric (DEXA) and blood measures were made prior to and following each intervention period. Results: Total body mass and percentage body fat did not change significantly (p > 0.05). However, a significantly greater increase in bone-free lean mass (LM) occurred with KER compared to CAS (0.88 kg vs 0.07 kg; p < 0.05). While no change in LM was evident for the trunk and arms, leg LM increased (0.45 ± 0.54 kg; p = 0.006) from baseline with KER. KER was not associated with changes in blood parameters, oxygen consumption, or exercise performance (p > 0.05). Conclusions: These data suggest that KER is not useful as an ergogenic aid for endurance athletes but may be a suitable protein supplement for maximizing increases in lean body mass. Keywords: Dietary protein, Exercise, Skeletal muscle, Ergogenic aid, Performance, DEXA and are therefore considered a significant biological waste product. To reduce costs of waste disposal, feather meal is commonly used as a component of animal feed [4]. Yet at dietary concentrations of > 8%, its consumption is associ- ated with significant impairments in growth, weight gain and food intake, because, despite a favourable amino acid profile, its low digestibility renders much of the amino acids unavailable [5]. RESEARCH ARTICLE The effect of chronic soluble keratin supplementation in physically active individuals on body composition, blood parameters and cycling performance Background Keratin proteins are tough, insoluble compounds, which are composed of a tight network of disulfide bonds, cour- tesy of their high thiol content [1]. Poultry feathers con- tain ~ 90% of their total weight as keratin, which gives the material its characteristic light but rigid structure [2]. In New Zealand, chickens are widely bred for use in com- mercial meat production (~ 82,000,000 birds annually) [3], but their feathers, which represent ~ 10% of total chicken weight, are indigestible to humans and other monogastrics Conventional methods to improve digestibility have in- cluded hydrolysis, chemical and enzymatic processing treat- ments [1, 6]. However, during the cleaving of disulfide bonds, such methods also reduce the thiol content of kera- tin [6]. In addition, the oxidation processes involved in * Correspondence: E.Crum@massey.ac.nz School of Sport and Exercise, Massey University, Palmerston North, New Zealand * Correspondence: E.Crum@massey.ac.nz School of Sport and Exercise, Massey University, Palmerston North, New Zealand Participants Fifteen trained male cyclists, aged 18–50 years, were re- cruited from the regional cycle and triathlon communi- ties to participate in this study. The criteria for inclusion were regular participation in endurance cycling exercise, at least three times per week in the 3 months prior to commencement of the study, absence of any contraindi- cations to exercise or other procedures involved in the research, or allergy/objection to the consumption of dairy or animal products. Due to the novelty of the intervention, the effect size difference (between the CAS and KER conditions) was unknown. It is acknowledged that a larger sample size would have provided greater power; however, due to the small pool of individuals who fit the participation criteria, this was not possible. The average age, mass, percentage body fat and VO2max of the participants were 34 ± 11 years, 84.2 ± 13.9 kg, 21.5 ± 4.8% and 60.2 ± 8.7 ml.kg−1 min−1, respectively. Prior to participation, the participants were notified of all the potential risks and benefits associated with the study, and written and verbal consent were obtained. This study was approved by the University Human Ethics Committee, in accordance with the Declaration of Helsinki. Considering the improvements in erythrocyte and body composition parameters in rodents, KER has the potential to be used as an ergogenic supplement if the same changes can be induced in humans. The concentration of erythrocytes and Hb in whole blood are a significant limiting factor in oxygen (O2) transport and increases in these parameters are commonly targeted by performance enhancing inter- ventions for endurance athletes [10]. A greater lean to fat mass composition is also advantageous for such individuals, who benefit from an improved power-to-weight ratio [11]. However, apart from the aforementioned studies, the literature is scarce regard- ing soluble KER supplementation and is non-existent in humans. Procedures Design The study used a randomized, blinded, balanced crossover design, with two four-week intervention periods (INT1: intervention 1; INT2: intervention 2) involving supplemen- tation with either KER or a low-cysteine protein (“gold standard” sodium caseinate, CAS [9]). The interventions were separated by a minimum of 8 weeks to allow wash-out of any remaining traces of the supplement from the partici- pant. At the beginning of each intervention, participants performed a protocol involving submaximal and maximal exercise on a cycle ergometer to measure O2 consumption and exercise performance. Supplementation began one-week after the exercise testing and continued for 4 weeks. At the end of the supplementation protocol, the ex- ercise protocol was repeated. A diagram showing the time- line for one intervention is shown in Fig. 1. Therefore, using physically active healthy individ- uals, the purpose of this study was to compare the effects of 4 weeks of cycle training combined with KER or CAS supplementation on anthropometric, blood, cardiorespiratory and performance variables. Based on the observations of a study using a rodent model [9] and applying these to a repeated-measures cross-over design, we hypothesized that supplemen- tation with KER would result in an increased lean to fat mass ratio, a more favourable blood profile, and consequently improved performance during cycling Crum et al. Journal of the International Society of Sports Nutrition (2018) 15:47 Page 2 of 10 Page 2 of 10 exercise when compared to supplementation with the same amount of CAS. many previous methods of keratin extraction result in the production of peptides with strong off-tastes and odours, making the new product unpalatable [7]. Methods Recently, a proprietary controlled hydrolysis process has been developed using poultry feathers, which pro- duces a novel keratin product (KER) with a digestibility of ~ 83% in vivo, while maintaining a thiol component of ~ 87%. The procedure yields a protein powder which can be mixed with liquid and ingested as a drink, or formulated into a protein bar [7]. We have previously shown that ingestion of up to 40 g per day of soluble KER is safe and palatable when sup- plementing a balanced diet in humans [8]. Further, a rodent study by Wolber et al. (2016) indicated that the consumption of KER has potential benefits other than simply providing a cheap protein source (poultry feathers) [9]. Following the substitution of 50% of a casein (CAS) protein diet with KER in male Sprague–Dawley rats over a four-week period, blood profiles exhibited significant increases (~ 5%) in haematocrit (Hct) and haemoglobin content (Hb). In addition, dual-energy X-ray absorptiometry (DEXA) ana- lysis suggested an improvement in lean to fat mass ratio and increased femoral bone mineral density (BMD) in the KER-supplemented rats compared to CAS alone. However, in this small scale, controlled trial, measures were made only at the end of the dietary intervention (i.e., no repeat mea- sures), minimizing the statistical power. Supplementation During each intervention, participants consumed 0.8 g protein per kg bodyweight, per day (g.kg−1d−1), for 6 days per week, with one non-supplementation day each week. This was based off the recommended dietary intake for protein for males aged 18–70 of 0.84 g.kg−1d−1 [12]. Add- ing 0.8 g.kg−1d−1 with the assumption that the partici- pants would habitually consume about 0.8–1.0 g.kg−1d−1 Crum et al. Journal of the International Society of Sports Nutrition (2018) 15:47 Page 3 of 10 Fig. 1 Schematic representation of the study design of protein provided between 1.6–2.0 g.kg−1d−1. The provision of the supplement in addition to regular protein intake ensured that participants did not miss out on any amino acids usually derived from a normal diet. Because CAS and KER differ in their protein fractions (CAS: 0.91; KER: 0.87), the amount of supplement given in each inter- vention was calculated as providing the desired protein content, rather than as a certain amount of supplement. The supplement was consumed as two protein bars (of two different flavours), and the remainder of the protein requirement in powder form, which was mixed with water to form a drink; the macronutrient contents of the supple- ments are provided in Table 1 and the amino acid profiles are provided in Table 2. Participants received 1 week’s worth of supplements at the beginning of each week dur- ing the supplementation period and filled out a weekly health/side effects questionnaire to monitor for any ad- verse effects of supplementation. number US 13/381,766), which is described in detail by Kelly and Marsh [7] . Briefly, this involved treating keratin in an oxidizing solution at a low pH, and then heating the mixture to oxidize cysteine (CYS) residues in the protein. Subsequently, the mixture was cooled, and a base was added to raise the pH of the solution to form a protein salt. The solution was dried and milled to form a protein powder. The CAS supplement was purchased from Tatua (Morrinsville, New Zealand), and formed into a protein powder and bar of similar taste and protein content to KER by Keraplast Research Ltd. During the 3 weeks preceding, and throughout the duration of each trial, participants were asked to refrain from taking any form of supplement, including other protein powders or bars. Any prescribed supplements and/or medication were discussed with the researchers to deem whether they would have any potential effect on study measures. Supplementation The novel KER supplement was supplied by Keraplast Research Ltd. (Christchurch, New Zealand). KER was pro- duced from the feathers of white leghorn chickens via a patented minimal hydrolysis process (patent application Note: Supplements were consumed as two bars + protein powder totalling 0.8 g.kg−1 was ingested per day Body composition y p At the beginning of each study, the weight of each partici- pant was measured using a standard scale (Jadever, Taiwan; accurate to 0.01 kg). Body composition was evalu- ated prior to and following each trial using DEXA. This method is commonly accepted as the gold standard of body composition measurement and is used as a reference method for testing of other body composition systems [13]. After an overnight fast, subjects were scanned in a supine position and data on bone free lean mass (LM), fat mass (FM) and body fat percent (BF%) using DEXA soft- ware (APEX Software Version 4.5.3) were analysed. When differences were found, further analysis of body segments, i.e. leg, arm and trunk, was carried out to identify the loca- tion of these changes. To ensure neutrality, the technician operating and providing DEXA results was blinded to the treatments being investigated. To ensure consistency be- tween measurements, participants completed this test wearing underwear and a thin robe and were positioned on the table using their first scan position as a reference. recorded their daily training schedule using the online soft- ware, Training Peaks™(Boulder, Colorado, USA) to detail the mode, duration and distance of any exercise they com- pleted. The participants attended two one-hour cycle train- ing sessions per week at the laboratory—a steady-state and a high intensity exercise session—to replicate common ses- sions in a cycling training programme. The power outputs prescribed for each protocol were determined by calculation of various percentages of the participant’s VO2max, as deter- mined by their initial VO2max test. The first session con- sisted of a 15-min progressive warm-up, followed by two 15-min steady state intervals at 80%VO2max; these were sep- arated by 10 minutes at 60%VO2max and were followed by a five-minute cool down. The second session involved a five-minute warm-up followed by intervals of 1 minute at 85%, 90%, 100% VO2max, 30 s at 130% VO2max, then 1 mi- nute at 100%, 90%, and 85% VO2max. Light active recovery was given between intervals and a five-minute warm-down occurred at the end of the session. In additional to this pre- scribed exercise, participants completed their own training outside of the laboratory in their own time. To ensure train- ing was consistent across trials, training recorded during INT1 was replicated in INT2. Body composition The exercise test at the start of the two intervention periods was used to confirm that fit- ness levels were the same prior to each bout of supplemen- tation and indicated that the washout period had been sufficient. Dietary intake was also recorded during this time, using the online software, MyFitnessPal™(Under Armour, Baltimore, Maryland). Participants input each item of food Recording of diet and training Recording of diet and training Starting from 1 week prior, until the end of the post-exercise testing in each intervention, participants Table 1 Macronutrient contents of KER and CAS supplements Supplement Energy (kJ/100 g) Protein (g/100 g) Carbohydrate (g/100 g) Fat (g/100 g) KER powder 1536.9 69.0 17.7 1.7 CAS powder 1589.2 72.1 17.7 1.7 KER bar (banana) 1285.3 31.0 35.5 4.2 CAS bar (banana) 1306.1 32.2 35.5 4.2 KER bar (peanut) 1776.8 40.1 40.0 11.2 CAS bar (peanut) 1717.1 36.6 40.0 11.2 Note: Supplements were consumed as two bars + protein powder totalling 0.8 g.kg−1 was ingested per day Crum et al. Journal of the International Society of Sports Nutrition (2018) 15:47 Page 4 of 10 Page 4 of 10 Table 2 Amino acid profile (grams of anhydrous amino acid per 100 g of protein) for keratin (Kerapro) and casein proteins Kerapro Casein Alanine 4.2 2.9 Arginine 7.0 3.5 Aspartic Acid 7.6 7 Cysteinea 6.5 0.7 Glutamic Acid 11.8 23.2 Glycine 6.3 1.7 Histidine 0.5 2.6 Isoleucine 5.3 4.1 Leucine 8.3 9.2 Lysine 1.2 7.5 Methionine 0.4 2.8 Phenylalanine 4.6 4.9 Proline 10.0 10.7 Serine 10.6 5.6 Threonine 4.9 4.2 Tyrosine 2.1 5.4 Valine 8.8 5.3 aprimarily as cysteic acid Table 2 Amino acid profile (grams of anhydrous amino acid per 100 g of protein) for keratin (Kerapro) and casein proteins that they consumed during the required periods, and an as- sociated database determined the daily caloric and macro- nutrient intakes. The participants were asked to follow a similar diet in both interventions; however, it was not feas- ible for the diet to be replicated exactly. Side effects and blinding No side effects of either condition were reported, aside from some anecdotal comments of occasional sulfur-smelling flatulence with KER. Participants were blinded to the con- tents of the supplements and only one participant was able to confidently guess which condition they were on. Exercise protocols All exercise testing was completed in a fasted condition, on an electronically-braked ergometer (Lode Excalibur, Gro- ningen, The Netherlands) in thermoneutral conditions (18– 20 °C). The four-stage, submaximal exercise test measured O2 consumption (VO2) at four submaximal workloads dur- ing cycling exercise. Following a five-minute warm-up at 100 W, participants completed four, seven-minute stages of increasing workload (e.g. 150, 200, 250, 300 W) with expired air being collected into Douglas Bags during the last minute of each stage and analysed for O2 and CO2 concentrations and volume. Following a five-minute active rest period, an incremental “ramp” protocol was used to determine VO2max. Power began at 100 W and increased linearly with time (25 W.min−1). Participants cycled for as long as possible and verbal encouragement was given to elicit maximal ef- fort. As the participant’s VO2max was approached (as indi- cated by a change in breathing pattern), expired air was captured in Douglas bags until exhaustion. Analysis of Douglas bags was done using a calibrated gas analysing sys- tem (AD Instruments, Dunedin, New Zealand). The gas analyser was calibrated using gases of known concentration (15.01% O2, 5.01% CO2). Minute ventilation (VE) and con- centrations of O2 and CO2 values were used to calculate the volume of inspired air (VI) using the Haldane transform- ation, where VE was corrected for barometric pressure, am- bient temperature and atmospheric water saturation. Page 5 of 10 Crum et al. Journal of the International Society of Sports Nutrition (2018) 15:47 Page 5 of 10 Subsequently, VO2 and expired CO2 (VCO2) could be de- termined and are reported as standard temperature and pressure dry (STPD). The respiratory exchange ratio (RER) was calculated using VCO2/VO2 and attainment of VO2max was confirmed with RER ≥1.1. In accordance with Schlader ZJ, Raman A, Morton RH, Stannard SR and Mündel T [14], a relationship between steady-state workload and VO2 values was drawn through creation of a power curve and generation of a linear line equation y = mx + c, where m = gradient, x = power and c = start point. The equation was used to estimate power output at 65% of VO2max. Subsequently, VO2 and expired CO2 (VCO2) could be de- termined and are reported as standard temperature and pressure dry (STPD). The respiratory exchange ratio (RER) was calculated using VCO2/VO2 and attainment of VO2max was confirmed with RER ≥1.1. Blood sampling Fasted blood samples were taken at start, mid (2 weeks) and post-intervention time points. The pre-intervention blood sample was taken on the first day of supplementa- tion, prior to ingestion of the supplement and the post-intervention sample was taken prior to the post-intervention exercise test (see Fig. 1). The sample was collected from a vein in the area of the antecubital fossa of either arm using a needle and vacutainer (BD, New Jersey, USA) in ethylenediaminetetraacetic acid (EDTA) vacutai- ners (~ 4 ml), and then immediately transferred to a fridge (~ 2 °C) and analysed within 48-h. Exercise protocols In accordance with Schlader ZJ, Raman A, Morton RH, Stannard SR and Mündel T [14], a relationship between steady-state workload and VO2 values was drawn through creation of a power curve and generation of a linear line equation y = mx + c, where m = gradient, x = power and c = start point. The equation was used to estimate power output at 65% of VO2max. determine the main effects of, and interactions between, treatment (KER vs. CAS), exercise stage (1–4) and time point during the intervention (beginning vs. end). Power output at VO2max (PO), body composition variables and dietary information were analysed using two-way, re- peated measures ANOVA (treatment x time). Blood vari- ables were also analysed using two-way repeated measures ANOVA (treatment x time) for significant differences between variables at pre, mid and post-intervention time points. In all analyses, Mauchly’s Test of Sphericity was used, and if aspherity had been detected, the Greenhouse–Geiser correction would have been applied. However, this was not necessary in any case. Following each ANOVA, where sig- nificant main effects or interactions were observed, two-tailed paired t-tests with a Fisher’s Least Significant Difference (Fisher’s LSD) post-hoc analysis were used to identify the location of the significance. The effect sizes (ES) of significant interactions were calculated using Cohen’s d with the equation Cohen’s d = (M2 – M1)/ SDpooled. In accordance with Cohen J [17], effect sizes were classified as small (0.1), medium (0.5) or large (0.8). Data is presented as mean ± standard deviation (SD) or mean change and 95% confidence interval (CI) as appropriate. Graphs were produced using Prism 6.0 (GraphPad Soft- ware, CA, USA). Diet and training The specific erythrocyte parameters recorded were total erythrocyte count (RBC), haemoglobin (Hb) volume, haematocrit volume (Hct), mean cell volume (MCV) (the average volume of individual erythrocytes), mean cell haemoglobin concentration (MCH) and mean cell haemo- globin concentration relative to erythrocyte cell volume (MCHC). The total number of leukocytes (WBC) in whole blood was also measured. Participants attended all compulsory training sessions at the laboratory and reported that they followed the same training plan in both interventions. Five participants did not fully complete their food diary and were therefore excluded from the dietary analysis. The supplements (KER and CAS) provided to participants did not differ in energy, protein, fat or carbohydrate content (all p > 0.05). When the supplements were not included, repeated measures ANOVA revealed that there were no sig- nificant main effects of treatment on total energy in- take from food during both four-week interventions (F1,9 = 0.137, p = 0.14). There was a main effect of treatment on protein intake, with subjects consum- ing significantly less protein during all 4 weeks (pooled) of KER (−14.1 g, 95% CI, −26.7, −1.5, F1,9 = 6.37, p = 0.033, ES = 0.5). Blood analysis Whole blood samples were analysed by full blood count, using a fully-automated bench-top, five-part differential haematology analyser (LH 500, Beckman Coulter, Fullerton, CA, USA). The LH500 analyser has previously been vali- dated against other such devices and with the haemoglobin- cyanide method, which is the reference method recommended by the International Committee for Standardization in Haematology [15, 16]. The analyser was calibrated prior to use as per the manufacturer’s recommen- dations and had shown acceptable performance on profi- ciency testing. Body composition Table 4 Percentage changes in lean body mass of body segments following supplementation with KER and CAS Body Segment KER CAS Whole body 1.4 ± 2.3 0.2 ± 1.8 Left leg 2.1 ± 3.2a 0.25 ± 2.2 Right leg 1.9 ± 2.3a −0.64 ± 1.9 Left arm 1.4 ± 4.7 No change Right arm 1.2 ± 3.5 No change Trunk 0.92 ± 3.1 0.85 ± 2.3 aIndicates significantly different from CAS (p ≤0.05). Data are mean percentage change ± standard deviation y p When treatment was pooled (main effect of time) BF% and FM did not change during the 4 weeks (BF% F1,14 = 1.00, p = 0.33; FM, F1,14 = 0.14, p = 0.71). Similarly, there was no main effect of treatment (BF%, F1,14 = 0.022, p = 0.89; FM, F1,14 = 0.96, p = 0.34), and no treatment x time interaction was evident for either measurement (BF%, F1,14 = 1.47, p = 0.25, FM, F1,14 = 0.182, p = 0.68). There were no main effects on LM to FM ratio for either treatment (F1,14 = 0.113, p = 0.74) or time (F1,14 = 1.10, p = 0.31), nor was there an interaction effect (F1,14 = 1.82, p = 0.15). Changes in key anthropometric variables are outlined in Table 3 and segmented percentage changes in lean muscle mass are shown in Table 4. Table 5. There were no significant main effects of treatment on RBC (F1,14 = 0.616, p = 0.45), Hb (F1,14 = 0.645, p = 0.44), Hct (F1,14 < 0.0001, p = 0.99), MCV (F1,14 = 0.716, p = 0.41), MCH (F1,14 = 0.182, p = 0.68), MCHC (F1,14 = 1.02, p = 0.33) or WBC (F1,14 = 1.44, p = 0.25) during the supplementation period. There were also no main effects of time on RBC (F1,14 = 2.37, p = 0.11), Hb (F1,14 = 0.683, p = 0.51), Hct (F1,14 = 1.86, p = 0.18), MCH (F1,14 = 0.086, p = 0.92), MCHC (F1,14 = 0.235, p = 0.79), MCV (F1,14 = 0.547, p = 0.59) or WBC (F1,14 = 0.680, p = 0.52). Although there was no main effect of either treatment (F1,14 = 0.879, p = 0.36) or time (F1,14 = 2.83, p = 0.12) on whole body LM, a significant treatment x time interaction was evident (F1,14 = 4.80, p = 0.043). Body composition Post hoc testing indi- cated that LM significantly increased from baseline during KER (+ 0.88 kg, 95% CI, 1.7, 0.12, F1,14 = 6.09, p < 0.03, ES = 0.1); however, there was no significant change in the CAS condition (+ 0.07 kg, 95% CI, −0.61, 0.75, F1,14 = 0.046, p = 0.83). The analysis of changes in LM of body segments revealed no main effect of time (F1,14 = 2.27, p = 0.15) or treatment (F1,14 = 0.254, p = 0.62) and no treatment x time interaction (F1,14 = 0.079, p = 0.78) on trunk LM. Similarly, no change was seen in arm LM over time (F1,14 = 0.38, p = 0.55), or be- tween treatments (F1,14 = 1.24, p = 0.28) and there were no treatment x time interaction effects (F1,14 = 3.86, p = 0.07). Significant treatment x time effects were found for leg LM (F1,14 = 15.2, p = 0.002) with LM increasing significantly from baseline with KER only (0.45 kg, 95% CI, 1,5, 7.4, F1,14 = 10.3, p = 0.006, ES = 0.2) while no change was evi- dent for CAS (−0.04 kg, 95% CI, −2.5, 1.6, F1,14 = 0.222, p = 0.65). No main effects of time (F1,14 = 4.01, p = 0.07) or treatment (F1,14 = 2.14, p = 0.17) were found for leg LM. Statistical analysis Statistical analyses were done using SPSS Statistics, Version 23(IBM Corporation, New York). Statistical significance was accepted when p ≤0.05, while a tendency was noted when p ≤0.1. The expired gas variables taken during the four-stage submaximal protocol and VO2max tests (VO2, VCO2) were analysed using three-way, repeated measures ANOVA to Crum et al. Journal of the International Society of Sports Nutrition (2018) 15:47 Crum et al. Journal of the International Society of Sports Nutrition (2018) 15:47 Page 6 of 10 Table 4 Percentage changes in lean body mass of body segments following supplementation with KER and CAS Cardiorespiratory data The cardiorespiratory data is presented in Table 6. The four stages during the steady-state exercise test corresponded to ~ 42, 54, 65 and 73% of the participants’ initial VO2max. There were no main effects of treatment on VO2 (F1,13 = 2.70, p = 0.13) or VCO2 (F1,13 = 0.12, p = 0.73) during the four-stage steady-state submaximal exercise or in VO2max (F1,12 = 1.48, p = 0.25) or VCO2max (F1,12 = 0.73, p = 0.411) during the VO2max test. Further, there were no significant changes from pre to post-intervention in VO2 (F1,13 = 0.53, p = 0.48), VCO2 (F1.13 = 0.77, p = 0.52) or VCO2max (F1,12 = 0.006, p = 0.94). There was a trend towards an increase in VO2max post-intervention compared to pre-intervention (F1,12 = 3.67, p = 0.08). Blood variables Journal of the International Society of Sports Nutrition (2018) 15:47 Page 7 of 10 Table 5 Blood variables measured at pre-, mid- and post-intervention time points during supplementation with either KER or CAS protein Table 5 Blood variables measured at pre-, mid- and post-intervention time points during supplementation with either KER or CAS protein Keratin Casein Pre Mid Post Pre Mid Post RBC (× 1012/L) 5.0 ± 0.3 5.0 ± 0.3 5.0 ± 0.3 5.1 ± 0.3 5.0 ± 0.2 5.0 ± 0.3 Hct (%) 44.8 ± 2.0 43.9 ± 1.7 44.7 ± 2.0 44.7 ± 2.5 44.2 ± 1.7 44.5 ± 1.9 Hb (g.L−1) 149 ± 6 147 ± 6 148 ± 7 148 ± 7 148 ± 5 150 ± 6 MCV (fL) 89.4 ± 2.8 88.9 ± 2.8 89.0 ± 2.3 88.8 ± 3.6 89.0 ± 3.3 88.5 ± 3.4 MCH (pg) 29.7 ± 1.1 29.7 ± 1.3 29.6 ± 1.3 29.6 ± 1.4 29.8 ± 1.1 29.7 ± 1.2 MCHC (g/L−1) 332 ± 8 334 ± 12 332 ± 11 334 ± 15 335 ± 11 336 ± 9 WBC (× 109/L) 5.7 ± 1.0 6.0 ± 1.3 5.7 ± 0.7 6.0 ± 1.2 6.1 ± 1.0 5.9 ± 1.0 stage one of the exercise (+ 2.0 ± 0.7 ml.min.kg−1, 95% CI, 0.2, 3.9, F1,12 = 5.8, p < 0.04, ES = 0.1). supplementation with the same amount of CAS, there were no significant differences between treatments in any of the measured blood or cardiorespiratory parame- ters. Further, KER did not alter the maximal PO attained during a VO2max test. As expected, there was also a highly significant in- crease in all pulmonary gas exchange and ventilatory pa- rameters as the intensity of exercise increased (F1,12 = 137, p < 0.0001). Although the beneficial effects of protein supple- mentation on LM and type I and II fibre cross sec- tional area during periods of resistance exercise have been extensively researched [18], little is known about the effects of protein supplementation on body composition during a period of endurance training. Cycling exercise has previously been shown to in- crease LM, particularly in the legs, however these observed changes have only been investigated after a prolonged period of training (i.e., twelve weeks [19]. Blood variables There was a significant treatment x time interaction for VCO2 (p < 0.02), with post-hoc analysis showing greater values following KER compared to CAS, only in The blood parameter values for pre, mid and post-supplementation with CAS and KER are presented in Table 3 Key anthropometric variables, as measured via DEXA, after 4 weeks of cycling exercise and a diet supplemented with either KER or CAS protein Keratin Casein Pre Post Pre Post % BF 22.5 ± 4.3 22.2 ± 4.3 22.4 ± 4.7 22.4 ± 4.6 Lean mass (kg) 61.0 ± 8.2 62.0 ± 8.4a 61.7 ± 8.3 61.8 ± 8.1 Fat mass (kg) 19.1 ± 6.9 19.0 ± 6.6 19.2 ± 7.3 19.3 ± 7.2 Total Mass (kg) 85.1 ± 14.3 86.0 ± 14.1 86.3 ± 14.7 86.2 ± 14.3 Lean to fat ratio 3.4 ± 0.8 3.5 ± 0.9 3.5 ± 0.9 3.5 ± 0.9 Bone mineral density (g/cm2) 1.3 ± 0.1 1.3 ± 0.1 1.3 ± 0.1 1.3 ± 0.2 Note:a denotes significantly different to Pre (p ≤0.05) etric variables, as measured via DEXA, after 4 weeks of cycling exercise and a diet supplemented with either Crum et al. Blood variables Similarly, changes of up to 1 kg in whole body LM, as a result of resistance exercise and protein supple- mentation, are reported to occur after approximately twelve weeks [18]; given this magnitude of change and duration of resistance exercise training, the 1 kg increase in total lean mass and especially leg LM of approximately 0.5 kg is surprising—even more so when it is considered that the participants were already endurance cycling trained. The fact therefore, that significant increases in leg LM with KER, but not CAS, after only 4 weeks suggests that KER may have a potent effect on muscle protein synthesis, when paired with exercise. Whether this benefit is Performance variables There was no significant main effect of treatment on the maximal PO achieved during the VO2max test (F1,14 = 0.45, p = 0.51) and no significant treatment x time inter- action (p = 0.23) (Fig. 2). Regardless of treatment, there was a significant increase in maximal PO at post- com- pared to pre-intervention (+ 12 W, 95% CI, 2, 22, F1,14 = 6.97, p = 0.02, ES = 0.2). Accordingly, PO at 65%VO2max showed a strong trend towards being greater at post- compared to pre-exercise time-points (+ 7 W, 95% CI, − 0.1, 14, F1,14 = 4.44, p = 0.054, ES = 0.2), although this was not affected by treatment (F1,14 = 0.065, p = 0.80). Discussion Nevertheless, in relation to the latter, an increase in total thiol availability may some- how enable a faster LM accretion in muscles undergoing chronic contraction (exercise program). Clearly, mechanis- tic data is needed prior to any strong explanation being formed. Further, this study compared KER versus intake of a CAS supplement but did not include a non-supplemented condition. Therefore, we are unable to conclude whether supplementing with any type of protein is better than not supplementing at all. even greater with resistance exercise is certainly in- triguing and worth further investigation. Although significant effort was made to limit variation in exercise training and dietary intake between interven- tions, these factors could not be completely controlled, which presented a limitation to our results. Analyses of the supplemented and habitual diets, using self-reported rather than gold-standard weighed records, indicated no difference in total energy intake between conditions. Further, the protein and energy contents of the supple- ments were not different between conditions. However, there was a slight, but significantly greater protein in- take, from non-supplemental food, during the CAS con- dition (+ 2.0 ± 0.7 ml.min.kg−1). That LM increased in the KER condition whilst less protein was ingested is contrary to expectations. We are unable to explain this observation, though it emphasises the anabolic effect of KER. Only one participant claimed to be able to detect a difference in the KER and CAS supplements, so it is very unlikely that conscious behaviour was the cause of the different protein intake. The lack of change in blood parameters with KER in the current study is in contrast to the Wolber F et al. [9] study, which measured significant increases in Hct and Hb (both ~ 5%) in rats, following a four-week period of partial sup- plementation of a CAS diet with KER. Further, our results do not align with research involving another supplement with a similar thiol content, N-acetylcysteine (NAC), which has been associated with significant increases in plasma erythropoietin (EPO) (26%), Hct (10%), Hb (10%), MCV (12%) and MCH (3%) following 8 days of supplementation (1200 mg.d−1) in untrained individuals [22]. It is possible that the previously-described effects of thiol supplementa- tion on blood parameters may not occur in trained athletes, such as those who participated in the current study. Discussion The purpose of this study was to compare the effects of supplementation with a cysteine-rich (KER) versus a low-cysteine (CAS) protein on anthropometric, blood, cardiorespiratory and performance variables during 4 weeks of aerobic exercise in physically fit individuals. While KER did result in a significant increase in LM, essentially in the lower limbs, when compared to Table 6 Cardiorespiratory variables, measured during the maximal oxygen consumption test Table 6 Cardiorespiratory variables, measured during the maximal oxygen consumption test VO2 VCO2 Table 6 Cardiorespiratory variables, measured during the maximal oxygen consumption test VO2 VCO2 Keratin Casein Keratin Casein Pre Post Pre Post Pre Post Pre Post Stage-1 24.8 ± 3.2 27.9 ± 6.6 24.5 ± 4.1 26.5 ± 3.7 21.1 ± 3.0 22.4 ± 3.2 20.9 ± 4.1 22.6 ± 3.9 Stage-2 33.2 ± 4.0 34.7 ± 9.0 32.4 ± 4.1 32.8 ± 5.0 29.0 ± 3.9 28.0 ± 4.3 28.1 ± 4.1 28.5 ± 5.5 Stage-3 38.7 ± 4.4 41.1 ± 9.4 38.4 ± 4.9 39.5 ± 7.5 33.5 ± 4.3 33.7 ± 5.1 33.7 ± 5.2 34.0 ± 6.7 Stage-4 43.6 ± 5.5 45.5 ± 9.4 43.7 ± 5.3 45.7 ± 9.0 38.9 ± 5.5 38.0 ± 5.5 38.8 ± 5.1 38.3 ± 6.8 Exhaustion 59.8 ± 9.2 62.0 ± 9.5 60.7 ± 10.3 62.9 ± 10.7 63.9 ± 11.9 64.9 ± 10.8 65.0 ± 12.6 64.7 ± 11.1 Crum et al. Journal of the International Society of Sports Nutrition (2018) 15:47 Page 8 of 10 Page 8 of 10 Fig. 2 Power output at VO2max, pre- and post-supplementation with CAS and KER. Values are means ± SD conducive, when superimposed on a habitual diet, to maximize lean body mass. Without prior published work it is difficult to provide a comparison. However a preceding rodent study [9] comparing CAS and KER supplementation suggested that KER may promote LM gain, although the re- sults did not reach significance. There is an earlier pub- lished report that increasing the sulfur amino acid content (specifically CYS and methionine) above a CAS-based diet, in rodents at least, maximises weight gain [21]. That study, however, firstly did not partition between fat gain and lean mass, and secondly the processing of the raw keratin to produce the supplement used in the present study produces cysteic acid rather than CYS. Discussion Alter- natively, previous research has found KER to have a digest- ibility of 78% in rats [9], but it is possible that the thiol content of the supplement was not digested sufficiently in our human participants. However, this is speculative, be- cause digestibility was not measured in the current study. An explanation to these interesting LM observations may be twofold. Firstly, it is possible that supplementation with CAS is not conducive to maximizing LM during an aerobic exercise program when protein intake is increased above habitual levels. Few studies have identified the effects of CAS supplementation over a prolonged period of exercise; however Verdijk et al. [20] found no benefit of supplement- ing with 20 g of CAS, 10 g before and after resistance exer- cise, in the diet of older adults who already consumed enough protein. Similarly, no benefit of CAS supplementa- tion in participants whose daily protein intake was already > 1.1 g/kg body weight, was evident here. This lack of change occurred irrespective of an increase in protein con- sumption of 2.14 ± 0.47 g/kg body weight and a significant increase in daily energy consumption. A second explan- ation is that the amino acid profile of soluble KER is more Considering the lack of change in erythrocyte parame- ters, it is unsurprising that KER was not associated with any changes in VO2 or performance during the VO2max test. Our hypothesis was based on the major role of erythrocytes in transporting O2 from the pulmonary sys- tem to the active muscles, and thus we assumed that any significant change in RBC, Hb or Hct would also lead to improved O2 transport. However, despite observing im- provements in erythrocyte parameters following NAC supplementation, Zembron-Lacny et al. [22] did not measure any differences in VO2max values obtained in a graded cycling test to exhaustion. Further, Kelly et al. [23] proposed that NAC supplementation (1800 mg) Page 9 of 10 Crum et al. Journal of the International Society of Sports Nutrition (2018) 15:47 Page 9 of 10 4 week period. Secondly, soluble KER may provide a more effective alternative to CAS as a protein supplement in those who wish to increase lean body mass in conjunction with an aerobic exercise program. These people potentially include older adults, athletes, and persons in the recovery phase of medical intervention or sickness where maximal rates of lean body mass accretion are necessary. Funding This study was funded by a Massey University Doctoral Research Dissemination Grant. The consumables required for this study were part- funded by Keraplast Research LTD. The funders had no influence on study design, implementation, data analysis, and interpretation, nor did they con- tribute to investigator income. Conclusions Despite not inducing any significant changes in blood pa- rameters, VO2 or performance measures, KER was well-tolerated by participants, and has the potential to be used as a high-protein supplement. Taken together with our previous study [8] we are confident that this food can be safely included in the diet of healthy adults for at least a Acknowledgements Th h ld l k The authors would like to thank the cyclists from the local cycling and triathlon communities who took part in the study and the Massey Institute of Food Science and Technology, who performed the blood and DEXA analyses. Discussion The use of KER supplementation in strength-based athletes is thus an area of future research. could improve VO2 through reducing respiratory muscle fatigue, thereby allowing faster O2 transfer into the blood stream. However, despite inducing an increase in the mean maximal inspiratory pressure during cycling at 85% VO2max, they showed no significant changes in VO2. Thus, based on previous literature and the current study, it appears that the provision of exogenous CYS, either as cysteic acid in KER, or as NAC, is not associ- ated with improvements in O2 transport capacity. Although VCO2 was generally not affected by treatment, there was an increase in values in stage 1 of the submaxi- mal test only, which despite having a small effect size (ES = 0.1) was statistically significant. However, because this find- ing did not correspond to any of other measures, we are unable to determine whether this change was a true effect of KER or due to a type I or II error, particularly as the re- sult of the small sample size. Abbreviations BF% B d f BF%: Body fat percentage; BMD: Bone mineral density; CAS: Sodium caseinate; CI: Confidence interval; CYS: Cysteine; DEXA: Dual X-ray absorpti- ometry; EDTA: Ethylenediaminetetraacetic acid; ES: Effect size; Fisher’s LSD: Fisher’s Least Significant Difference; FM: Fat mass; Hb: Haemoglobin; Hct: Haematocrit; INT: Intervention 2; INT1: Intervention 1; KER: Novel keratin product; LM: Lean mass; MCH: Mean cell haemoglobin concentration; MCHC: Mean cell haemoglobin concentration relative to erythrocyte cell volume; MCV: Mean cell volume; PO: Power output; RER: Respiratory exchange ratio; SD: Standard deviation; STPD: Standard temperature and pressure dry; TTE: Time to exhaustion; VCO2: Volume of expired carbon dioxide; VE: Minute ventilation; VI: Volume of inspired air; VO2: Rate of oxygen consumption; VO2max: Maximal rate of oxygen consumption p The absence of change in maximal PO in the VO2max in the current study with KER was also observed by Zembron-Lacny et al. [22] following 8 days supplementa- tion with NAC in untrained individuals. Further, oral intake of thiol-containing supplements has not significantly im- proved performance in handgrip [24] or cycling time to ex- haustion (TTE) protocols [25]. In addition, although Corn and Barstow [26] measured an increase in TTE with oral NAC supplementation (6000–7800 mg) during cycling at 80% of maximal PO, performance in tests at 90, 100 and 110% of maximal PO was not affected. Similarly Slattery et al. [27] demonstrated improvements in repeated sprint per- formance, but no change in total work or mean PO during a simulated cycling race by highly-trained athletes, follow- ing 9 days of NAC supplementation (1200 mg.d−1). In con- trast, Medved et al. [28] measured a large (~ 26%) increase in TTE during cycling at 90% VO2max, when a constant intravenous infusion of NAC was given during exercise to untrained but healthy individuals. Thus, it appears that thiol-containing supplements are most beneficial if taken in very large doses during exercise, a method which is imprac- tical and disallowed in athletic competition. However, al- though this study observed no change in performance during a VO2max test, it is possible that significant changes may have occurred with a different exercise protocol or with a larger sample size. Nevertheless, the absence of sig- nificant changes in the measured blood and cardiorespira- tory variables do not indicate that KER has potential as an ergogenic aid during endurance cycling. Authors’ contributions SS, EC and YM designed the study. EC and YM conducted the study. SS, EC, YM and MB analysed the data. SS, MB and EC wrote the paper. SS had primary responsibility for the final content. All authors read and approved the final content. Availability of data and materials The datasets used and/or analysed during the current study are available from the corresponding author on reasonable request. Competing interests Keraplast Research (LTD) manufactured and supplied the Kerapro supplements for the research and also contributed to the cost of the DEXA measurements. EC was supported by a Massey University Doctoral Scholarship and YM, a Callaghan Innovation Doctoral Scholarship. The remaining authors received no payment or financial support from Keraplast Research or other external agency. Ethics approval and consent to participate Written and verbal consent were obtained by all participants prior to commencement of the study. This study was approved by the University Human Ethics Committee, in accordance with the Declaration of Helsinki. Publisher’s Note Springer Nature remains neutral with regard to jurisdictional claims in published maps and institutional affiliations. Page 10 of 10 Page 10 of 10 Page 10 of 10 Crum et al. Journal of the International Society of Sports Nutrition (2018) 15:47 Crum et al. Journal of the International Society of Sports Nutrition (2018) 15:47 Received: 29 May 2018 Accepted: 11 September 2018 Received: 29 May 2018 Accepted: 11 September 2018 24. Smith JR, Broxterman RM, Ade CJ, Evans KK, Kurti SP, Hammer SM, Barstow TJ, Harms CA. Acute supplementation of N-acetylcysteine does not affect muscle blood flow and oxygenation characteristics during handgrip exercise. Physiological Rep. 2016;4:e12748. References 25. Bailey SJ, Winyard PG, Blackwell JR, Vanhatalo A, Lansley KE, DiMenna FJ, Wilkerson DP, Campbell IT, Jones AM. Influence of N-acetylcysteine administration on pulmonary O 2 uptake kinetics and exercise tolerance in humans. Respir Physiol Neurobiol. 2011;175:121–9. 1. Korniłłowicz-Kowalska T, Bohacz J. Biodegradation of keratin waste: theory and practical aspects. Waste Manag. 2011;31:1689–701. 1. 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Wellington, New Zealand: Ministry of Agriculture and Forestry; 2012. 27. Slattery KM, Dascombe B, Wallace LK, Bentley DJ, Coutts AJ. Effect of N- acetylcysteine on cycling performance after intensified training. Med Sci Sport and Exerc. 2014;46:1114–23. 28. Medved I, Brown MJ, Bjorksten AR, Murphy KT, Petersen AC, Sostaric S, Gong X, McKenna MJ. N-acetylcysteine enhances muscle cysteine and glutathione availability and attenuates fatigue during prolonged exercise in endurance-trained individuals. J Appl Physiol. 2004;97:1477–85. 4. El Boushy A, Van der Poel AF: Handbook of poultry feed from waste: processing and use. Springer Science & Business Media; 2013. 5. Van Heugten E, Van Kempen T. Growth performance, carcass characteristics, nutrient digestibility and fecal odorous compounds in growing-finishing pigs fed diets containing hydrolyzed feather meal. J Anim Sci. 2002;80:171–8. 6. Papadopoulos MC. Processed chicken feathers as feedstuff for poultry and swine. A review. 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Effects of oral N-acetylcysteine on fatigue, critical power, and W′ in exercising humans. Respir Physiol Neurobiol. 2011;178:261–8. 27. Slattery KM, Dascombe B, Wallace LK, Bentley DJ, Coutts AJ. Effect of N- acetylcysteine on cycling performance after intensified training. Med Sci Sport and Exerc. 2014;46:1114–23. 28. Medved I, Brown MJ, Bjorksten AR, Murphy KT, Petersen AC, Sostaric S, Gong X, McKenna MJ. N-acetylcysteine enhances muscle cysteine and glutathione availability and attenuates fatigue during prolonged exercise in endurance-trained individuals. J Appl Physiol. 2004;97:1477–85. 27. Slattery KM, Dascombe B, Wallace LK, Bentley DJ, Coutts AJ. Effect of N- acetylcysteine on cycling performance after intensified training. Med Sci Sport and Exerc. 2014;46:1114–23. 26. Corn SD, Barstow TJ. Effects of oral N-acetylcysteine on fatigue, critical power, and W′ in exercising humans. Respir Physiol Neurobiol. 2011;178:261–8. 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Rats fed a low protein diet supplemented with sulfur amino acids have increased cysteine dioxygenase activity and increased taurine production in hepatocytes. J Nutr. 1995;125:933–40. 22. Zembron-Lacny A, Slowinska-Lisowska M, Szygula Z, Witkowski Z, Szyszka K. Modulatory effect of N-acetylcysteine on pro-antioxidant status and haematological response in healthy men. J Physiol Biochem. 2010;66:15–21. 23. Kelly MK, Wicker RJ, Barstow TJ, Harms CA. Effects of N-acetylcysteine on respiratory muscle fatigue during heavy exercise. Respir Physiol Neurobiol. 2009;165:67–72.
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Differences in Minimum Inhibitory Concentrations of Probiotics and Prebiotics on Staphylococcus aureus
Prisma Sains : Jurnal Pengkajian Ilmu dan Pembelajaran Matematika dan IPA IKIP Mataram/Prisma sains
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Keywords: probiotics, prebiotics, Staphylococcus aureus How to Cite: Yuliastuti, W., Hermawati, A., & Islamy, A. (2024). Differences in Minimum Inhibitory Concentrations of Probiotics and Prebiotics on Staphylococcus aureus. Prisma Sains : Jurnal Pengkajian Ilmu dan Pembelajaran Matematika dan IPA IKIP Mataram, 12(1), 224-231. doi:https://doi.org/10.33394/j- ps.v12i1.10433 How to Cite: Yuliastuti, W., Hermawati, A., & Islamy, A. (2024). Differences in Minimum Inhibitory Concentrations of Probiotics and Prebiotics on Staphylococcus aureus. Prisma Sains : Jurnal Pengkajian Ilmu dan Pembelajaran Matematika dan IPA IKIP Mataram, 12(1), 224-231. doi:https://doi.org/10.33394/j- ps.v12i1.10433 https://doi.org/10.33394/j-ps.v12i1.10433 This is an https://doi.org/10.33394/j-ps.v12i1.10433 Copyright© 2024, Yuliast This is an open-access article under the CC-BY L Copyright© 2024, Yuliastuti et al. This is an open-access article under the CC-BY License. Copyright© 2024, Yuliastuti et al. This is an open-access article under the CC-BY License. Differences in Minimum Inhibitory Concentrations of Probiotics and Prebiotics on Staphylococcus aureus 1Wiwid Yuliastuti, 2*Andyanita Hanif Hermawati, 1Aesthetica Islamy 1Nursing Department, STIKES Hutama Abdi Husada Tulungagung. Jl. Dr. Wahidin Sudirohusodo 1, Tulungagung, Indonesia. Postal code: 66212 2Medical Laboratory Technology Department, STIKES Hutama Abdi Husada Tulungagung. Jl. Dr. Wahidin Sudirohusodo 1, Tulungagung, Indonesia. Postal code: 66212 Received: December 2023; Revised: December 2023; Published: January 2024 Received: December 2023; Revised: December 2023; Published: January 2024 Prisma Sains: Jurnal Pengkajian Ilmu dan Pembelajaran Matematika dan IPA IKIP Mataram, January 2024. Vol. 12, No.1 January 2024. Vol. 12, No. 1 p-ISSN: 2338-4530 e-ISSN: 2540-7899 pp. 224-231 January 2024. Vol. 12, No. 1 p-ISSN: 2338-4530 e-ISSN: 2540-7899 pp. 224-231 January 2024. Vol. 12, No. 1 p-ISSN: 2338-4530 e-ISSN: 2540-7899 pp. 224-231 Prisma Sains: Jurnal Pengkajian Ilmu dan Pembelajaran Matematika dan IPA IKIP Mataram https://e-journal.undikma.ac.id/index.php/prismasains/index e-mail: prismasains.pkpsm@gmail.com Abstract Currently, the use of antibiotics has increased sharply and use in the long term will have a bad impact on health. So the emergence of efforts in the form of making natural antibiotics by utilizing materials that are easily available in the environment. One of them is milk, where milk is a food product produced by farm animals, for example cows. This milk can be used as a probiotic. This probiotic is made by adding a bacterium and the bacterium that is often used is Lactobacillus casei. In addition to milk, the material that can be used is telang flower, which is one of the typical plants of Ternate, Maluku with purple, white, pink, and blue petals. Telang flower is often used as a traditional medicine because it has many benefits and content in it. Therefore, in this study Telang flower was used as a prebiotic tested on Staphylococcus aureus bacteria. The study was carried out in vitro by the method of laboratory experiments. The design used is Post Test control group only. The test is repeated at each concentration 3 times to obtain accurate results. The inhibition zone is measured using a caliper. The result of the inhibition zone formed from 3 repetitions is taken as the average value. The test results of the minimum inhibitory concentration of probiotics against Staphylococcus aureus bacteria showed results if at a concentration of 1.25% can form an inhibitory zone of 9.47 mm. While the minimum inhibitory concentration test on prebiotics against Staphylococcus aureus bacteria showed results at a concentration of 2.5% can form an inhibitory zone of 9.02 mm. This suggests that probitiks and prebiotics can be used as antibacterials, since at the lowest concentrations used they can form an inhibitory zone. So the higher the concentration of probiotics and prebiotics used, the inhibition zone formed will be greater. Keywords: probiotics, prebiotics, Staphylococcus aureus INTRODUCTION Bacterial infections are one of the major global health problems, especially in tropical countries. Bacteria such as Escherichia coli and Staphylococcus aureus often cause infections in the throat area and gastrointestinal tract and can also cause systemic inflammation (Hermawati, 2016). Staphylococcus aureus is a bacterium with Gram-positive properties that can live on the surface of a person's body without giving side effects. These bacteria are usually found around the mouth, nose, vital organs, and rectum. However, if the area of the skin there is a wound or puncture, then these bacteria will enter the wound and cause an infection (Misna & Diana, 2016). Staphylococcus bacteria can cause a wide variety of suppurative infections of varying severity in soft tissues, bone tissues, endovascular tissues, and respiratory organs (Erikawati et al., 2016). It is believed that infectious diseases rank as the second leading cause 224 Differences in Minimum Inhibitory … Yuliastuti et al. of death worldwide. The increasing threat of drug-resistant microorganisms presents a serious global public health challenge (CDC, 2022). Staphylococcus aureus, widely acknowledged as a major pathogen in both clinical and community settings, is notoriously difficult to treat with penicillin and other antimicrobial drugs (Akya et al, 2020). The resistance is attributed to the production of β-lactamase enzymes, and the first documented case of a penicillin-resistant strain of Staphylococcus aureus was reported in 1945 (Tălăpan, 2023). Currently, reports of Staphylococcus aureus resistance to various antibiotics continue to appear. In 2014, a study was conducted on the sensitivity pattern of Staphylococcus aureus bacteria in Dr. Soeradji Tirtonegoro Klaten. From this study, 64.8% of isolates were resistant to tetracycline antibiotics, 53.7% were resistant to erythromycin antibiotics, and 40.7% were resistant to cloxacillin (Nuryah et al., 2019). Staphylococcus aureus becomes the bacterium that causes nosocomial infections. Infection caused by these bacteria is a serious problem because there is an increase in bacterial resistance to various antibiotics. The World Health Organization (WHO) says that every 2 years + 2 million people develop bacterial infections resistant to 2 or more antibiotics (Ma’ruf et al., 2018). ( ) Probiotics are dietary supplements that contain live microbes. Which can provide benefits for the host who consumes it. This probiotic has great potential as an anti-inflammatory (Aviany & Pujiyanto, 2020). Milk-based probiotics are added with a bacterium. INTRODUCTION Milk is one of the food ingredients derived from farm animals with high nutritional content, besides the protein and minerals in it are good for body health (Rachman et al., 2018). Probiotic products are one of the results of biotechnology applications with a series of lactic acid bacteria utilization processes (Quigley, 2019). One species of bacteria used in making probiotic products is Lactobacillus. The condition that bacteria can be used as probiotic microbes is that they grow well in vitro, have high stability and viability and are safe for humans (Sunaryo et al., 2014). Lactic acid bacteria that produce bacteriocins that are bactericidal in nature have proven to be very useful for developing the safety of fermented food products. To date, only one bacteriocin produced by lactic acid bacteria has been found and has been used in food products, namely nisin. Lactobacillus acidhopillus can produce bacteriocin, namely Acido- philucin A. The antimicrobial effect of Lactobacillus acidhopillus can be caused by the activity of bacteriocins and organic acids. The antimicrobial effect of Lactobacillus acidhopillus may be due to the activity of bacteriocins and other organic acids as well as microbial competition with other bacteria. Various activities shown by probiotics include cholesterol lowering, anti- colon cancer, and anti-dermatitis (Hermawati et al., 2016). Prebiotics are one of the components of functional foods that are being developed at this time. Where this prebiotic has benefits especially in humans because it is able to stimulate the growth and activity of probiotic bacteria (Setiarto et al., 2016). The prebiotic used in this study is Telang flower extract. Telang flowers (Clitoria ternatea L) are classified as leguminoceae plants that have pharmacological benefits. In Indonesia, this plant is commonly found in Java, Sumatra, Maluku, and Sulawesi (Hawari et al., 2022). In this study, milk containing Lactobacillus is utilized as a probiotic, leveraging the potential of Lactic Acid Bacteria (LAB) strains. These strains show promise due to their capacity to produce bactericidal bioactive peptides known as bacteriocins and enzymes that effectively control both biofilm formation and the proliferation of harmful pathogens. Species within the Lactobacillus genus are known to contain bacteriocins; for instance, L. acidophilus is capable of producing lactacin B or lactacin F, while L. casei B80 generates casein 80. Some specific LAB strains have demonstrated significant effectiveness in combating biofilm- forming Staphylococcus aureus (Hermawati et al, 2020). Prisma Sains: Jurnal Pengkajian Ilmu dan Pembelajaran Matematika dan IPA IKIP Mataram, January 2024. Vol. 12, No.1 METHOD This study used laboratory experimental method with Post-Test-Only Control Group design that tested the minimum inhibition zone of probiotics and prebiotics against Staphylococcus aureus bacteria. A series of research activities were carried out at the testing Unit of the Faculty of Pharmacy, Airlangga University in August - October 2023. Unit of the Faculty of Pharmacy, Airlangga University in August - October 20 In this study using bacterial strains Staphylococcus aureus ATCC 6538 obtained from pure culture at the Faculty of Pharmacy, University of Airlangga. In addition, the tools and materials used include digital balance sheets, petri dishes, incubators, ovens, autoclaves, vortexes, and micropipettes. Then the probiotics used in this study are made from fresh cow's milk that has gone through a series of processing. Where fresh cow's milk as much as 100 mL cooked at a temperature of 70oC and allowed to cool. After cooling, Lactobacillus casei bacteria are added. The mixture of milk and bacteria is tightly closed and then stored at room temperature for 24 hours. Furthermore, prebiotic production is done by maceration extraction method on telang flowers. Extraction used methanol solvent. Conducted on nutrient Agar media with base layer (30 mL) and seed layer (20 mL) using Staphylococcus aureus test bacteria ATCC 6538 made inoculum with 25% trasnmittan at Wavelength 580 nm. A total of 10 inoculums of test bacteria were added to the seed layer in a petri dish, allowed to solidify. Made a hole print, filled with 100 mL probiotic with 100% concentration, probiotic solution with 50% concentration, kanamicin as positive control, sterile aquadest as negative control. Next incubated at a temperature of 32.5oC for 24 hours. The Diameter of the zone formed around the hole is measured using a caliper (mm). The Data to be collected is the primary data from the results of laboratory experimental research. Primary Data in the form of clear research results or not Nutrient media in order to test the bacteria Staphylococcus aureus which received probiotic and prebiotic treatment. The existence of this inhibition is indicated by the diameter of the inhibition zone. Processing and analysis of data is done using descriptive statistics, which shows the size of the central tendency (mode, median and mean). The researchers measured the inhibition zone formed with 3 repetitions. Repetition is done 3 times with the aim to reduce the potential for data errors that may occur (Retnaningsih et al., 2019). INTRODUCTION Telang flower is used as a prebiotic because it contains chemical components, such as anthocyanins, flobatanins, saponins, tannins, proteins, carbohydrates, phenols, flavonoids, anthraquinone triterpenoids, volatile oils, steroids, and flavol glycosides. Flavonoids are one of the compounds that have the ability to inhibit the synthesis of nucleic acids in microbial cells, interfere with the activity of cell 225 Differences in Minimum Inhibitory Yuliastuti et al. membranes and interfere with microbial metabolic processes (Nabila et al., 2022). This study was conducted by utilizing probiotics and prebiotics. Therefore, this study aims to determine the relationship between probiotics and prebiotics. While probiotics and prebiotics used today have been developed to work as antibiotics. The purpose of the study was to test the minimum inhibitory power of probiotics and prebiotics against Staphylococcus aureus bacteria in vitro so that the difference can be known and the method used was laboratory experimental with Post Test-only Control Group Design. METHOD Calculate mode, median and mean values using concentration 10%, 5%, 2,5%, 1,25%, and 0.65%. The mean value of inhibitory zone diameter between probiotics and prebiotics was compared to see if there was a difference in the minimum inhibitory concentration test using probiotics and prebiotics. Prisma Sains: Jurnal Pengkajian Ilmu dan Pembelajaran Matematika dan IPA IKIP Mataram, January 2024. Vol. 12, No.1 RESULTS AND DISCUSSION Results Probiotics used in the study was fresh cow's milk added Lactobacillus casei bacteria with a series of processes through which. While the prebiotics used in the study is an extract of telang flowers. These probiotics and prebiotics are made with a wide variety of concentrations. The method of this study using agar diffusion in the presence of a clear colored inhibition zone formed in the bulkhead pitting area, the agar Nutrient media inoculated with Staphylococcus aureus ATCC 6538 with base layer (30 mL) and seed layer (20 mL). The concentrations of probiotics and prebiotics used are 10%, 5%, 2,5%, 1,25%, and 0.65%. The 226 Prisma Sains: Jurnal Pengkajian Ilmu dan Pembelajaran Matematika dan IPA IKIP Mataram, January 2024. Vol. 12, No.1 Differences in Minimum Inhibitory … Yuliastuti et al. Diameter of the drag zone formed around the well is measured using a caliper (mm). The following is the diameter of the probiotic inhibition zone formed can be seen in Figure 1. Figure 1. Inhibition of probiotics against Staphylococcus aureus, sterile aqueous solution (K -), and kanamycin (K+) Figure 1. Inhibition of probiotics against Staphylococcus aureus, sterile aqueous solution (K -), and kanamycin (K+) In Figure 1, the diameter of the inhibition zone formed against Staphylococcus aureus bacteria is shown on a nutrient medium so that with each pitting a probiotic is added. The minimum inhibition test of probiotics against Staphylococcus aureus ATCC 6538 resulted in an inhibition zone of 9.47 mm at a concentration of 1.25%. When viewed from Figure 2, the greater the concentration of probiotics used, the greater the diameter of the inhibition zone formed. Figure 2. Probiotic inhibition zone, sterile Aquadest solution (K-), and Kanamicin (K+) 0 2 4 6 8 10 12 14 16 18 20 22 10% 5% 2,50% 1,25% 0,65% K+ K- Concentration Probiotic Inhibition Zone Against Staphylococcus aureus Bacteria Figure 2. Probiotic inhibition zone, sterile Aquadest solution (K-), and Kanamicin (K+) While the following is the diameter of the prebiotic inhibition zone formed can be seen in Figure 3. Figure 3. Prebiotic resistance to Staphylococcus aureus, sterile Aqua dest solution (K+), and kanamycin (K+) Figure 3. Prebiotic resistance to Staphylococcus aureus, sterile Aqua dest solution (K+), and kanamycin (K+) Prisma Sains: Jurnal Pengkajian Ilmu dan Pembelajaran Matematika dan IPA IKIP Mataram, January 2024. Vol. 12, No.1 | 227 Prisma Sains: Jurnal Pengkajian Ilmu dan Pembelajaran Matematika dan IPA IKIP Mataram, January 2024. Vol. Discussion Staphylococcus aureus is one of the bacteria that causes food poisoning in humans.The bacterium can produce enterotoxins with its toxic ability to survive high temperatures, although it dies by heating the toxin produced intact (Retnaningsih et al., 2019). According to (Larasati et al., 2020) polysaccharide capsules are one of the components of the dindin of Staphylococcus aureus bacteria. Capsule production will further increase the virulence of the bacteria and the capsule is also resistant to antibiotics. Antibiotics are drugs derived from all or certain parts of microorganisms and are used to treat bacterial infections. These antibiotics are 2 kinds, which have the property of killing bacteria and limiting the growth of bacteria. Irrational use of antibiotics can be a problem, in the form of resistance to antibiotics (Ihsan et al., 2016). Therefore, it is currently necessary to make changes to not always use antibiotics. Because the use of antibiotics for a long time will also have a bad impact on health. So there is a need for alternative materials that can be used to replace factory-made antibiotics. One of them is utilizing natural materials. This natural material can come from plants or materials produced by farm animals. In this study the materials used are fresh cow's milk and Telang flowers. Fresh cow's milk will be processed into probiotics with the addition of Lactobacillus casei bacteria and Telang flower will be processed into prebiotics by making it into Telang flower extract. This study used Nutrient media so that previously the media had been inoculated with Staphylococcus aureus ATCC 6538 bacteria and made pitting. Then these wells are filled with various concentrations of probiotics and prebiotics. The concentration used is 10%, 5%, 2,5%, 1,25%, and 0.65%. Telang flower, or butterfly pea (Clitoria ternatea L), is a compound flower that is identical to the purple color of its petals. Besides purple, telang flowers also have distinctive blue, pink, and white colors (Hermawati & Islamy, 2023). The telang flower used in the study came from Sendang District, Tulungagung Regency, East Java. The positive control used was Kanamicin. Kanamicin is an antibiotic that belongs to the aminoglycoside group by inhibiting the process of protein synthesis of mycoroorganism and belongs to the broad-spectrum antibiotic class, so it can interact with Gram-positive and Gram- negative bacteria (Widyasari et al., 2014). Therefore, in this study, the antibiotic Kanamicin was used. Yuliastuti et al. Differences in Minimum Inhibitory … Prebiotic minimal inhibition Test against Staphylococcus aureus ATCC 6538 resulted in an inhibition zone of 9.02 mm at a concentration of 2.5% which can be seen in Figure 4. In addition, Figure 4 shows that the higher the concentration of prebiotics used, the larger the diameter of the resistance zone formed. Figure 4. Prebiotic inhibition zone, sterile Aquadest solution (K-), and Kanamicin (K+) 0 5 10 15 20 10% 5% 2,50% 1,25% K+ K- Concentration Prebiotic Inhibition Zone Against Stpahylococcus aureus Bacteria Figure 4. Prebiotic inhibition zone, sterile Aquadest solution (K-), and Kanamicin (K+ Prisma Sains: Jurnal Pengkajian Ilmu dan Pembelajaran Matematika dan IPA IKIP Mataram, January 2024. Vol. 12, No.1 RESULTS AND DISCUSSION Results 12, No.1 | 227 227 Yuliastuti et al. CONCLUSION In this study probiotics and prebiotics can provide an inhibitory zone. Where probiotics with a concentration of 1.25% form an inhibitory zone of 9.47 mm, while prebiotics with a concentration of 2.5% form an inhibitory zone of 9.02 mm. The inhibitory zone formed from the lowest concentration has a size above the inhibitory zone formed from the negative control. This suggests that the inhibition zone formed from probiotics is greater than that of prebiotics. Therefore, probiotics and prebiotics have the ability and potential if used as antibacterial. Discussion The negative control used in this study was sterile aquadest. Prebiotics from this Telang flower extract contain flavonoid compounds. Flavonoids in low concentrations are able to damage the cytoplasmic membrane causing damage to metabolites with the effect of inactivating the enzyme system of bacteria, while in high 228 Differences in Minimum Inhibitory Yuliastuti et al. concentrations are able to damage the cytoplasmic membrane and precipitate cell proteins (Afifi & Erlin, 2017). Probiotic milk is capable of producing bacteriocins and organic acids that act as antibacterial agents. In fact, it can inhibit the growth of Methicillin-Resistant Staphylococcus aureus (MRSA) and extended-spectrum beta-lactamase (ESBL) strains (Hermawati, 2016). The diverse compounds present in various probiotic bacteria highlight the bacteriocin production by specific strains like Lactobacillus acidophilus (lactacin B and acidocin A) and Lactobacillus casei (casein). These bacteriocins contribute to stronger resistance against pathogenic bacteria. Previous studies have shown that probiotic milk containing lactic acid bacteria producing bacteriocins exhibits bactericidal characteristics crucial for food safety in fermentation products. Probiotics have various activities, such as cholesterol-lowering, supported by the Total Plate Count (TPC) data of L. acidophilus and L. casei probiotic milk. These counts, meeting the required standards for intestinal residence targeting, indicate the minimal probiotic requirement for health effects, such as the production of acids or other compounds like bacteriocins. This correlation between metabolite production, biomass, and the non-growth-associated pattern is significant for creating probiotic milk formulations, particularly those containing L. acidophilus and L. casei, either as single or multi-strain formulas (Hermawati & Aryati, 2020). Based on previous research conducted by Rahmiati & Simanjuntak (2019) Lactobacillus casei bacteria belong to the group of lactic acid bacteria. Lactic acid bacteria have the ability to produce antibacterial compounds commonly called bacteriocins. This bacteriocin serves to kill and inhibit the growth of other microorganisms. So that the research conducted is in line with previous research. The results obtained from research that has been done obtained the minimum inhibitory zone on probiotics with a concentration of 1.25% with a diameter of 9.47 mm inhibitory zone and on prebiotics with a concentration of 2.5% with a diameter of 9.02 mm inhibitory zone. This shows that the inhibition zone formed from probiotics is larger than that of prebiotics. RECOMMENDATION This research is expected to be further developed using other pathogenic bacteria. With the hope that probiotics and prebiotics still have the ability to inhibit bacteria and probiotics and prebiotics are increasingly symbolized their use. Prisma Sains: Jurnal Pengkajian Ilmu dan Pembelajaran Matematika dan IPA IKIP Mataram, January 2024. Vol. 12, No.1 ACKNOWLEDGMENT Our gratitude goes to the Department of Nursing STIKES Hutama Abdi Husada Tulunggaung and the Assessment Service Unite of The Faculty of Pharmacy, Universitas Airlangga, who have provided and infrastructure so tis research can run well. Bedodes that, the Directorate of Reasearch an Community Service, Directorate General of Reasearch and Development Strengthening Ministry of Reasearch, Technology and Higher Education approved research funds for Beginner Lecturers for the Fiscal Year 2023. 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Search for the flavor-changing neutral current interactions of the top quark and the Higgs boson which decays into a pair of b quarks at $$ \sqrt{s}=13 $$ TeV
˜The œJournal of high energy physics/˜The œjournal of high energy physics
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Zurich Open Repository and Archive Zurich Open Repository and Archive University of Zurich University Library Strickhofstrasse 39 CH-8057 Zurich www.zora.uzh.ch University of Zurich University Library Strickhofstrasse 39 CH-8057 Zurich www.zora.uzh.ch Open Access, Copyright CERN, Search for the flavor-changing neutral current interactions of the top quark and the Higgs boson which decays into a pair of b quarks at √s = 13 TeV CMS Collaboration ; Canelli, Maria Florencia ; Kilminster, Benjamin ; Aarrestad, Thea K ; Brzhechko, Danyyl ; Caminada, Lea ; De Cosa, Annapaoloa ; Del Burgo, Riccardo ; Donato, Silvio ; Galloni, Camilla ; Hreus, Tomas ; Leontsinis, Stefanos ; Mikuni, Vinicius Massami ; Neutelings, Izaak ; Rauco, Giorgia ; Robmann, Peter ; Salerno, Daniel ; Schweiger, Korbinian ; Seitz, Claudia ; Takahashi, Yuta ; Wertz, Sebastien ; Zucchetta, Alberto ; et al DOI: https://doi.org/10.1007/JHEP06(2018)102 DOI: https://doi.org/10.1007/JHEP06(2018)102 DOI: https://doi.org/10.1007/JHEP06(2018)102 Posted at the Zurich Open Repository and Archive, University of Zurich ZORA URL: https://doi.org/10.5167/uzh-160194 Journal Article Published Version The following work is licensed under a Creative Commons: Attribution 4.0 Posted at the Zurich Open Repository and Archive, University of Zurich ZORA URL: https://doi.org/10.5167/uzh-160194 Journal Article Published Version ollowing work is licensed under a Creative Commons: Attribution 4.0 International (CC BY 4.0) License. Originally published at: CMS Collaboration; Canelli, Maria Florencia; Kilminster, Benjamin; Aarrestad, Thea K; Brzhechko, Danyyl; Cam- inada, Lea; De Cosa, Annapaoloa; Del Burgo, Riccardo; Donato, Silvio; Galloni, Camilla; Hreus, Tomas; Leontsi- nis, Stefanos; Mikuni, Vinicius Massami; Neutelings, Izaak; Rauco, Giorgia; Robmann, Peter; Salerno, Daniel; Schweiger, Korbinian; Seitz, Claudia; Takahashi, Yuta; Wertz, Sebastien; Zucchetta, Alberto; et al (2018). Search for the flavor-changing neutral current interactions of the top quark and the Higgs boson which decays into a pair of b quarks at √s = 13 TeV. Journal of High Energy Physics, 06:102. DOI: https://doi.org/10.1007/JHEP06(2018)102 Published for SISSA by Springer Received: December 6, 2017 Revised: March 13, 2018 Accepted: June 11, 2018 Published: June 20, 2018 Received: December 6, 2017 Revised: March 13, 2018 Accepted: June 11, 2018 Published: June 20, 2018 Received: December 6, 2017 Revised: March 13, 2018 Accepted: June 11, 2018 Published: June 20, 2018 Search for the flavor-changing neutral current interactions of the top quark and the Higgs boson which decays into a pair of b quarks at √s = 13 TeV JHEP06(2018)102 The CMS collaboration for the benefit of the CMS Collaboration. The CMS collaboration E-mail: cms-publication-committee-chair@cern.ch Abstract: A search for flavor-changing neutral currents (FCNC) in events with the top quark and the Higgs boson is presented. The Higgs boson decay to a pair of b quarks is considered. The data sample corresponds to an integrated luminosity of 35.9 fb−1 recorded by the CMS experiment at the LHC in proton-proton collisions at √s = 13 TeV. Two channels are considered: single top quark FCNC production in association with the Higgs boson (pp →tH), and top quark pair production with FCNC decay of the top quark (t → qH). Final states with one isolated lepton and at least three reconstructed jets, among which at least two are associated with b quarks, are studied. No significant deviation is observed from the predicted background. Observed (expected) upper limits at 95% confidence level are set on the branching fractions of top quark decays, B(t →uH) < 0.47% (0.34%) and B(t →cH) < 0.47% (0.44%), assuming a single nonzero FCNC coupling. Keywords: FCNC Interaction, Hadron-Hadron scattering (experiments), Higgs physics, Top physics ArXiv ePrint: 1712.02399 ArXiv ePrint: 1712.02399 https://doi.org/10.1007/JHEP06(2018)102 for the benefit of the CMS Collaboration. Contents 1 Introduction 1 2 The CMS detector 2 3 Monte Carlo simulation 3 4 Event selection 4 5 Event reconstruction and multivariate analysis 5 6 Estimation of systematic uncertainties 6 7 Results 10 8 Summary 13 The CMS collaboration 18 Contents 1 Introduction 1 2 The CMS detector 2 3 Monte Carlo simulation 3 4 Event selection 4 5 Event reconstruction and multivariate analysis 5 6 Estimation of systematic uncertainties 6 7 Results 10 8 Summary 13 The CMS collaboration 18 1 2 3 4 5 6 10 13 18 JHEP06(2018)102 1 Introduction A recently discovered fundamental particle has properties that are consistent with the standard model (SM) predictions for the Higgs boson, H [1–4]. In the SM, flavor-changing neutral currents (FCNC) are forbidden at tree level and are strongly suppressed in loop corrections by the Glashow-Iliopoulos-Maiani (GIM) mechanism [5] with the SM branching fraction of t →qH predicted to be O(10−15) [6–8]. Several extensions of the SM incorporate significantly enhanced FCNC behavior that can be directly probed at the CERN LHC [8, 9]. The FCNC processes that correspond to tH interactions are described by the following effective Lagrangian: L = X q=u,c g √ 2t κHqt fL HqPL + fR HqPR  q H + h.c., (1.1) (1.1) where g is the weak coupling constant, PL and PR are chirality projectors in spin space, κHqt is the effective coupling, fL Hq and fR Hq are left- and right-handed complex chiral parameters with a unitarity constraint of |fL Hq|2 + |fR Hq|2 = 1. The tH FCNC interaction is studied in this analysis in two channels: the associated production of a single top quark with the Higgs boson (ST), as well as in FCNC decays of top quarks in tt semileptonic events (TT). In this analysis, H →bb decays are considered. This is the first time that the analysis of the ST mode is presented. Representative Feynman diagrams of the studied processes are shown in figure 1. – 1 – u/c g u/c t H W+ b νℓ ℓ+ ¯b b g g g t H W+ b νℓ ℓ+ ¯u/¯c b ¯b ¯t Figure 1. Representative Feynman diagrams for FCNC tH processes: associated production of the top quark with the Higgs boson (left), and FCNC decay of the top antiquark in tt events (right). The FCNC vertex is indicated by the bullet. g g g t H W+ b νℓ ℓ+ ¯u/¯c b ¯b ¯t Figure 1. Representative Feynman diagrams for FCNC tH processes: associated production of the top quark with the Higgs boson (left), and FCNC decay of the top antiquark in tt events (right). The FCNC vertex is indicated by the bullet. JHEP06(2018)102 Earlier analyses by the ATLAS [10, 11] and CMS [12] Collaborations have probed κHqt in top quark decays in tt events. 1 Introduction The ATLAS search at center-of-mass energy of 13 TeV investigated the t →qH decay with the Higgs boson decaying to two photons to set observed (expected) upper limits at 95% confidence level (CL) on the branching fractions B(t →uH) and B(t →cH) of 0.24% (0.17%) and 0.22% (0.16%), respectively [11]. The CMS analysis at √s = 8 TeV utilized the Higgs boson decays into either boson or fermion pairs to set observed (expected) upper limits of 0.55% (0.40%) and 0.40% (0.43%) on B(t →uH) and B(t →cH), respectively [12]. For the signal processes, we consider the cross section times branching fraction with a specific signature for single top quark t(→ℓ+νb)H(→bb) and pair production t(→ ℓ+νb)t(→u/cH(→bb)), with ℓ= e, µ, or τ. The analysis also considers the charge- conjugate process. The predicted cross section at 13 TeV for single top quark and antiquark FCNC production in association with the Higgs boson under the assumption of coupling strengths κHut = 1, κHct = 0 (κHct = 1, κHut = 0) is 13.8 (1.90) pb, where the cross section calculation is based on the leading order (LO) set of NNPDF 2.3 parton distribution functions (PDFs) [13]. In the case of the production of tt semileptonic events with top quark FCNC decay, the predicted cross section is 37.0 pb and is independent of the type of the coupling. By exploiting a simultaneous analysis of both the TT and ST processes, an improved sensitivity to κHut can be achieved, as the ST production via the up quark is enhanced by the proton PDFs. This analysis uses data that correspond to an integrated luminosity of 35.9 fb−1 [14] recorded in 2016 by the CMS experiment at the LHC in proton-proton (pp) collisions at √s = 13 TeV. Events with exactly one isolated lepton (electron or muon) and with at least three jets, among which at least two are associated with b quarks, are considered. 3 Monte Carlo simulation The generation of simulated signal events is done at LO with MadGraph5 amc@nlo 2.3.3 [16, 17]. Up to two additional partons are simulated by the Monte Carlo (MC) generator in the initial hard process for the top quark pair production mode. The MLM [18] matching scheme is used to match additional partons in the matrix-element calculations to the parton-shower description. No additional partons are included in the generation of events for the single top quark production process, as such inclusion would contain contributions from the top quark pair production process. A systematic variation in the normalization of the single top production process by 10% is considered in order to account for the differences in the generation of additional radiation of the two signal production modes. The Lagrangian terms from eq. (1.1) are implemented by means of the FeynRules package [19] using the universal FeynRules output format [20]. The complex chiral parameters are fixed to fR Hq = 1 and fL Hq = 0. JHEP06(2018)102 The SM top quark pair production is the dominant background process and is simulated to next-to-leading order (NLO) using powheg v2 [21–24]. The predicted cross section for this process is 832 +20 −29 (scale) ± 35(PDF) pb, as calculated with the Top++ 2.0 program at next-to-next-to-leading order (NNLO), including soft-gluon resummation to next-to- next-to-leading-log order (see ref. [25] and references therein), and assuming a top quark mass of mt = 172.5 GeV. Two systematic uncertainties that are shown in the prediction are considered. These are independent variations of the factorization and renormalization scales, µF and µR, and variations of the PDF and αs. Single top quark production in the t channel is simulated with powheg v2 in the four-flavour scheme, while events for single top quark production in association with W bosons are generated with powheg v1 in the five-flavour scheme (5FS). The predicted NLO cross sections are 217+9 −8 [26, 27] and 71.7 ± 3.9 pb [28], respectively. Single top quark production in the s channel is done at NLO with the MadGraph5 amc@nlo generator in 5FS with a predicted cross section of 10.3 ± 0.4 pb. The uncertainties in the quoted cross sections correspond to independent variations of µF and µR, as well as to variations of the PDF and αs. 2 The CMS detector The central feature of the CMS detector is a superconducting solenoid of 6 m internal diameter, providing a magnetic field of 3.8 T. Within the solenoid volume are a silicon pixel and strip tracker, a lead tungstate crystal electromagnetic calorimeter (ECAL), and a brass and scintillator hadron calorimeter (HCAL), each composed of a barrel and two – 2 – endcap sections. Forward calorimeters extend the pseudorapidity coverage provided by the barrel and endcap detectors. Muons are measured in gas-ionization detectors embedded in the steel flux-return yoke outside the solenoid. A more detailed description of the CMS detector, together with a definition of the coordinate system used and the relevant kinematic variables, can be found in ref. [15]. 3 Monte Carlo simulation Small contributions to the overall predicted background arise from several additional processes: W boson production and the associated production of tt with W and Z, both generated with MadGraph5 amc@nlo, and from Drell-Yan and the associated production of tt with a Higgs boson generated with the MadGraph5 amc@nlo and powheg v1 [29], respectively. In the simulation of signal and background processes, the initial- and final-state ra- diation (ISR and FSR), as well as the fragmentation and hadronization of quarks, are modeled using pythia 8.212 [30] with the underlying event tune CUETP8M1 [31]. For tt – 3 – generation, the first emission is done at the matrix-element level with powheg v2. Gen- eration of tt and single top quark production in the t channel uses the underlying event tune CUETP8M2T4 [32]. In the generation of all background processes the NNPDF3.0 PDF [33] set is used. The detector response is simulated using Geant4 v9.4 [34]. In order to model the effect of multiple interactions per event crossing (pileup), generated minimum bias events were added to the simulated data. The number of extra multiple interactions were matched to agree with the rate observed in data. The number of pileup interactions in data is estimated from the measured bunch-to-bunch instantaneous luminosity and the total inelastic cross section (69.2 mb) [14]. JHEP06(2018)102 4 Event selection The particle-flow (PF) algorithm [35] reconstructs and identifies each individual particle with an optimized combination of information from the various elements of the CMS de- tector. The energy of photons is directly obtained from the ECAL measurement, corrected for zero-suppression effects. The energy of electrons is determined from a combination of the electron momentum at the primary interaction vertex as determined by the tracker, the energy of the corresponding ECAL cluster, and the energy sum of all bremsstrahlung photons spatially compatible with originating from the electron track. The momentum of muons is obtained from the curvature of the corresponding track. The energy of charged hadrons is determined from a combination of their momentum measured in the tracker and the matching ECAL and HCAL energy deposits, corrected for zero-suppression effects and for the response function of the calorimeters to hadronic showers. Finally, the energy of neutral hadrons is obtained from the corresponding corrected ECAL and HCAL energy. Jets are reconstructed by clustering PF candidates using the anti-kT algorithm [36, 37] with a distance parameter of 0.4. The jet momentum is determined as the vectorial sum of all particle momenta in the jet, and is found from simulation to be within 5 to 10% of the true momentum over the whole transverse momentum (pT) spectrum and detec- tor acceptance [38]. An offset correction is applied to jet energies to take into account the contribution from pileup. Jet energy corrections are derived from simulation and are confirmed with in situ measurements of the energy balance in dijet, multijet, γ+jet, and leptonic Z+jet events. Additional selection criteria are applied to each event to remove spurious jet-like features originating from isolated noise patterns in certain HCAL regions. The missing transverse momentum (⃗pmiss T ) in an event is defined as the magnitude of the transverse projection of the vector sum of the momenta of all reconstructed PF candidates in an event. The reconstructed vertex with the largest value of summed physics-object p2 T is taken to be the primary pp interaction vertex. The physics objects are the jets, clustered using the jet finding algorithm [36, 37] with the tracks assigned to the vertex as inputs, and the associated ⃗pmiss T , taken as the negative vector pT sum of those jets, to represent the neutral particles. – 4 – This analysis selects events with exactly one isolated lepton (electron or muon). 4 Event selection Events with one electron (muon) are recorded using a trigger that required at least one electron (muon) with pT > 32 (24) GeV selected within the detector acceptance (|η| < 2.1). Electron (muon) candidates are selected offline with |η| < 2.1 with pT > 35 (30) GeV. Electrons that are reconstructed in the transition region between the barrel and endcap regions of the ECAL, 1.44 < |η| < 1.57, are removed. Leptons are required to be isolated in terms of a relative isolation variable, Irel. This variable is defined as the ratio of the scalar pT sum of photons, charged hadrons, and neutral hadrons within a cone of angular radius ∆R = √ (∆η)2 + (∆φ)2 = 0.3 (0.4) of the reconstructed lepton candidate, where φ is azimuthal angle in radians, to the lepton pT. This isolation variable only includes the charged hadrons that emerge from the same vertex as the selected lepton and is corrected for energy deposits from neutral particles produced in pileup interactions. For electron (muon) candidates, Irel must be less than 0.06 (0.15). In order to suppress background processes with multilepton final states, events with additional leptons passing the looser isolation requirement of Irel < 0.25 and pT > 10 GeV are rejected. JHEP06(2018)102 At least three jets are required to be present in the event with pT > 30 GeV and |η| < 2.4. As signal events contain three b quarks produced in the final state at the tree level, we require at least two jets are identified as b quark jets by the combined secondary vertex v2 (CSVv2) b tagging algorithm [39]. This requirement corresponds to the selection of jets with the CSVv2 discriminant value greater than 0.85, and provides a b jet efficiency of ≈70%, with a misidentification rate for c jets and jets originating from light quarks and gluons of ≈10% and ≈1%, respectively. 5 Event reconstruction and multivariate analysis In order to optimize sensitivity to the signal event selection, events are split into five cate- gories based on the total number of reconstructed jets and on the number of b-tagged jets. Categories with exactly three jets of which two or three are identified as b jets are denoted as b2j3 and b3j3, respectively. Similarly, categories with at least four jets of which two, three, or four are identified as b jets are specified as b2j4, b3j4, and b4j4, respectively The longitudinal momentum of the neutrino is determined by assigning ⃗pmiss T to the neutrino, and constraining the ℓν mass to the known mass of the W boson. With the use of the energy and momenta of all particles, a full kinematic reconstruction of the event is per- formed for several signal and background hypotheses: ST, TT, and background tt events, where one of the top quarks decays semileptonically, and the other one hadronically. The reconstruction is performed for all possible permutations of the b-tagged jets to be associ- ated with the decay products of the Higgs boson or the top quark, and both solutions for the longitudinal momentum of the neutrino are considered. The reconstructed kinematic variables for each permutation are then fed into a multivariate analysis that uses a boosted decision tree (BDT) [40] approach, as implemented in the toolkit for multivariate analysis TMVA [41]. The input BDT variables that are used for the ST and TT hypotheses cor- respond to the reconstructed invariant mass of two b jets associated with the Higgs boson decay, the reconstructed invariant mass of a b jet (mbb), lepton and neutrino associated – 5 – with the top quark decay (m(tℓ)), its transverse momentum (pT(tℓ)), ∆R between the reconstructed Higgs boson and the top quark. In case of the hypothesis of the background t¯t events the following variables are used: m(tℓ), m(th), ∆R(tℓ, th), and pT(tℓ), where th corresponds to the reconstructed top quark hadronic decay from one b-tagged and two non b-tagged jets. The BDT classifier is trained to distinguish the correct from the wrong b jet assignments. The training and validation of the BDT is performed on statistically independent simulated samples. All reconstructed b jets in the event are considered, and the permutation with the highest BDT score is chosen as the correct one. 5 Event reconstruction and multivariate analysis The measured algorithm efficiency for correct assignment of the b-tagged jets to the jets reconstructed at generator level after applying the analysis selection criteria is ≈75%. JHEP06(2018)102 Kinematic variables from the event reconstruction are used to construct several BDTs to suppress backgrounds. The BDTs are trained for each jet multiplicity category to iden- tify signal events that are generated either for κHut (Hut) or κHct (Hct) coupling against the sum of all background events. Separate trainings of the BDT for Hut and Hct are done in order to take into account the differences in kinematic properties of the recon- structed objects in the ST production mode, as well as the differences in the measured b tagging efficiencies for a charm and an up quark in the TT production channel. The most important variables that discriminate between signal and background events are: the charge of the lepton (considered only for the BDT that uses Hut signal events), the CSVv2 discriminant value of the b jet with the lowest pT from the Higgs boson decay, mbb, and the output discriminant value of the BDT used in the b jet assignment procedure. Distri- butions for these variables in data and MC simulation in the b3j3 category are presented in figure 2. The b4j4 category is not considered for Hut due to negligible improvement in the final sensitivity. The simulated tt background events are split into subcategories defined by the flavor of additional particle-level jets produced in association with the top quark pair. These classes are referred to as tt+bb, tt+cc, and tt+lf, (where lf stands for light flavor). The tt+lf category includes events where no additional pair of b or c jets occurs. The other background processes are summed up and shown together in the prediction. The final observable used to extract signal events is defined as the BDT score distri- bution in each jet category corresponding to either Hut or Hct signal training. Figures 3 and 4 show the comparison between data and simulation for this observable after the fit to data with all background processes constrained to the SM expectation. 6 Estimation of systematic uncertainties Sources of systematic uncertainty that affect both the normalization and shape of the predicted signal and background events are considered in the analysis. All systematic uncertainties are treated as nuisance parameters in the derivation of the exclusion limit. The dominant systematic uncertainty arises from the application of the b tagging requirement. The shape of the CSVv2 discriminant, the b tagging efficiency, and the misidentification rate in simulation are corrected to reproduce the data distributions [39]. The uncertainties that are associated with these correction factors are the statistical uncer- – 6 – Events 2000 4000 6000 8000 10000 12000 (13 TeV) -1 35.9 fb CMS b3j3 Lepton charge -1 0 1 Data / MC 0.5 1 1.5 Data +lf tt c +c tt b +b tt other =1)x3.9 Hut κ ST( =1)x20 Hct κ ST( =1)x2.3 Hut κ TT( =1)x1.7 Hct κ TT( Events / 0.01 200 400 600 800 1000 1200 (13 TeV) -1 35.9 fb CMS b3j3 b jet CSVv2 discriminant 0.85 0.9 0.95 1 Data / MC 0.5 1 1.5 Data +lf tt c +c tt b +b tt other =1)x3.9 Hut κ ST( =1)x20 Hct κ ST( =1)x2.3 Hut κ TT( =1)x1.7 Hct κ TT( Events / 8.33 GeV 500 1000 1500 2000 2500 (13 TeV) -1 35.9 fb CMS b3j3 [GeV] b b m 0 50 100 150 200 250 Data / MC 0.5 1 1.5 Data +lf tt c +c tt b +b tt other =1)x3.9 Hut κ ST( =1)x20 Hct κ ST( =1)x2.3 Hut κ TT( =1)x1.7 Hct κ TT( Events / 0.07 500 1000 1500 2000 2500 (13 TeV) -1 35.9 fb CMS b3j3 BDT discriminant 1 − 0.5 − 0 0.5 1 Data / MC 0.5 1 1.5 Data +lf tt c +c tt b +b tt other =1)x3.9 Hut κ ST( =1)x20 Hct κ ST( =1)x2.3 Hut κ TT( =1)x1.7 Hct κ TT( Figure 2. Comparison between data and simulation for the most discriminating BDT input vari- ables in the b3j3 category: lepton charge (upper left), CSVv2 discriminant value for one of the reconstructed b jets assigned to Higgs boson decay (upper right), reconstructed invariant mass of two b jets associated with the Higgs boson decay (lower left), and the maximum BDT discriminant value from the b jet assignment procedure (lower right). The last bin in the distribution for the reconstructed mass of the Higgs boson includes the overflows. 6 Estimation of systematic uncertainties The shaded area corresponds to the total uncertainty in the predicted background. The data-to-simulation ratio is also shown. The distributions for the signal processes are normalized to the total number of events in the predicted background to ease the comparison of the shapes of the distributions. Events 2000 4000 6000 8000 10000 12000 (13 TeV) -1 35.9 fb CMS b3j3 Lepton charge -1 0 1 Data / MC 0.5 1 1.5 Data +lf tt c +c tt b +b tt other =1)x3.9 Hut κ ST( =1)x20 Hct κ ST( =1)x2.3 Hut κ TT( =1)x1.7 Hct κ TT( Events / 0.01 200 400 600 800 1000 1200 (13 TeV) -1 35.9 fb CMS b3j3 b jet CSVv2 discriminant 0.85 0.9 0.95 1 Data / MC 0.5 1 1.5 Data +lf tt c +c tt b +b tt other =1)x3.9 Hut κ ST( =1)x20 Hct κ ST( =1)x2.3 Hut κ TT( =1)x1.7 Hct κ TT( JHEP06(2018)102 p g Events / 8.33 GeV 500 1000 1500 2000 2500 (13 TeV) -1 35.9 fb CMS b3j3 [GeV] b b m 0 50 100 150 200 250 Data / MC 0.5 1 1.5 Data +lf tt c +c tt b +b tt other =1)x3.9 Hut κ ST( =1)x20 Hct κ ST( =1)x2.3 Hut κ TT( =1)x1.7 Hct κ TT( Events / 0.07 500 1000 1500 2000 2500 (13 TeV) -1 35.9 fb CMS b3j3 BDT discriminant 1 − 0.5 − 0 0.5 1 Data / MC 0.5 1 1.5 Data +lf tt c +c tt b +b tt other =1)x3.9 Hut κ ST( =1)x20 Hct κ ST( =1)x2.3 Hut κ TT( =1)x1.7 Hct κ TT( Events / 0.07 Figure 2. Comparison between data and simulation for the most discriminating BDT input vari- ables in the b3j3 category: lepton charge (upper left), CSVv2 discriminant value for one of the reconstructed b jets assigned to Higgs boson decay (upper right), reconstructed invariant mass of two b jets associated with the Higgs boson decay (lower left), and the maximum BDT discriminant value from the b jet assignment procedure (lower right). The last bin in the distribution for the reconstructed mass of the Higgs boson includes the overflows. The shaded area corresponds to the total uncertainty in the predicted background. The data-to-simulation ratio is also shown. 6 Estimation of systematic uncertainties The distributions for the signal processes are normalized to the total number of events in the predicted background to ease the comparison of the shapes of the distributions. tainty due to the limited data sample from which the correction factors were derived, and the systematic uncertainty arising from the purity estimate of the sample as predicted by simulation. The overall effect of this systematic uncertainty leads to a variation of ≈8–30% in simulated event yields, with the largest effect observed in event categories with a large number of b-tagged jets. The uncertainty associated with the choice of renormalization and factorization scales in the matrix element is estimated by changing each scale separately by a factor of 1/2 and 2. To estimate the systematic uncertainty at the parton-shower level, several special simulated samples of events are considered, where the scales used to determine the ISR and FSR emissions are varied. The uncertainty associated with the choice of PDF is estimated by using several PDFs and assigning the maximum differences as the quoted uncertainty, following the PDF4LHC prescription with the MSTW2008 68% CL NNLO, – 7 – Figure 3. The BDT discriminant distributions for different jet categories for Hut training after the fit to data. All background processes are constrained to the SM expectation in the fit. The shaded area corresponds to the total uncertainty in the predicted background. The data-to-simulation ratio is also shown. The distributions for the signal processes are normalized to the total number of events in the predicted background to ease the comparison of the shapes of the distributions. JHEP06(2018)102 Figure 3. The BDT discriminant distributions for different jet categories for Hut training after the fit to data. All background processes are constrained to the SM expectation in the fit. The shaded area corresponds to the total uncertainty in the predicted background. The data-to-simulation ratio is also shown. The distributions for the signal processes are normalized to the total number of events in the predicted background to ease the comparison of the shapes of the distributions. CT10 NNLO, and NNPDF2.3 5f FFN PDF sets (see ref. [42] and references therein, as well as refs. [13, 43, 44]). The overall uncertainty associated with the simulation of the background processes contributes up to ≈20% in the variation of event yields. 6 Estimation of systematic uncertainties Following the prescription in powheg [32], the matching of the high-pT partons, from matrix-element calculations and parton-shower emission, is regulated by damping the emis- sion by the factor m2 t/(p2 T + m2 t). Additional simulated samples for tt are used that cor- respond to the variation of this factor within the considered uncertainty. For the tt and single top quark t-channel simulated samples the additional systematic uncertainties as- sociated with the amount of multiparton interactions and color reconnection [45, 46] are considered. These uncertainties were determined by varying them according to the uncer- tainties reported for the underlying event tune CUETP8M2T4, and lead to a systematic effect of ≈1–5%. The uncertainty associated with the calibration of the jet energy scale and the jet energy resolution contributes up to ≈8% in the variation of the final event yields [47]. The identification, isolation, and trigger efficiency correction uncertainties for reconstructed – 8 – Figure 4. The BDT discriminant distributions for different jet categories for Hct training after the fit to data. All background processes are constrained to the SM expectation in the fit. The shaded area corresponds to the total uncertainty in the predicted background. The data-to-simulation ratio is also shown. The distributions for the signal processes are normalized to the total number of events in the predicted background to ease the comparison of the shapes of the distributions. JHEP06(2018)102 Figure 4. The BDT discriminant distributions for different jet categories for Hct training after the fit to data. All background processes are constrained to the SM expectation in the fit. The shaded area corresponds to the total uncertainty in the predicted background. The data-to-simulation ratio is also shown. The distributions for the signal processes are normalized to the total number of events in the predicted background to ease the comparison of the shapes of the distributions. 6 Estimation of systematic uncertainties – 9 – b2j3 b2j4 b3j3 b3j4 Data 365 890 575 500 13 481 53 352 tt+bb 8 880 ± 3 641 30 157 ± 5 127 1 214 ± 510 11 668 ± 1 750 tt+cc 26 035 ± 11 195 81 959 ± 18 031 1 281 ± 576 9 753 ± 2 243 tt+lf 270 989 ± 13 820 410 028 ± 16 401 9 104 ± 674 27 079 ± 1 733 other 58 991 ± 6 489 51 845 ± 6 221 1 616 ± 356 4 269 ± 768 Total 364 895 ± 22 623 573 989 ± 25 256 13 215 ± 1 255 52 769 ± 3 430 Table 1. Number of events in each category together with its total relative uncertainty as obtained from the fit to data for Hut. Table 1. Number of events in each category together with its total relative uncertainty as obtained from the fit to data for Hut. JHEP06(2018)102 leptons contribute up to 0.5% of the total uncertainty in the predicted yield. An uncertainty of 2.5% is assigned to the measured integrated luminosity value of the considered data sample [14]. The number of simulated pileup events is corrected to match the measured number of events in data. The uncertainty on the total inelastic cross section is taken as 4.6%. Its overall contribution to the total systematic uncertainty is found to be negligible. The pT spectrum of individual top quarks in data is found to be softer than predicted by the simulation. A correction for the top quark pT spectrum in simulation is applied and the difference between the initial and the corrected shapes is taken as an additional systematic uncertainty [48]. This uncertainty also has a negligible impact on the final distributions. Additionally, a systematic uncertainty of 50% in the predicted cross sections for tt+bb and tt+cc processes is assumed [49, 50]. 7 Results A comparison between the number of selected events in data and simulation is shown in tables 1 and 2. A 95% CL upper limit is computed for the production cross section of tH FCNC events times branching fractions of top quark semileptonic decay and Higgs boson decay to b quarks that uses the asymptotic approximation of the CLs method [51, 52]. The profile likelihood ratio test statistic [53] is defined as q(µ) = −2 ln(L(µ, ˆθµ)/L(ˆµ, ˆθ)), where L is a binned likelihood function, µ is a signal strength modifier, θ is a set of nuisance parameters, ˆθµ is a set of nuisance parameters that maximize L for a given µ, ˆµ and ˆθ are the values of the corresponding parameters which simultaneously maximize L. Uncertainties due to normalization are included through nuisance parameters with log-normal prior distributions, while shape uncertainties are included with Gaussian prior distributions. The expected and observed 95% CL upper limits are derived on the signal production cross section separately for each event category, as well as for their combination (figure 5). In the latter case, a simultaneous binned maximum-likelihood fit to all categories is performed. The fit takes into account the statistical and systematic uncertainties in the final BDT score distributions in each jet category. The resultant observed (expected) 95% CL exclusion limits on top quark FCNC decay branching fractions are B(t →uH) < 0.47% (0.34%) and B(t →cH) < 0.47% (0.44%). – 10 – b2j3 b2j4 b3j3 b3j4 comb [pb] σ 0 5 10 15 20 95% CL upper limits Median expected 68% expected 95% expected Observed CMS (13 TeV) -1 35.9 fb Hut b2j3 b2j4 b3j3 b3j4 b4j4 comb [pb] σ 0 5 10 15 20 95% CL upper limits Median expected 68% expected 95% expected Observed CMS (13 TeV) -1 35.9 fb Hct Figure 5. Excluded signal cross section at 95% CL per event category for Hut (left) and Hct (right). b2j3 b2j4 b3j3 b3j4 b4j4 comb [pb] σ 0 5 10 15 20 95% CL upper limits Median expected 68% expected 95% expected Observed CMS (13 TeV) -1 35.9 fb Hct b2j3 b2j4 b3j3 b3j4 comb [pb] σ 0 5 10 15 20 95% CL upper limits Median expected 68% expected 95% expected Observed CMS (13 TeV) -1 35.9 fb Hut JHEP06(2018)102 Figure 5. Excluded signal cross section at 95% CL per event category for Hut (left) and Hct (right). 7 Results uH) [%] → (t B 0 0.1 0.2 0.3 0.4 0.5 0.6 cH) [%] → (t B 0 0.2 0.4 0.6 0.8 1 95% CL upper limits Median expected 68% expected 95% expected Observed CMS (13 TeV) -1 35.9 fb Figure 6. Upper limits on B(t →uH) and B(t →cH) at 95% CL. uH) [%] → (t B 0.5 0.6 Figure 6. Upper limits on B(t →uH) and B(t →cH) at 95% CL. Hut κ 0 0.05 0.1 0.15 0.2 Hct κ 0 0.1 0.2 0.3 0.4 0.5 95% CL upper limits Median expected 68% expected 95% expected Observed CMS (13 TeV) -1 35.9 fb Figure 7. Upper limits on κHut and κHct at 95% CL. Figure 7. Upper limits on κHut and κHct at 95% CL. – 11 – b2j3 b2j4 b3j3 b3j4 b4j4 Data 365 890 575 500 13 481 53 352 2 764 tt+bb 10 176 ± 1 933 34 174 ± 3 759 1 367 ± 273 12 897 ± 1 058 1 517 ± 129 tt+cc 33 210 ± 11 956 102 186 ± 15 328 1 674 ± 619 12 280 ± 1 842 521 ± 104 tt+lf 258 679 ± 8 795 385 395 ± 10 791 8 349 ± 451 24 083 ± 1 132 383 ± 69 other 62 887 ± 5 723 52 134 ± 6 256 1 742 ± 401 3 513 ± 562 262 ± 50 Total 364 952 ± 16 788 573 889 ± 18 364 13 132 ± 959 52 773 ± 2 322 2 682 ± 185 Table 2. Number of events in each category together with its total relative uncertainty as obtained from the fit to data for Hct. Table 2. Number of events in each category together with its total relative uncertainty as obtained from the fit to data for Hct. µ 1 − 0.5 − 0 0.5 1 1.5 2 2.5 3 μb2j3 μb2j4 μb3j3 μb3j4 category µ comb. µ CMS (13 TeV) -1 35.9 fb Hut µ 1 − 0.5 − 0 0.5 1 1.5 2 2.5 3 μb2j3 μb2j4 μb3j3 μb3j4 μb4j4 category µ comb. µ CMS (13 TeV) -1 35.9 fb Hct Figure 8. The best fit signal strength (µ) for Hut (left) and Hct (right), which is restricted to positive values in the fit. 7 Results µ 1 − 0.5 − 0 0.5 1 1.5 2 2.5 3 μb2j3 μb2j4 μb3j3 μb3j4 μb4j4 category µ comb. µ CMS (13 TeV) -1 35.9 fb Hct µ 1 − 0.5 − 0 0.5 1 1.5 2 2.5 3 μb2j3 μb2j4 μb3j3 μb3j4 category µ comb. µ CMS (13 TeV) -1 35.9 fb Hut JHEP06(2018)102 µ Figure 8. The best fit signal strength (µ) for Hut (left) and Hct (right), which is restricted to positive values in the fit. These upper limits on the branching fractions can be translated into upper limits on the coupling strengths using the relations: These upper limits on the branching fractions can be translated into upper limits on the coupling strengths using the relations: κ2 Hut = B(t →uH) Γt ΓHut , κ2 Hct = B(t →cH) Γt ΓHct , (7.1) (7.1) where the total top quark width is Γt = 1.32 GeV [54], and the partial width for the FCNC decay process of the top quark is ΓHut = ΓHct = 0.184 GeV for κHut = κHct = 1. The resultant limits on the coupling strengths are κHut < 0.18 (0.16) and κHct < 0.18 (0.18). These limits are very competitive to the CMS result with the combination of various channels at 8 TeV [12], while the ATLAS result with the analysis of the H →γγ decay at 13 TeV [11] represents the best limits to date. The measured one-dimensional exclusion limits are also interpreted for the scenario of the non-vanishing FCNC couplings via a linear interpolation. The results for two-dimensional limits on top quark FCNC decay branching fractions and coupling strengths are presented in figure 6 and 7, respectively. We define a signal strength parameter as µ = σ/σsig, where σ is the cross section excluded at 95% CL and σsig is the predicted cross section for signal. A maximum likelihood fit is performed for the signal strength, and is shown in figure 8. Inclusion of the associated production of a single top quark with a Higgs boson in this study provides a ≈20% relative improvement in the expected upper limit on B(t →uH) with respect to the results obtained in an analysis of only tt events with top quark FCNC decays. – 12 – 8 Summary A search for flavor-changing neutral currents in events with a top quark and the Higgs boson, corresponding to a data sample of 35.9 fb−1 collected in proton-proton collisions at √s = 13 TeV, is presented. This is the first search to probe tH flavor-changing neutral current couplings in both associated production of a top quark with the Higgs boson and in top quark decays. Observed (expected) upper limits at 95% confidence level are set on the branching fractions of top quark decays, B(t →uH) < 0.47% (0.34%) and B(t →cH) < 0.47% (0.44%). These results provide a significant improvement over the previous limits set by CMS in the H →bb channel, as well as represent the best limits for B(t →uH) at CMS. JHEP06(2018)102 Acknowledgments We congratulate our colleagues in the CERN accelerator departments for the excellent performance of the LHC and thank the technical and administrative staffs at CERN and at other CMS institutes for their contributions to the success of the CMS effort. In ad- dition, we gratefully acknowledge the computing centres and personnel of the Worldwide LHC Computing Grid for delivering so effectively the computing infrastructure essential to our analyses. Finally, we acknowledge the enduring support for the construction and operation of the LHC and the CMS detector provided by the following funding agencies: BMWFW and FWF (Austria); FNRS and FWO (Belgium); CNPq, CAPES, FAPERJ, and FAPESP (Brazil); MES (Bulgaria); CERN; CAS, MoST, and NSFC (China); COL- CIENCIAS (Colombia); MSES and CSF (Croatia); RPF (Cyprus); SENESCYT (Ecuador); MoER, ERC IUT, and ERDF (Estonia); Academy of Finland, MEC, and HIP (Finland); CEA and CNRS/IN2P3 (France); BMBF, DFG, and HGF (Germany); GSRT (Greece); OTKA and NIH (Hungary); DAE and DST (India); IPM (Iran); SFI (Ireland); INFN (Italy); MSIP and NRF (Republic of Korea); LAS (Lithuania); MOE and UM (Malaysia); BUAP, CINVESTAV, CONACYT, LNS, SEP, and UASLP-FAI (Mexico); MBIE (New Zealand); PAEC (Pakistan); MSHE and NSC (Poland); FCT (Portugal); JINR (Dubna); MON, RosAtom, RAS, RFBR and RAEP (Russia); MESTD (Serbia); SEIDI, CPAN, PCTI and FEDER (Spain); Swiss Funding Agencies (Switzerland); MST (Taipei); ThEPCenter, IPST, STAR, and NSTDA (Thailand); TUBITAK and TAEK (Turkey); NASU and SFFR (Ukraine); STFC (United Kingdom); DOE and NSF (U.S.A.). Individuals have received support from the Marie-Curie programme and the European Research Council and Horizon 2020 Grant, contract No. 675440 (European Union); the Leventis Foundation; the A. P. Acknowledgments Sloan Foundation; the Alexander von Humboldt Founda- tion; the Belgian Federal Science Policy Office; the Fonds pour la Formation `a la Recherche dans l’Industrie et dans l’Agriculture (FRIA-Belgium); the Agentschap voor Innovatie door Wetenschap en Technologie (IWT-Belgium); the Ministry of Education, Youth and Sports (MEYS) of the Czech Republic; the Council of Science and Industrial Research, India; the HOMING PLUS programme of the Foundation for Polish Science, cofinanced from European Union, Regional Development Fund, the Mobility Plus programme of the Min- – 13 – istry of Science and Higher Education, the National Science Center (Poland), contracts Harmonia 2014/14/M/ST2/00428, Opus 2014/13/B/ST2/02543, 2014/15/B/ST2/03998, and 2015/19/B/ST2/02861, Sonata-bis 2012/07/E/ST2/01406; the National Priorities Re- search Program by Qatar National Research Fund; the Programa Severo Ochoa del Prin- cipado de Asturias; the Thalis and Aristeia programmes cofinanced by EU-ESF and the Greek NSRF; the Rachadapisek Sompot Fund for Postdoctoral Fellowship, Chulalongkorn University and the Chulalongkorn Academic into Its 2nd Century Project Advancement Project (Thailand); the Welch Foundation, contract C-1845; and the Weston Havens Foun- dation (U.S.A.). 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Tavernier, W. Van Doninck, P. Van Mulders, I. Van Parijs S. Tavernier, W. Van Doninck, P. Van Mulders, I. Van Parijs Universit´e Libre de Bruxelles, Bruxelles, Belgium Universit´e Libre de Bruxelles, Bruxelles, Belgium D. Beghin, B. Bilin, H. Brun, B. Clerbaux, G. De Lentdecker, H. Delannoy, B. Dorney, G. Fasanella, L. Favart, R. Goldouzian, A. Grebenyuk, A.K. Kalsi, T. Lenzi, J. Luetic, T. Maerschalk, A. Marinov, T. Seva, E. Starling, C. Vander Velde, P. Vanlaer, D. Van- nerom, R. Yonamine, F. Zenoni T. Maerschalk, A. Marinov, T. Seva, E. Starling, C. Vander Velde, P. Vanlaer, D. Van- nerom, R. Yonamine, F. Zenoni Ghent University, Ghent, Belgium Yerevan Physics Institute, Yerevan, Armenia A.M. Sirunyan, A. Tumasyan Yerevan Physics Institute, Yerevan, Armenia A.M. Sirunyan, A. Tumasyan Institut f¨ur Hochenergiephysik, Wien, Austria W. Adam, F. Ambrogi, E. Asilar, T. Bergauer, J. Brandstetter, E. Brondolin, M. Drag- icevic, J. Er¨o, A. Escalante Del Valle, M. Flechl, M. Friedl, R. Fr¨uhwirth1, V.M. Ghete, J. Grossmann, J. Hrubec, M. Jeitler1, A. K¨onig, N. Krammer, I. Kr¨atschmer, D. Liko, T. Madlener, I. Mikulec, E. Pree, N. Rad, H. Rohringer, J. Schieck1, R. Sch¨ofbeck, M. Spanring, D. Spitzbart, A. Taurok, W. Waltenberger, J. Wittmann, C.-E. Wulz1, M. Zarucki Institut f¨ur Hochenergiephysik, Wien, Austria W. Adam, F. Ambrogi, E. Asilar, T. Bergauer, J. Brandstetter, E. Brondolin, M. Drag- icevic, J. Er¨o, A. Escalante Del Valle, M. Flechl, M. Friedl, R. Fr¨uhwirth1, V.M. Ghete, J. Grossmann, J. Hrubec, M. Jeitler1, A. K¨onig, N. Krammer, I. Kr¨atschmer, D. Liko, T. Madlener, I. Mikulec, E. Pree, N. Rad, H. Rohringer, J. Schieck1, R. Sch¨ofbeck, M. Spanring, D. Spitzbart, A. Taurok, W. Waltenberger, J. Wittmann, C.-E. Wulz1, M. Zarucki JHEP06(2018)102 Institute for Nuclear Problems, Minsk, Belarus V. Chekhovsky, V. Mossolov, J. Suarez Gonzalez Universiteit Antwerpen, Antwerpen, Belgium E.A. De Wolf, D. Di Croce, X. Janssen, J. Lauwers, M. Van De Klundert, H. Van Haevermaet, P. Van Mechelen, N. Van Remortel E.A. De Wolf, D. Di Croce, X. Janssen, J. Lauwers, M. Van De Klundert, H. Van Haevermaet, P. Van Mechelen, N. Van Remortel Vrije Universiteit Brussel, Brussel, Belgium Ghent University, Ghent, Belgium T. Cornelis, D. Dobur, A. Fagot, M. Gul, I. Khvastunov2, D. Poyraz, C. Roskas, S. Salva, D. Trocino, M. Tytgat, W. Verbeke, M. Vit, N. Zaganidis Universit´e Catholique de Louvain, Louvain-la-Neuve, Belgium H. Bakhshiansohi, O. Bondu, S. Brochet, G. Bruno, C. Caputo, A. Caudron, P. David, S. De Visscher, C. Delaere, M. Delcourt, B. Francois, A. Giammanco, M. Komm, G. Krintiras, V. Lemaitre, A. Magitteri, A. Mertens, M. Musich, K. Piotrzkowski, L. Quertenmont, A. Saggio, M. Vidal Marono, S. Wertz, J. Zobec Centro Brasileiro de Pesquisas Fisicas, Rio de Janeiro, Brazil W.L. Ald´a J´unior, F.L. Alves, G.A. Alves, L. Brito, G. Correia Silva, C. Hensel, A. Moraes, M.E. Pol, P. Rebello Teles Universidade do Estado do Rio de Janeiro, Rio de Janeiro, Brazil E. Belchior Batista Das Chagas, W. Carvalho, J. Chinellato3, E. Coelho, E.M. Da Costa, G.G. Da Silveira4, D. De Jesus Damiao, S. Fonseca De Souza, L.M. Huertas – 18 – Guativa, H. Malbouisson, M. Melo De Almeida, C. Mora Herrera, L. Mundim, H. Nogima, L.J. Sanchez Rosas, A. Santoro, A. Sznajder, M. Thiel, E.J. Tonelli Manganote3, F. Torres Da Silva De Araujo, A. Vilela Pereira Universidade Estadual Paulistaa, Universidade Federal do ABCb, S˜ao Paulo, Brazil S. Ahujaa, C.A. Bernardesa, T.R. Fernandez Perez Tomeia, E.M. Gregoresb, P.G. Mercadanteb, S.F. Novaesa, Sandra S. Padulaa, D. Romero Abadb, J.C. Ruiz Vargasa Institute for Nuclear Research and Nuclear Energy, Bulgarian Academy of Sciences, Sofia, Bulgaria JHEP06(2018)102 A. Aleksandrov, R. Hadjiiska, P. Iaydjiev, M. Misheva, M. Rodozov, M. Shopova, G. Sul- tanov University of Sofia, Sofia, Bulgaria A. Dimitrov, L. Litov, B. Pavlov, P. Petkov University of Sofia, Sofia, Bulgaria University of Sofia, Sofia, Bulgaria A. Dimitrov, L. Litov, B. Pavlov, P. Petkov Beihang University, Beijing, China W. Fang5, X. Gao5, L. Yuan Beihang University, Beijing, China W. Fang5, X. Gao5, L. Yuan Institute of High Energy Physics, Beijing, China Institute of High Energy Physics, Beijing, China M. Ahmad, J.G. Bian, G.M. Chen, H.S. Chen, M. Chen, Y. Chen, C.H. Jiang, D. Leggat, H. Liao, Z. Liu, F. Romeo, S.M. Shaheen, A. Spiezia, J. Tao, C. Wang, Z. Wang, E. Yazgan, H. Zhang, J. Zhao M. Ahmad, J.G. Bian, G.M. Chen, H.S. Chen, M. Chen, Y. Chen, C.H. Jiang, D. Legga H. Liao, Z. Liu, F. Romeo, S.M. Shaheen, A. Spiezia, J. Tao, C. Wang, Z. Wang, E. Yazga H. Zhang, J. Zhao State Key Laboratory of Nuclear Physics and Technology, Peking University, Beijing, China Universidad San Francisco de Quito, Quito, Ecuador E. Carrera Jarrin Universidad San Francisco de Quito, Quito, Ecuador E. Carrera Jarrin Academy of Scientific Research and Technology of the Arab Republic of Egypt, Egyptian Network of High Energy Physics, Cairo, Egypt A.A. Abdelalim8,9, Y. Mohammed10, E. Salama11,12 National Institute of Chemical Physics and Biophysics, Tallinn, Estonia S. Bhowmik, R.K. Dewanjee, M. Kadastik, L. Perrini, M. Raidal, C. Veelken JHEP06(2018)102 Department of Physics, University of Helsinki, Helsinki, Finland P. Eerola, H. Kirschenmann, J. Pekkanen, M. Voutilainen State Key Laboratory of Nuclear Physics and Technology, Peking Universit Beijing, China Y. Ban, G. Chen, J. Li, Q. Li, S. Liu, Y. Mao, S.J. Qian, D. Wang, Z. Xu, F. Zhang5 Tsinghua University, Beijing, China Y. Wang Tsinghua University, Beijing, China Y. Wang Universidad de Los Andes, Bogota, Colombia Universidad de Los Andes, Bogota, Colombia C. Avila, A. Cabrera, C.A. Carrillo Montoya, L.F. Chaparro Sierra, C. Florez, C.F. Gonz´alez Hern´andez, J.D. Ruiz Alvarez, M.A. Segura Delgado C. Avila, A. Cabrera, C.A. Carrillo Montoya, L.F. Chaparro Sierra, C. Flore C.F. Gonz´alez Hern´andez, J.D. Ruiz Alvarez, M.A. Segura Delgado University of Split, Faculty of Electrical Engineering, Mechanical Engineering and Naval Architecture, Split, Croatia B. Courbon, N. Godinovic, D. Lelas, I. Puljak, P.M. Ribeiro Cipriano, T. Sculac University of Split, Faculty of Science, Split, Croatia Z. Antunovic, M. Kovac Institute Rudjer Boskovic, Zagreb, Croatia V. Brigljevic, D. Ferencek, K. Kadija, B. Mesic, A. Starodumov6, T. Susa V. Brigljevic, D. Ferencek, K. Kadija, B. Mesic, A. Starodumov6, T. Susa University of Cyprus, Nicosia, Cyprus M.W. Ather, A. Attikis, G. Mavromanolakis, J. Mousa, C. Nicolaou, F. Ptochos, P.A. Razis, H. Rykaczewski – 19 – Charles University, Prague, Czech Republic M. Finger7, M. Finger Jr.7 Helsinki Institute of Physics, Helsinki, Finland Tsamalaidze7 RWTH Aachen University, I. Physikalisches Institut, Aachen, Germany RWTH Aachen University, I. Physikalisches Institut, Aachen, Germany C. Autermann, L. Feld, M.K. Kiesel, K. Klein, M. Lipinski, M. Preuten, C. Schomak 15 RWTH Aachen University, I. Physikalisches Institut, Aachen, Germany C. Autermann, L. Feld, M.K. Kiesel, K. Klein, M. Lipinski, M. Preuten, C. Schomakers, J. Schulz, M. Teroerde, B. Wittmer, V. Zhukov15 C. Autermann, L. Feld, M.K. Kiesel, K. Klein, M. Lipinski, M. Preuten, C. Schomakers, J. Schulz, M. Teroerde, B. Wittmer, V. Zhukov15 RWTH Aachen University, III. Physikalisches Institut A, Aachen, Germany RWTH Aachen University, III. Physikalisches Institut A, Aachen, Germany A. Albert, D. Duchardt, M. Endres, M. Erdmann, S. Erdweg, T. Esch, R. Fischer, A. G¨uth, RWTH Aachen University, III. Physikalisches Institut A, Aachen, Germany A. Albert, D. Duchardt, M. Endres, M. Erdmann, S. Erdweg, T. Esch, R. Fischer, A. G¨uth, T. Hebbeker, C. Heidemann, K. Hoepfner, S. Knutzen, M. Merschmeyer, A. Meyer, P. Millet, S. Mukherjee, T. Pook, M. Radziej, H. Reithler, M. Rieger, F. Scheuch, D. Teyssier, S. Th¨uer A. Albert, D. Duchardt, M. Endres, M. Erdmann, S. Erdweg, T. Esch, R. Fischer, A. G¨uth, T. Hebbeker, C. Heidemann, K. Hoepfner, S. Knutzen, M. Merschmeyer, A. Meyer, P Mill t S M kh j T P k M R d i j H R ithl M Ri F S h h A. Albert, D. Duchardt, M. Endres, M. Erdmann, S. Erdweg, T. Esch, R. Fischer, A. Guth, T. Hebbeker, C. Heidemann, K. Hoepfner, S. Knutzen, M. Merschmeyer, A. Meyer, P. Millet, S. Mukherjee, T. Pook, M. Radziej, H. Reithler, M. Rieger, F. Scheuch, D. Teyssier, S. Th¨uer RWTH Aachen University, III. Physikalisches Institut B, Aachen, Germany G. Fl¨ugge, B. Kargoll, T. Kress, A. K¨unsken, T. M¨uller, A. Nehrkorn, A. Nowack, C. Pistone, O. Pooth, A. Stahl17 Deutsches Elektronen-Synchrotron, Hamburg, Germany M. Aldaya Martin, T. Arndt, C. Asawatangtrakuldee, K. Beernaert, O. Behnke, U. Behrens, A. Berm´udez Mart´ınez, A.A. Bin Anuar, K. Borras18, V. Botta, A. Campbell, P. Connor, C. Contreras-Campana, F. Costanza, C. Diez Pardos, G. Eckerlin, D. Eckstein, T. Eichhorn, E. Eren, E. Gallo19, J. Garay Garcia, A. Geiser, J.M. Grados Luyando, A. Grohsjean, P. Gunnellini, M. Guthoff, A. Harb, J. Hauk, M. Hempel20, H. Jung, M. Kasemann, J. Keaveney, C. Kleinwort, I. Korol, D. Kr¨ucker, W. Lange, A. Lelek, T. Lenz, K. Lipka, W. Lohmann20, R. Mankel, I.-A. Melzer-Pellmann, A.B. Meyer, M. Missiroli, G. Helsinki Institute of Physics, Helsinki, Finland Mittag, J. Mnich, A. Mussgiller, E. Ntomari, D. Pitzl, A. Raspereza, M. Savitskyi, P. Saxena, R. Shevchenko, N. Stefaniuk, G.P. Van Onsem, R. Walsh, Y. Wen, K. Wichmann, C. Wissing, O. Zenaiev Helsinki Institute of Physics, Helsinki, Finland Helsinki Institute of Physics, Helsinki, Finland J. Havukainen, J.K. Heikkil¨a, T. J¨arvinen, V. Karim¨aki, R. Kinnunen, T. Lamp´en, J. Havukainen, J.K. Heikkil¨a, T. J¨arvinen, V. Karim¨aki, R. Kinnunen, T. Lamp´en, K. Lassila-Perini, S. Laurila, S. Lehti, T. Lind´en, P. Luukka, T. M¨aenp¨a¨a, H. Siikonen, J. Havukainen, J.K. Heikkil¨a, T. J¨arvinen, V. Karim¨aki, R. Kinnunen, T. Lamp´en, K. Lassila-Perini, S. Laurila, S. Lehti, T. Lind´en, P. Luukka, T. M¨aenp¨a¨a, H. Siikonen, E. Tuominen, J. Tuominiemi Lappeenranta University of Technology, Lappeenranta, Finland T. Tuuva IRFU, CEA, Universit´e Paris-Saclay, Gif-sur-Yvette, France , , y, , M. Besancon, F. Couderc, M. Dejardin, D. Denegri, J.L. Faure, F. Ferri, S. Ganjour, S. Ghosh, A. Givernaud, P. Gras, G. Hamel de Monchenault, P. Jarry, C. Leloup, E. Locci, M. Machet, J. Malcles, G. Negro, J. Rander, A. Rosowsky, M. ¨O. Sahin, M. Titov Laboratoire Leprince-Ringuet, Ecole polytechnique, CNRS/IN2P3, Univer- sit´e Paris-Saclay, Palaiseau, France A. Abdulsalam13, C. Amendola, I. Antropov, S. Baffioni, F. Beaudette, P. Busson, L. Cadamuro, C. Charlot, R. Granier de Cassagnac, M. Jo, I. Kucher, S. Lisniak, A. Lobanov, J. Martin Blanco, M. Nguyen, C. Ochando, G. Ortona, P. Paganini, P. Pigard, R. Salerno, J.B. Sauvan, Y. Sirois, A.G. Stahl Leiton, T. Strebler, Y. Yilmaz, A. Zabi, A. Zghiche R. Salerno, J.B. Sauvan, Y. Sirois, A.G. Stahl Leiton, T. Strebler, Y. Yilmaz, A. Zab A. Zghiche A. Zghiche Universit´e de Strasbourg, CNRS, IPHC UMR 7178, F-67000 Strasbourg, France J.-L. Agram14, J. Andrea, D. Bloch, J.-M. Brom, M. Buttignol, E.C. Chabert, C. Collard, E. Conte14, X. Coubez, F. Drouhin14, J.-C. Fontaine14, D. Gel´e, U. Goerlach, M. Jansov´a, P. Juillot, A.-C. Le Bihan, N. Tonon, P. Van Hove Centre de Calcul de l’Institut National de Physique Nucleaire et de Physique des Particules, CNRS/IN2P3, Villeurbanne, France S. Gadrat – 20 – Universit´e de Lyon, Universit´e Claude Bernard Lyon 1, CNRS-IN2P3, Institut de Physique Nucl´eaire de Lyon, Villeurbanne, France S. Beauceron, C. Bernet, G. Boudoul, N. Chanon, R. Chierici, D. Contardo, P. Depass S. Beauceron, C. Bernet, G. Boudoul, N. Chanon, R. Chierici, D. Contardo, P. Depasse, H. El Mamouni, J. Fay, L. Finco, S. Gascon, M. Gouzevitch, G. Grenier, B. Ille, F. Lagarde, I.B. Laktineh, M. Lethuillier, L. Mirabito, A.L. Pequegnot, S. Perries, A. Popov15, V. Sordini, M. Vander Donckt, S. Viret, S. Zhang Georgian Technical University, Tbilisi, Georgia T. Toriashvili16 Tbilisi State University, Tbilisi, Georgia Tbilisi State University, Tbilisi, Georgia Z. Tsamalaidze7 JHEP06(2018)102 Z. University of Hamburg, Hamburg, Germany R. Aggleton, S. Bein, V. Blobel, M. Centis Vignali, T. Dreyer, E. Garutti, D. Gonzalez, J. Haller, A. Hinzmann, M. Hoffmann, A. Karavdina, R. Klanner, R. Kogler, N. Kovalchuk, S. Kurz, D. Marconi, M. Meyer, M. Niedziela, D. Nowatschin, F. Pantaleo17, T. Peiffer, A. Perieanu, C. Scharf, P. Schleper, A. Schmidt, S. Schumann, J. Schwandt, J. Sonneveld, H. Stadie, G. Steinbr¨uck, F.M. Stober, M. St¨over, H. Tholen, D. Troendle, E. Usai, A. Vanhoefer, B. Vormwald – 21 – Institut f¨ur Experimentelle Kernphysik, Karlsruhe, Germany M. Akbiyik, C. Barth, M. Baselga, S. Baur, E. Butz, R. Caspart, T. Chwalek, F. Colombo, W. De Boer, A. Dierlamm, N. Faltermann, B. Freund, R. Friese, M. Giffels, M.A. Har- rendorf, F. Hartmann17, S.M. Heindl, U. Husemann, F. Kassel17, S. Kudella, H. Mildner, M.U. Mozer, Th. M¨uller, M. Plagge, G. Quast, K. Rabbertz, M. Schr¨oder, I. Shvetsov, G. Sieber, H.J. Simonis, R. Ulrich, S. Wayand, M. Weber, T. Weiler, S. Williamson, C. W¨ohrmann, R. Wolf Institut f¨ur Experimentelle Kernphysik, Karlsruhe, Germany Institute of Nuclear and Particle Physics (INPP), NCSR Demokritos, Aghia Paraskevi, Greece JHEP06(2018)102 JHEP06(2018)102 G. Anagnostou, G. Daskalakis, T. Geralis, A. Kyriakis, D. Loukas, I. Topsis-Giotis National and Kapodistrian University of Athens, Athens, Greece G. Karathanasis, S. Kesisoglou, A. Panagiotou, N. Saoulidou, E. Tziaferi National Technical University of Athens, Athens, Greece K. Kousouris University of Io´annina, Io´annina, Greece University of Io´annina, Io´annina, Greece University of Ioannina, Ioannina, Greece I. Evangelou, C. Foudas, P. Gianneios, P. Katsoulis, P. Kokkas, S. Mallios, N. Manthos, I. Papadopoulos, E. Paradas, J. Strologas, F.A. Triantis, D. Tsitsonis MTA-ELTE Lend¨ulet CMS Particle and Nuclear Physics Group, E¨otv¨os Lor´and University, Budapest, Hungary M. Csanad, N. Filipovic, G. Pasztor, O. Sur´anyi, G.I. Veres21 Wigner Research Centre for Physics, Budapest, Hungary G. Bencze, C. Hajdu, D. Horvath22, ´A. Hunyadi, F. Sikler, V. Veszpremi, G. Vesztergombi21 Institute of Nuclear Research ATOMKI, Debrecen, Hungary N. Beni, S. Czellar, J. Karancsi23, A. Makovec, J. Molnar, Z. Szillasi Institute of Physics, University of Debrecen, Debrecen, Hungary M. Bart´ok21, P. Raics, Z.L. Trocsanyi, B. Ujvari Indian Institute of Science (IISc), Bangalore, India S. Choudhury, J.R. Komaragiri Indian Institute of Science (IISc), Bangalore, India S. Choudhury, J.R. Komaragiri National Institute of Science Education and Research, Bhubaneswar, India S. Bahinipati24, P. Mal, K. Mandal, A. Nayak25, D.K. Sahoo24, N. Sahoo, S.K. Swain Panjab University Chandigarh India S. Bansal, S.B. Beri, V. Bhatnagar, R. Chawla, N. Dhingra, A. Kaur, M. University of Hamburg, Hamburg, Germany Kaur, S. Kaur, R. Kumar, P. Kumari, A. Mehta, J.B. Singh, G. Walia R. Kumar, P. Kumari, A. Mehta, J.B. Singh, G. Walia University of Delhi, Delhi, India University of Delhi, Delhi, India Ashok Kumar, Aashaq Shah, A. Bhardwaj, S. Chauhan, B.C. Choudhary, R.B. Garg, S. Keshri, A. Kumar, S. Malhotra, M. Naimuddin, K. Ranjan, R. Sharma – 22 – Saha Institute of Nuclear Physics, HBNI, Kolkata, India R. Bhardwaj26, R. Bhattacharya, S. Bhattacharya, U. Bhawandeep26, D. Bhowmik, S. Dey, S. Dutt26, S. Dutta, S. Ghosh, N. Majumdar, A. Modak, K. Mondal, S. Mukhopadhyay, S. Nandan, A. Purohit, P.K. Rout, A. Roy, S. Roy Chowdhury, S. Sarkar, M. Sharan, B. Singh, S. Thakur26 Saha Institute of Nuclear Physics, HBNI, Kolkata, India Indian Institute of Technology Madras, Madras, India P.K. Behera Bhabha Atomic Research Centre, Mumbai, India Bhabha Atomic Research Centre, Mumbai, India R. Chudasama, D. Dutta, V. Jha, V. Kumar, A.K. Mohanty17, P.K. Netrakanti, L.M. Pant, P. Shukla, A. Topkar JHEP06(2018)102 Tata Institute of Fundamental Research-A, Mumbai, India Tata Institute of Fundamental Research-A, Mumbai, India T. Aziz, S. Dugad, B. Mahakud, S. Mitra, G.B. Mohanty, N. Sur, B. Sutar T. Aziz, S. Dugad, B. Mahakud, S. Mitra, G.B. Mohanty, N. Sur, B. Sutar Tata Institute of Fundamental Research-B, Mumbai, India S. Banerjee, S. Bhattacharya, S. Chatterjee, P. Das, M. Guchait, Sa. Jain, S. Kumar, M. Maity27, G. Majumder, K. Mazumdar, T. Sarkar27, N. Wickramage28 Indian Institute of Science Education and Research (IISER), Pune, India S. Chauhan, S. Dube, V. Hegde, A. Kapoor, K. Kothekar, S. Pandey, A. Rane, S. Sharma Institute for Research in Fundamental Sciences (IPM), Tehran, Iran S. Chenarani29, E. Eskandari Tadavani, S.M. Etesami29, M. Khakzad, M. Mohammadi Najafabadi, M. Naseri, S. Paktinat Mehdiabadi30, F. Rezaei Hosseinabadi, B. Safarzadeh31, M. Zeinali Najafabadi, M. Naseri, S. Paktinat Mehdiabadi30, F. Rezaei Hosseinabadi, B. Safarzadeh3 M. Zeinali University College Dublin, Dublin, Ireland M. Felcini, M. Grunewald INFN Sezione di Paviaa, Universit`a di Paviab, Pavia, Italy , , , y A. Braghieria, A. Magnania, P. Montagnaa,b, S.P. Rattia,b, V. Rea, M. Ressegottia,b, C. Riccardia,b, P. Salvinia, I. Vaia,b, P. Vituloa,b INFN Sezione di Perugiaa, Universit`a di Perugiab, Perugia, Italy INFN Sezione di Perugiaa, Universit`a di Perugiab, Perugia, Italy L. Alunni Solestizia,b, M. Biasinia,b, G.M. Bileia, C. Cecchia,b, D. Ciangottinia,b, L. Fan`oa,b, P. Laricciaa,b, R. Leonardia,b, E. Manonia, G. Mantovania,b, V. Mariania,b, M. Menichellia, A. Rossia,b, A. Santocchiaa,b, D. Spigaa INFN Sezione di Pisaa, Universit`a di Pisab, Scuola Normale Superiore di Pisac, Pisa, Italy University College Dublin, Dublin, Ireland M. Felcini, M. Grunewald INFN Sezione di Baria, Universit`a di Barib, Politecnico di Baric, Bari, Italy M. Abbresciaa,b, C. Calabriaa,b, A. Colaleoa, D. Creanzaa,c, L. Cristellaa,b, N. De Filippisa,c, M. De Palmaa,b, F. Erricoa,b, L. Fiorea, G. Iasellia,c, S. Lezkia,b, G. Maggia,c, M. Maggia, B. Marangellia,b, G. Minielloa,b, S. Mya,b, S. Nuzzoa,b, A. Pompilia,b, G. Pugliesea,c, R. Radognaa, A. Ranieria, G. Selvaggia,b, A. Sharmaa, L. Silvestrisa,17, R. Vendittia, P. Verwilligena, G. Zitoa P. Verwilligena, G. Zitoa INFN Sezione di Bolognaa, Universit`a di Bolognab, Bologna, Italy G. Abbiendia, C. Battilanaa,b, D. Bonacorsia,b, L. Borgonovia,b, S. Braibant-Giacomellia,b, R. Campaninia,b, P. Capiluppia,b, A. Castroa,b, F.R. Cavalloa, S.S. Chhibraa,b, G. Codispotia,b, M. Cuffiania,b, G.M. Dallavallea, F. Fabbria, A. Fanfania,b, D. Fasanellaa,b, P. Giacomellia, C. Grandia, L. Guiduccia,b, F. Iemmi, S. Marcellinia, G. Masettia, A. Montanaria, F.L. Navarriaa,b, A. Perrottaa, A.M. Rossia,b, T. Rovellia,b, G.P. Sirolia,b, N. Tosia INFN Sezione di Cataniaa, Universit`a di Cataniab, Catania, Italy S. Albergoa,b, S. Costaa,b, A. Di Mattiaa, F. Giordanoa,b, R. Potenzaa,b, A. Tricomia,b, C. Tuvea,b – 23 – INFN Sezione di Firenzea, Universit`a di Firenzeb, Firenze, Italy INFN Sezione di Firenzea, Universit`a di Firenzeb, Firenze, Italy G. Barbaglia, K. Chatterjeea,b, V. Ciullia,b, C. Civininia, R. D’Alessandroa,b, E. Focardia,b, P. Lenzia,b, M. Meschinia, S. Paolettia, L. Russoa,32, G. Sguazzonia, D. Stroma, L. Viliania Barbaglia, K. Chatterjeea,b, V. Ciullia,b, C. Civininia, R. D’Alessandroa,b, E. Focardia,b, Lenzia,b, M. Meschinia, S. Paolettia, L. Russoa,32, G. Sguazzonia, D. Stroma, L. Viliania INFN Laboratori Nazionali di Frascati, Frascati, Italy L. Benussi, S. Bianco, F. Fabbri, D. Piccolo, F. Primavera17 INFN Laboratori Nazionali di Frascati, Frascati, Italy L Benussi S Bianco F Fabbri D Piccolo F Prima era17 INFN Sezione di Genovaa, Universit`a di Genovab, Genova, Italy V. Calvellia,b, F. Ferroa, F. Raveraa,b, E. Robuttia, S. Tosia,b INFN Sezione di Milano-Bicoccaa, Universit`a di Milano-Bicoccab, Milano, Italy Italy A. Benagliaa, A. Beschib, L. Brianzaa,b, F. Brivioa,b, V. Cirioloa,b,17, M.E. Dinardoa,b, S. Fiorendia,b, S. Gennaia, A. Ghezzia,b, P. Govonia,b, M. Malbertia,b, S. Malvezzia, R A Manzonia,b D Menascea L Moronia M Paganonia,b K Pauwelsa,b D Pedrinia A. Benagliaa, A. Beschib, L. Brianzaa,b, F. Brivioa,b, V. Cirioloa,b,17, M.E. Dinardoa A. Benaglia , A. Beschi , L. Brianza , F. Brivio , V. Ciriolo , M.E. Dinardo , S. Fiorendia,b, S. Gennaia, A. Ghezzia,b, P. Govonia,b, M. Malbertia,b, S. Malvezzia, R.A. Manzonia,b, D. Menascea, L. Moronia, M. Paganonia,b, K. Pauwelsa,b, D. Pedrinia, S. Pigazzinia,b,33, S. Ragazzia,b, T. Tabarelli de Fatisa,b INFN Sezione di Napolia, Universit`a di Napoli ’Federico II’b, Napoli, Italy, Universit`a della Basilicatac, Potenza, Italy, Universit`a G. Marconid, Roma, Italy S. Buontempoa, N. Cavalloa,c, S. Di Guidaa,d,17, F. Fabozzia,c, F. Fiengaa,b, A.O.M. Iorioa d 17 17 b S. Buontempoa, N. Cavalloa,c, S. Di Guidaa,d,17, F. Fabozzia,c, F. Fiengaa,b, A.O.M. Iorioa,b, W.A. Khana, L. Listaa, S. Meolaa,d,17, P. Paoluccia,17, C. Sciaccaa,b, F. Thyssena S. Buontempo , N. Cavallo , S. Di Guida , F. Fabozzi , F. Fienga , A.O.M. Iorio , W.A. Khana, L. Listaa, S. Meolaa,d,17, P. Paoluccia,17, C. Sciaccaa,b, F. Thyssena INFN Sezione di Padovaa, Universit`a di Padovab, Padova, Italy, Universit`a di Trentoc, Trento, Italy P. Azzia, N. Bacchettaa, L. Benatoa,b, M. Benettonia, A. Bolettia,b, R. Carlina,b, P. Checchiaa, M. Dall’Ossoa,b, P. De Castro Manzanoa, T. Dorigoa, U. Dossellia, F. Gasparinia,b, U. Gasparinia,b, A. Gozzelinoa, S. Lacapraraa, P. Lujan, M. Margonia,b, A.T. Meneguzzoa,b, N. Pozzobona,b, P. Ronchesea,b, R. Rossina,b, F. Simonettoa,b, A. Tiko, E. Torassaa, M. Zanettia,b, P. Zottoa,b, G. Zumerlea,b INFN Sezione di Paviaa, Universit`a di Paviab, Pavia, Italy INFN Sezione di Milano-Bicoccaa, Universit`a di Milano-Bicoccab, Milano, Italy JHEP06(2018)102 Hanyang University, Seoul, Korea J.A. Brochero Cifuentes, J. Goh, T.J. Kim J.A. Brochero Cifuentes, J. Goh, T.J. Kim Pisa, Italy K. Androsova, P. Azzurria,17, G. Bagliesia, L. Bianchinia, T. Boccalia, L. Borrello, R. Castaldia, M.A. Cioccia,b, R. Dell’Orsoa, G. Fedia, L. Gianninia,c, A. Giassia, M.T. Grippoa,32, F. Ligabuea,c, T. Lomtadzea, E. Mancaa,c, G. Mandorlia,c, A. Messineoa,b, F. Pallaa, A. Rizzia,b, P. Spagnoloa, R. Tenchinia, G. Tonellia,b, A. Venturia, P.G. Verdinia R. Castaldi , M.A. Ciocci , , R. Dell Orso , G. Fedi , L. Giannini , , A. Giassi , M.T. Grippoa,32, F. Ligabuea,c, T. Lomtadzea, E. Mancaa,c, G. Mandorlia,c, A. Messineoa,b, F. Pallaa, A. Rizzia,b, P. Spagnoloa, R. Tenchinia, G. Tonellia,b, A. Venturia, P.G. Verdinia – 24 – INFN Sezione di Romaa, Sapienza Universit`a di Romab, Rome, Italy L. Baronea,b, F. Cavallaria, M. Cipriania,b, N. Dacia, D. Del Rea,b, E. Di Marcoa,b, M. Diemoza, S. Gellia,b, E. Longoa,b, F. Margarolia,b, B. Marzocchia,b, P. Meridiania, G. Organtinia,b, R. Paramattia,b, F. Preiatoa,b, S. Rahatloua,b, C. Rovellia, F. Santanastasioa,b INFN Sezione di Torinoa, Universit`a di Torinob, Torino, Italy, Universit`a del Piemonte Orientalec, Novara, Italy Seoul National University, Seoul, Korea J. Almond, J. Kim, J.S. Kim, H. Lee, K. Lee, K. Nam, S.B. Oh, B.C. Radburn-Smith, S.h. Seo, U.K. Yang, H.D. Yoo, G.B. Yu Korea University, Seoul, Korea S. Cho, S. Choi, Y. Go, D. Gyun, S. Ha, B. Hong, Y. Jo, Y. Kim, K. Lee, K.S. Lee, S. Lee, J. Lim, S.K. Park, Y. Roh INFN Sezione di Torinoa, Universit`a di Torinob, Torino, Italy, Universit`a del Piemonte Orientalec, Novara, Italy N. Amapanea,b, R. Arcidiaconoa,c, S. Argiroa,b, M. Arneodoa,c, N. Bartosika, R. Bellana,b, JHEP06(2018)102 C. Biinoa, N. Cartigliaa, F. Cennaa,b, M. Costaa,b, R. Covarellia,b, A. Deganoa,b, N. Demariaa, B. Kiania,b, C. Mariottia, S. Masellia, E. Migliorea,b, V. Monacoa,b, E. Monteila,b, M. Montenoa, M.M. Obertinoa,b, L. Pachera,b, N. Pastronea, M. Pelliccionia, G.L. Pinna Angionia,b, A. Romeroa,b, M. Ruspaa,c, R. Sacchia,b, K. Shchelinaa,b, V. Solaa, A. Solanoa,b, A. Staianoa, P. Traczyka,b E. Monteil , , M. Monteno , M.M. Obertino , , L. Pacher , , N. Pastrone , M. Pelliccioni , G.L. Pinna Angionia,b, A. Romeroa,b, M. Ruspaa,c, R. Sacchia,b, K. Shchelinaa,b, V. Solaa, A. Solanoa,b, A. Staianoa, P. Traczyka,b INFN Sezione di Triestea, Universit`a di Triesteb, Trieste, Italy S. Belfortea, M. Casarsaa, F. Cossuttia, G. Della Riccaa,b, A. Zanettia Kyungpook National University, Daegu, Korea D.H. Kim, G.N. Kim, M.S. Kim, J. Lee, S. Lee, S.W. Lee, C.S. Moon, Y.D. Oh, S. Sekmen, D.C. Son, Y.C. Yang Chonnam National University, Institute for Universe and Elementary Particles, Kwangju, Korea H. Kim, D.H. Moon, G. Oh Hanyang University, Seoul, Korea Hanyang University, Seoul, Korea J.A. Brochero Cifuentes, J. Goh, T.J. Kim National Centre for Particle Physics, Universiti Malaya, Kuala Lumpur, Malaysia National Centre for Particle Physics, Universiti Malaya, Kuala Lumpur, Malaysia I. Ahmed, Z.A. Ibrahim, M.A.B. Md Ali34, F. Mohamad Idris35, W.A.T. Wan Abdullah, M.N. Yusli, Z. Zolkapli Centro de Investigacion y de Estudios Avanzados del IPN, Mexico City, Mexico Reyes-Almanza, R, Ramirez-Sanchez, G., Duran-Osuna, M. C., H. Castilla-Valdez, E. De La Cruz-Burelo, I. Heredia-De La Cruz36, Rabadan-Trejo, R. I., R. Lopez-Fernandez, J. Mejia Guisao, A. Sanchez-Hernandez Centro de Investigacion y de Estudios Avanzados del IPN, Mexico City, Mexico Reyes-Almanza, R, Ramirez-Sanchez, G., Duran-Osuna, M. C., H. Castilla-Valdez, E. De La Cruz-Burelo, I. Heredia-De La Cruz36, Rabadan-Trejo, R. I., R. Lopez-Fernandez, J. Mejia Guisao, A. Sanchez-Hernandez Universidad Iberoamericana, Mexico City, Mexico S. Carrillo Moreno, C. Oropeza Barrera, F. Vazquez Valencia JHEP06(2018)102 Benemerita Universidad Autonoma de Puebla, Puebla, Mexico J. Eysermans, I. Pedraza, H.A. Salazar Ibarguen, C. Uribe Estrada Universidad Aut´onoma de San Luis Potos´ı, San Luis Potos´ı, Mexico A. Morelos Pineda University of Auckland, Auckland, New Zealand D. Krofcheck University of Canterbury, Christchurch, New Zealand P.H. Butler National Centre for Physics, Quaid-I-Azam University, Islamabad, Pakistan National Centre for Physics, Quaid-I-Azam University, Islamabad, Pakistan A. Ahmad, M. Ahmad, Q. Hassan, H.R. Hoorani, A. Saddique, M.A. Shah, M. Shoaib, M. Waqas A. Ahmad, M. Ahmad, Q. Hassan, H.R. Hoorani, A. Saddique, M.A. Shah, M. Shoaib, M. Waqas University of Seoul, Seoul, Korea H. Kim, J.H. Kim, J.S.H. Lee, I.C. Park H. Kim, J.H. Kim, J.S.H. Lee, I.C. Park Sungkyunkwan University, Suwon, Korea Y. Choi, C. Hwang, J. Lee, I. Yu Vilnius University, Vilnius, Lithuania Vilnius University, Vilnius, Lithuania V. Dudenas, A. Juodagalvis, J. Vaitkus V. Dudenas, A. Juodagalvis, J. Vaitkus – 25 – National Centre for Nuclear Research, Swierk, Poland National Centre for Nuclear Research, Swierk, Poland National Centre for Nuclear Research, Swierk, Poland H. Bialkowska, M. Bluj, B. Boimska, T. Frueboes, M. G´orski, M. Kazana, K. Nawrocki, M. Szleper, P. Zalewski Institute of Experimental Physics, Faculty of Physics, University of Warsaw, Warsaw, Poland K. Bunkowski, A. Byszuk37, K. Doroba, A. Kalinowski, M. Konecki, J. Krolikowski, M. Misiura, M. Olszewski, A. Pyskir, M. Walczak Laborat´orio de Instrumenta¸c˜ao e F´ısica Experimental de Part´ıculas, Lisboa, Portugal Portugal P. Bargassa, C. Beir˜ao Da Cruz E Silva, A. Di Francesco, P. Faccioli, B. Galinhas, M. Gallinaro, J. Hollar, N. Leonardo, L. Lloret Iglesias, M.V. Nemallapudi, J. Seixas, G. Strong, O. Toldaiev, D. Vadruccio, J. Varela Joint Institute for Nuclear Research, Dubna, Russia S. Afanasiev, P. Bunin, M. Gavrilenko, I. Golutvin, I. Gorbunov, A. Kamenev, V. Kar- javin, A. Lanev, A. Malakhov, V. Matveev38,39, P. Moisenz, V. Palichik, V. Perelygin, S. Shmatov, S. Shulha, N. Skatchkov, V. Smirnov, N. Voytishin, A. Zarubin – 26 – Petersburg Nuclear Physics Institute, Gatchina (St. Petersburg), Russia Petersburg Nuclear Physics Institute, Gatchina (St. Petersburg), Russia Y I V Ki 40 E K t 41 P L h k V M i V O hki I S i Y. Ivanov, V. Kim40, E. Kuznetsova41, P. Levchenko, V. Murzin, V. Oreshkin, I. Smirno anov, V. Kim40, E. Kuznetsova41, P. Levchenko, V. Murzin, V. Oreshkin, I. Smirnov, V S li L U S V il A V b Y. Ivanov, V. Kim40, E. Kuznetsova41, P. Levchenko, V. Murzin, V. Oreshkin, I. Smirnov, D. Sosnov, V. Sulimov, L. Uvarov, S. Vavilov, A. Vorobyev Y. Ivanov, V. Kim , E. Kuznetsova , P. Levchenko, V. Murzin, V. Oreshkin, I. Smirnov, D. Sosnov, V. Sulimov, L. Uvarov, S. Vavilov, A. Vorobyev D. Sosnov, V. Sulimov, L. Uvarov, S. Vavilov, A. Vorobyev Institute for Nuclear Research, Moscow, Russia Yu. Andreev, A. Dermenev, S. Gninenko, N. Golubev, A. Karneyeu, M. Kirsanov, N. Krasnikov, A. Pashenkov, D. Tlisov, A. Toropin Institute for Theoretical and Experimental Physics, Moscow, Russia Institute for Theoretical and Experimental Physics, Moscow, Russia V. Epshteyn, V. Gavrilov, N. Lychkovskaya, V. Popov, I. Pozdnyakov, G. Safronov, A. Spiridonov, A. Stepennov, V. Stolin, M. Toms, E. Vlasov, A. Zhokin JHEP06(2018)102 Moscow Institute of Physics and Technology, Moscow, Russia T. Aushev, A. Bylinkin39 National Research Nuclear University ’Moscow Engineering Physics Insti- tute’ (MEPhI), Moscow, Russia R. Chistov42, M. Danilov42, P. Parygin, D. Philippov, S. Polikarpov, E. Tarkovskii P.N. Lebedev Physical Institute, Moscow, Russia P.N. Lebedev Physical Institute, Moscow, Russia V. Andreev, M. Azarkin39, I. Dremin39, M. Kirakosyan39, S.V. Rusakov, A. Terkulov Skobeltsyn Institute of Nuclear Physics, Lomonosov Moscow State University, Moscow, Russia Moscow, Russia A. Baskakov, A. Belyaev, E. Boos, V. Bunichev, M. Dubinin43, L. Dudko, V. Klyukhin, O Kodolova N Korneeva I Lokhtin I Miagkov S Obraztsov M Perfilov V Savrin Baskakov, A. Belyaev, E. Boos, V. Bunichev, M. Dubinin43, L. Dudko, V. Klyukhin, A. Baskakov, A. Belyaev, E. Boos, V. Bunichev, M. Dubinin43, L. Dudko, V. Klyukhin, O. Kodolova, N. Korneeva, I. Lokhtin, I. Miagkov, S. Obraztsov, M. Perfilov, V. Savrin, P. Volkov O. Kodolova, N. Korneeva, I. Lokhtin, I. Miagkov, S. Obraztsov, M. Perfilov, V. Savrin, P. Volkov Novosibirsk State University (NSU), Novosibirsk, Russia V. Blinov44, D. Shtol44, Y. Skovpen44 State Research Center of Russian Federation, Institute for High Energy Physics State Research Center of Russian Federation, Institute for High Energy Physics of NRC &quot;Kurchatov Institute&quot;, Protvino, Russia I. Azhgirey, I. Bayshev, S. Bitioukov, D. Elumakhov, A. Godizov, V. Kachanov, A. Kalinin, D. Konstantinov, P. Mandrik, V. Petrov, R. Ryutin, A. Sobol, S. Troshin, N. Tyurin, A. Uzunian, A. Volkov I. Azhgirey, I. Bayshev, S. Bitioukov, D. Elumakhov, A. Godizov, V. Kachanov, A. Kalinin, D. Konstantinov, P. Mandrik, V. Petrov, R. Ryutin, A. Sobol, S. Troshin, N. Tyurin, A. Uzunian, A. Volkov National Research Tomsk Polytechnic University, Tomsk, Russia A. Babaev University of Belgrade, Faculty of Physics and Vinca Institute of Nuclear Sciences, Belgrade, Serbia P. Adzic45, P. Cirkovic, D. Devetak, M. Dordevic, J. Milosevic Centro de Investigaciones Energ´eticas Medioambientales y Tec- nol´ogicas (CIEMAT), Madrid, Spain J. Alcaraz Maestre, I. Bachiller, M. Barrio Luna, M. Cerrada, N. Colino, B. De La Cruz, A. Delgado Peris, C. Fernandez Bedoya, J.P. Fern´andez Ramos, J. Flix, M.C. Fouz, O. Gonzalez Lopez, S. Goy Lopez, J.M. Hernandez, M.I. Josa, D. Moran, A. P´erez-Calero Cruz, A. Delgado Peris, C. Fernandez Bedoya, J.P. Fern´andez Ramos, J. Flix, M.C. Fouz, O. Gonzalez Lopez, S. Goy Lopez, J.M. Hernandez, M.I. Josa, D. Moran, A. P´erez-Calero Cruz, A. Delgado Peris, C. Fernandez Bedoya, J.P. Fernandez Ramos, J. Flix, M.C. Fouz, O. Gonzalez Lopez, S. Goy Lopez, J.M. Hernandez, M.I. Josa, D. Moran, A. P´erez-Calero – 27 – Yzquierdo, J. Puerta Pelayo, I. Redondo, L. Romero, M.S. Soares, A. Triossi, A. ´Alvarez Fern´andez Yzquierdo, J. Puerta Pelayo, I. Redondo, L. Romero, M.S. Soares, A. Triossi, A. ´Alvarez Fern´andez Yzquierdo, J. Puerta Pelayo, I. Redondo, L. Romero, M.S. Soares, A. Triossi, A. ´Alvarez Fern´andez Universidad Aut´onoma de Madrid, Madrid, Spain C. Albajar, J.F. de Troc´oniz Universidad de Oviedo, Oviedo, Spain J. Moscow, Russia Cuevas, C. Erice, J. Fernandez Menendez, I. Gonzalez Caballero, J.R. Gonz´alez Fern´andez, E. Palencia Cortezon, S. Sanchez Cruz, P. Vischia, J.M. Vizan Garcia Instituto de F´ısica de Cantabria (IFCA), CSIC-Universidad de Cantabria, Santander, Spain JHEP06(2018)102 I.J. Cabrillo, A. Calderon, B. Chazin Quero, J. Duarte Campderros, M. Fernandez, P.J. Fern´andez Manteca, J. Garcia-Ferrero, A. Garc´ıa Alonso, G. Gomez, A. Lopez Virto, J. Marco, C. Martinez Rivero, P. Martinez Ruiz del Arbol, F. Matorras, J. Piedra Gomez, C. Prieels, T. Rodrigo, A. Ruiz-Jimeno, L. Scodellaro, N. Trevisani, I. Vila, R. Vilar Cortabitarte C. Prieels, T. Rodrigo, A. Ruiz-Jimeno, L. Scodellaro, N. Trevisani, I. Vila, R. Vilar Cortabitarte CERN, European Organization for Nuclear Research, Geneva, Switzer CERN, European Organization for Nuclear Research, Geneva, Switzerland D. Abbaneo, B. Akgun, E. Auffray, P. Baillon, A.H. Ball, D. Barney, J. Bendavid, M. Bianco, A. Bocci, C. Botta, T. Camporesi, R. Castello, M. Cepeda, G. Cerminara, E. Chapon, Y. Chen, D. d’Enterria, A. Dabrowski, V. Daponte, A. David, M. De Gruttola, A. De Roeck, N. Deelen, M. 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Moortgat, M. Mulders, H. Neugebauer, J. Ngadiu S. Orfanelli, L. Orsini, L. Pape, E. Perez, M. Peruzzi, A. Petrilli, G. Petrucciani, A. Pfeiffe M. Pierini, F.M. Pitters, D. Rabady, A. Racz, T. Reis, G. Rolandi47, M. Rovere, H. Sakuli C. Sch¨afer, C. Schwick, M. Seidel, M. Selvaggi, A. Sharma, P. Silva, P. Sphicas48, A. Staki J. Steggemann, M. Stoye, M. Tosi, D. Treille, A. Tsirou, V. Veckalns49, M. Moscow, Russia Verweij, W.D. Zeuner Paul Scherrer Institut, Villigen, Switzerland Paul Scherrer Institut, Villigen, Switzerland W. Bertl†, L. Caminada50, K. Deiters, W. Erdmann, R. Horisberger, Q. Ingram, H.C. Kaestli, D. Kotlinski, U. Langenegger, T. Rohe, S.A. Wiederkehr ETH Zurich - Institute for Particle Physics and Astrophysics (IPA), Zurich, Switzerland M. Backhaus, L. B¨ani, P. Berger, B. Casal, G. Dissertori, M. Dittmar, M. Doneg`a, C. Dor- fer, C. Grab, C. Heidegger, D. Hits, J. Hoss, G. Kasieczka, T. Klijnsma, W. Lustermann, B. Mangano, M. Marionneau, M.T. Meinhard, D. Meister, F. Micheli, P. Musella, F. Nessi- Tedaldi, F. Pandolfi, J. Pata, F. Pauss, G. Perrin, L. Perrozzi, M. Quittnat, M. Reichmann, D.A. Sanz Becerra, M. Sch¨onenberger, L. Shchutska, V.R. Tavolaro, K. Theofilatos, M.L. Vesterbacka Olsson, R. Wallny, D.H. Zhu – 28 – Universit¨at Z¨urich, Zurich, Switzerland National Taiwan University (NTU), Taipei, Taiwan National Taiwan University (NTU), Taipei, Taiwan JHEP06(2018)102 Arun Kumar, P. Chang, Y. Chao, K.F. Chen, P.H. Chen, F. Fiori, W.-S. Hou, Y. Hsiung, Y.F. Liu, R.-S. Lu, E. Paganis, A. Psallidas, A. Steen, J.f. Tsai Chulalongkorn University, Faculty of Science, Department of Physics, Bangkok, Thailand B. Asavapibhop, K. Kovitanggoon, G. Singh, N. Srimanobhas C¸ ukurova University, Physics Department, Science and Art Faculty, Adana, Turkey A. Bat, F. Boran, S. Cerci52, S. Damarseckin, Z.S. Demiroglu, C. Dozen, I. Dumanoglu, S. Girgis, G. Gokbulut, Y. Guler, I. Hos53, E.E. Kangal54, O. Kara, A. Kayis Topaksu, U. Kiminsu, M. Oglakci, G. Onengut, K. Ozdemir55, D. Sunar Cerci52, B. Tali52, U.G. Tok, S. Turkcapar, I.S. Zorbakir, C. Zorbilmez Middle East Technical University, Physics Department, Ankara, Turkey G. Karapinar56, K. Ocalan57, M. Yalvac, M. Zeyrek Bogazici University, Istanbul, Turkey E. G¨ulmez, M. Kaya58, O. Kaya59, S. Tekten, E.A. Yetkin60 Istanbul Technical University, Istanbul, Turkey M.N. Agaras, S. Atay, A. Cakir, K. Cankocak, Y. Komurcu Institute for Scintillation Materials of National Academy of Science of Ukraine, Kharkov, Ukraine B. Grynyov National Scientific Center, Kharkov Institute of Physics and Technology, Kharkov, Ukraine L. Levchuk University of Bristol, Bristol, United Kingdom F. Ball, L. Beck, J.J. Brooke, D. Burns, E. Clement, D. Cussans, O. Davignon, H. Flacher, J. Goldstein, G.P. Heath, H.F. Heath, L. Kreczko, D.M. Newbold61, S. Paramesvaran, T. Sakuma, S. Seif El Nasr-storey, D. Smith, V.J. Smith Bogazici University, Istanbul, Turkey Bogazici University, Istanbul, Turkey E. G¨ulmez, M. Kaya58, O. Kaya59, S. Tekten, E.A. Yetkin60 E. G¨ulmez, M. Kaya58, O. Kaya59, S. Tekten, E.A. Yetkin60 E. G¨ulmez, M. Kaya58, O. Kaya59, S. Tekten, E.A. Yetkin60 Istanbul Technical University, Istanbul, Turkey M.N. Agaras, S. Atay, A. Cakir, K. Cankocak, Y. Komurcu Istanbul Technical University, Istanbul, Turkey Institute for Scintillation Materials of National Academy of Science of Ukraine, Kharkov, Ukraine B. Grynyov Institute for Scintillation Materials of National Academy of Science of Ukraine, Kharkov, Ukraine B. Grynyov N ti l S i tifi C t Kh k I tit t f Ph i d T h l National Scientific Center, Kharkov Institute of Physics and Technology, Kharkov, Ukraine L. Levchuk National Scientific Center, Kharkov Institute of Physics and Technology, Kharkov, Ukraine L. Levchuk University of Bristol, Bristol, United Kingdom F. Ball, L. Beck, J.J. Brooke, D. Burns, E. Clement, D. Cussans, O. Davignon, H. Flacher, J. Goldstein, G.P. Heath, H.F. Heath, L. Kreczko, D.M. Newbold61, S. Paramesvaran, T. National Central University, Chung-Li, Taiwan V. Candelise, Y.H. Chang, K.y. Cheng, T.H. Doan, Sh. Jain, R. Khurana, C.M. Kuo, W. Lin, A. Pozdnyakov, S.S. Yu Universit¨at Z¨urich, Zurich, Switzerland T.K. Aarrestad, C. Amsler51, M.F. Canelli, A. De Cosa, R. Del Burgo, S. Donato, C. Galloni, T. Hreus, B. Kilminster, D. Pinna, G. Rauco, P. Robmann, D. Salerno, K. Schweiger, C. Seitz, Y. Takahashi, A. Zucchetta National Central University, Chung-Li, Taiwan National Taiwan University (NTU), Taipei, Taiwan Sakuma, S. Seif El Nasr-storey, D. Smith, V.J. Smith J. Goldstein, G.P. Heath, H.F. Heath, L. Kreczko, D.M. Newbold , S. Paramesvaran, T. Sakuma, S. Seif El Nasr-storey, D. Smith, V.J. Smith – 29 – Rutherford Appleton Laboratory, Didcot, United Kingdom K.W. Bell, A. Belyaev62, C. Brew, R.M. Brown, L. Calligaris, D. Cieri, D.J.A. Cockerill, J.A. Coughlan, K. Harder, S. Harper, J. Linacre, E. Olaiya, D. Petyt, C.H. Shepherd- Themistocleous, A. Thea, I.R. Tomalin, T. 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Norberg Woods – 34 – 1: Also at Vienna University of Technology, Vienna, Austria 1: Also at Vienna University of Technology, Vienna, Austria 2: Also at IRFU, CEA, Universit´e Paris-Saclay, Gif-sur-Yvette, France 2: Also at IRFU, CEA, Universit´e Paris-Saclay, Gif-sur-Yvette, France 3: Also at Universidade Estadual de Campinas, Campinas, Brazil 4: Also at Federal University of Rio Grande do Sul, Porto Alegre, Brazil 5: Also at Universit´e Libre de Bruxelles, Bruxelles, Belgium 6: Also at Institute for Theoretical and Experimental Physics, Moscow, Russia 7: Also at Joint Institute for Nuclear Research, Dubna, Russia 7: Also at Joint Institute for Nuclear Research 8: Also at Helwan University, Cairo, Egypt 9: Now at Zewail City of Science and Technology, Zewail, Eg 10: Now at Fayoum University, El-Fayoum, Egypt JHEP06(2018)102 11: Also at British University in Egypt, Cairo, Egypt 12: Now at Ain Shams University, Cairo, Egypt 13: Also at Department of Physics, King Abdulaziz University, Jeddah, Saudi Arabia 13: Also at Department of Physics, King Abdulaziz University, Jeddah, Saudi Arab 14: Also at Universit´e de Haute Alsace, Mulhouse, France 14: Also at Universit´e de Haute Alsace, Mulhouse, France 15: Also at Skobeltsyn Institute of Nuclear Physics, Lomonosov Moscow State University, Moscow, Russia 16: Also at Tbilisi State University, Tbilisi, Georgia 17: Also at CERN, European Organization for Nuclear Research, Geneva, Switzerland 17: Also at CERN, European Organization for Nuclear Research, Geneva, Switzerland 18: Also at RWTH Aachen University, III. Physikalisches Institut A, Aachen, Germany 18: Also at RWTH Aachen University, III. Physikalisches Institut A, Aachen, Germany 19: Also at University of Hamburg, Hamburg, Germany 19: Also at University of Hamburg, Hamburg, Germany 20: Also at Brandenburg University of Technology, Cottbus, Germany 20: Also at Brandenburg University of Technology, Cottbus, Germany 21: Also at MTA-ELTE Lend¨ulet CMS Particle and Nuclear Physics Group, E¨otv¨os Lor´and 21: Also at MTA-ELTE Lend¨ulet CMS Particle and Nuclear Physics Group, E¨otv¨os Lor´and University, Budapest, Hungary 21: Also at MTA-ELTE Lend¨ulet CMS Particle and Nuclear Physics Group, E¨otv¨os Lor´and University Budapest Hungary 21: Also at MTA-ELTE Lend¨ulet CMS Particle and Nuclear Physics Group, E¨otv¨os Lor´and University Budapest Hungary University, Budapest, Hungary 22: Also at Institute of Nuclear Research ATOMKI, Debrecen, Hungary 22: Also at Institute of Nuclear Research ATOMKI, Debrecen, Hungary 24: Also at Indian Institute of Technology Bhubaneswar, Bhubaneswar, India 24: Also at Indian Institute of Technology Bhubaneswar, Bhubaneswar, India 25: Also at Institute of Physics, Bhubaneswar, India 25: Also at Institute of Physics, Bhubaneswar, India 26: Also at Shoolini University, Solan, India 27: Also at University of Visva-Bharati, Santiniketan, India 27: Also at University of Visva-Bharati, Santiniketan, India 28: Also at University of Ruhuna, Matara, Sri Lanka 28: Also at University of Ruhuna, Matara, Sri Lanka 29: Also at Isfahan University of Technology, Isfahan, Iran 29: Also at Isfahan University of Technology, Isfahan, Iran 29: Also at Isfahan University of Technolo 30: Also at Yazd University, Yazd, Iran 31: Also at Plasma Physics Research Center, Science and Research Branch, Islamic Aza University, Tehran, Iran University, Tehran, Iran 32: Also at Universit`a degli Studi di Siena, Siena, Italy 33: Also at INFN Sezione di Milano-Bicocca; Universit`a di Milano-Bicocca, Milano, Italy 33: Also at INFN Sezione di Milano-Bicocca; Universit`a di Milano-Bicocca, Milano, Italy 34: Also at International Islamic University of Malaysia, Kuala Lumpur, Malaysia 34: Also at International Islamic University of Malaysia, Kuala Lumpur, Malaysia 35: Also at Malaysian Nuclear Agency, MOSTI, Kajang, Malaysia 35: Also at Malaysian Nuclear Agency, MOSTI, Kajang, Malaysia 36: Also at Consejo Nacional de Ciencia y Tecnolog´ıa, Mexico city, Mexico 36: Also at Consejo Nacional de Ciencia y Tecnolog´ıa, Mexico city, Mexico t Warsaw University of Technology, Institute of E 37: Also at Warsaw University of Technology, Institute of Electronic Systems, Warsaw, Poland 38: Also at Institute for Nuclear Research, Moscow, Russia 38: Also at Institute for Nuclear Research, Moscow, Russia 38: Also at Institute for Nuclear Research, Moscow, Russia 39: Now at National Research Nuclear University ’Moscow Engineering Physics Insti- tute’ (MEPhI), Moscow, Russia 39: Now at National Research Nuclear University ’Moscow Engineering Physics Insti- tute’ (MEPhI), Moscow, Russia 40: Also at St. Petersburg State Polytechnical University, St. Petersburg, Russia 40: Also at St. Petersburg State Polytechnical University, St. Petersburg, Russia 41: Also at University of Florida, Gainesville, U.S.A. 42: Also at P.N. Lebedev Physical Institute, Moscow, Russia 43: Also at California Institute of Technology, Pasadena, U.S.A. – 35 – 44: Also at Budker Institute of Nuclear Physics, Novosibirsk, Russia 44: Also at Budker Institute of Nuclear Physics, Novosibirsk, Russia 45: Also at Faculty of Physics, University of Belgrade, Belgrade, Serbia 45: Also at Faculty of Physics, University of Belgrade, Belgrade, Serbia 46: Also at University of Belgrade, Faculty of Physics and Vinca Institute of Nuclear Sciences, Belgrade, Serbia 46: Also at University of Belgrade, Faculty of Physics and Vinca Institute of Nuclear Sciences, Belgrade, Serbia Belgrade, Serbia 47: Also at Scuola Normale e Sezione dell’INFN, Pisa, Italy 47: Also at Scuola Normale e Sezione dell’INFN, Pisa, Italy 48: Also at National and Kapodistrian University of Athens, Athens, Greece 48: Also at National and Kapodistrian University of Athens, Athens, Greece 49: Also at Riga Technical University, Riga, Latvia 50: Also at Universit¨at Z¨urich, Zurich, Switzerland 50: Also at Universit¨at Z¨urich, Zurich, Switzerland 51: Also at Stefan Meyer Institute for Subatomic Physics (SMI), Vienna, Austria 51: Also at Stefan Meyer Institute for Subatomic Physics (SMI), Vienna, Austria Also at Stefan Meyer Institute for Subatomic P 52: Also at Adiyaman University, Adiyaman, Turkey 53: Also at Istanbul Aydin University, Istanbul, Turkey JHEP06(2018)102 54: Also at Mersin University, Mersin, Turkey 55: Also at Piri Reis University, Istanbul, Turkey 56: Also at Izmir Institute of Technology, Izmir, Turkey 57: Also at Necmettin Erbakan University, Konya, Turkey 58: Also at Marmara University, Istanbul, Turkey 59: Also at Kafkas University, Kars, Turkey 60: Also at Istanbul Bilgi University, Istanbul, Turkey 61: Also at Rutherford Appleton Laboratory, Didcot, United Kingdom 62: Also at School of Physics and Astronomy, University of Southampton, Southampton, United Kingdom 63: Also at Monash University, Faculty of Science, Clayton, Australia 64: Also at Instituto de Astrof´ısica de Canarias, La Laguna, Spain 65: Also at Utah Valley University, Orem, U.S.A. 66: Also at Purdue University, West Lafayette, U.S.A. 67: Also at Beykent University, Istanbul, Turkey 68: Also at Bingol University, Bingol, Turkey 69: Also at Erzincan University, Erzincan, Turkey 70: Also at Sinop University, Sinop, Turkey 71: Also at Mimar Sinan University, Istanbul, Istanbul, Turkey 71: Also at Mimar Sinan University, Istanbul, Istanbul, Turkey 71: Also at Mimar Sinan University, Istanbu 72: Also at Texas A&M University at Qatar, Doha, Qatar 72: Also at Texas A&M University at Qatar, Doha, Qatar 73: Also at Kyungpook National University, Daegu, Korea – 36 –
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Elements of Diagnosis and Non-surgical Treatment of Obstructive Sleep Apnea in Adults from the Dental Medicine Perspective
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Elements of Diagnosis and Non-surgical Treatment of Obstructive Sleep Apnea in Adults from the Dental Medicine Perspective Teodor Trăistaru, Mihaela Pantea, Ana Maria Cristina Țâncu and Marina Imre Abstract Dentists hold a key role in the context of ever-growing concerns regarding the management of Obstructive Sleep Apnea (OSA) in adults. Dentists’ contribution in this domain starts with the screening of patients with possible OSA. An earlier intervention for correcting a dento-maxillary anomaly or a parafunction will often serve as a preventive treatment with regard to possible OSA. Furthermore, dental medicine offers nowadays, apart from orthodontic and surgical treatment, a set of therapeutical methods, the most commonly used being the oral appliance and myofunctional therapies. Another important sphere of professional responsibility of the dentist involved in the treatment of OSA consists of periodical examinations focused on assessing clinical evolution, corrective interventions on oral appliances and interventions for preventing local complications. On the other hand, recent studies indicate the potential of different pharmacotherapy agents on OSA patho- physiology, severity and treatment. These agents have shown promising results in improving the efficacy of other therapies dedicated to OSA, therefore, current topics in modern scientific research include the evaluation of standard, even higher doses of single agents or the combination of different agents on the evolution of OSA, as well as the assessment of the association of diverse pharmacotherapy agents with other OSA therapies. Keywords: Obstructive Sleep Apnea, Dental Sleep Medicine, Oral Appliances, Myofunctional Therapy, Pharmacotherapy Agents Keywords: Obstructive Sleep Apnea, Dental Sleep Medicine, Oral Appliances, Myofunctional Therapy, Pharmacotherapy Agents 1. Introduction Sleep disorders represent an increasingly common pathology, whose undesirable effects could profoundly affect patients’ every-day life. The sleep-related breathing disorders (SRBD) are placed by the American Academy of Sleep Medicine (AASM) among the six categories of sleep disorders in the International Classification of Sleep Disorders, Third Edition (ICSD-3) [1–3]: insomnia; sleep-related breathing 1 Sleep Medicine and the Evolution of Contemporary Sleep Pharmacotherapy disorders; central disorders of hypersomnolence; circadian rhythm sleep–wake disorders; parasomnias; sleep-related movement disorders. Moreover, seep-related breathing disorders - that are characterized by abnormalities of respiration dur- ing sleep - are classifies into four major categories: OSA (obstructive sleep apnea); CSA (central sleep apnea); sleep-related hypoventilation disorders; sleep-related hypoxemia disorder [4]. yp Obstructive Sleep Apnea (OSA) in adults represent a pathology included in the SRBD, which is associated with repetitive episodes of partial or complete collapse of the upper airway during sleep. As a result of these episodes, reduced (hypopnea) or absent (apnea) airflow lasting for at least 10 seconds is registered [3, 4]. In this specific context, the blood oxygen saturation is reduced and the brain is therefore alarmed, so “micro arousals” (“cortical arousal”) appear during sleeping. Apnea episodes can repeat hundreds of times a night, without the patient being aware of them. However, the sleep-quality becomes poor, physiological sleep-pattern is disturbed and the individuals are constantly tired during the day, their work perfor- mance is affected and their quality of life decreases; moreover, individuals can even cause various work, road or domestic accidents due to excessive day-time sleepiness. OSA is a potentially life-threatening disease, its consequences including high blood pressure, diabetes, heart attack or stroke [3–5]. Obstructive sleep apnea (OSA) is traditionally quantified initially with testing during sleep by the apnea-hypopnea index (AHI), respiratory disturbance index (RDI) or respiratory event index (REI) [1, 4]. AHI results after analyzing a poly- somnography (PSG) that is usually done in a sleep laboratory, and includes total episodes of apneas and total hypopneas per hour of sleep. RDI represents the sum of total apneas, total hypopneas and respiratory efforts related to arousals per hour of sleep. REI is a measure of respiratory events in a certain sleep unit of time, when using a home sleep apnea testing (HSAT); it is estimated that REI can underestimate the real index of respiratory events and OSA severity. 2.1 Identification of possible sleep disorders In order to provide high-quality healthcare services to patients with OSAS, medical practitioners - including dentists - should adhere to the latest standards of care and should be able to participate effectively and efficiently in the management of these pathologies, according to evidence-based practices [1, 16]. Medical inter- disciplinary collaboration represents a major element for diagnosis and treatment of patients with OSA. The expanding medical knowledge and the new advancements in scientific research on diverse OSA therapies place the dentist in a key-role posi- tion in the context of managing OSA in adults. Along with other medical specialists (sleep medicine specialists, pneumologists, ENT - ear, nose, and throat specialists, neurologists, cardiologists, endocrinologists, bariatric surgeons, maxillofacial surgeons, psychiatrists, psychologists), the specialists in the domain of dental sleep medicine (DSM) can participate both in the identification of possible sleep disor- ders and in the treatment of certain types of sleep pathologies (snoring, bruxism, mild or even moderate OSA), as well [17]. The specificity of the theoretical and practical content of dental medicine offers the practitioner of dental medicine the chance to contribute to solving medical- dental problems for a large number of patients, whose age can range from youngest to oldest. The professional and social responsibility requires that the dentist pays special attention to specific morpho-functional aspects at the level of the dento- maxillary apparatus (stomatognathic system) which, for certain patients, can suggest the presence of earlier or more advanced OSA manifestations. gg p Therefore, dentist’s role in the management of OSA starts with the screening of the patients visiting the dental office. The screening guidelines for detection of possible sleep disorders recommend that data can be collected even from anamnesis and clinical - general and local - direct observations. The “suspect patient” with possible OSA often has a specific profile, reporting: daytime sleepiness; difficulties in daily activities; chronic fatigue; attention, concentration and memory problems; behavioral disorders: irritability, anxiety, aggressiveness; episodes of wheezing, gasping, choking, snoring or bruxism during sleep (bruxism occurs in up to 95% of patients with OSA) [3, 4]; tooth tapping; night-sweating; leg or arm movements during sleep; frequent urination during night; dry mouth sensation in the morning; morning headaches and dizziness. These elements are frequently observed: obesity; large neck-size (>43 cm for men; >40 cm for women); hypertension; gastro- esophageal reflux; age over 50; dysmenorrhea, amenorrhea, menopause; smoking; alcohol consumption [3, 4]. 1. Introduction However, the diagnosis of OSA is frequently based on the combination of clinical assessment and a diagnostic sleep study (an in-laboratory polysomnography/PSG or a home sleep study) [6]. OSA evidence-based therapeutic options includes: medical, surgical, behavioral strategies and adjuvant therapy/pharmacotherapy agents. Medical therapy is represented by PAP - positive airway pressure - therapy (CPAP/continuous positive airway pressure - the device deliver a steady pressure rate for both inhalation and exhalation); BPAP/bilevel positive airway pressure - the device deliver different pressure rates for inhalation and exhalation); APAP/automatic positive airway pres- sure - automatically adjusts to meet each specific person’s night breathing needs) and oral appliances therapy (OAT), which aim is to reposition intraoral or cranio- facial structures in order to increase the pharyngeal airway space, thus preventing pharyngeal collapse [4, 6]. Surgical options dedicated to OSA patients include: the reduction of soft tissues (i.e. adeno-tonsillectomy, uvulo-palatopharyngoplasty, tongue reduction), maxil- lomandibular surgery, hyoid repositioning, the increment of nasal patency [7], hypoglossal nerve stimulation (HGNS). On the other hand, behavioral strategies are represented by the following: weight loss - ideally up to a body mass index BMI <25 kg/m2; exercising; avoiding the consumption of tobacco and recreational substances; avoiding caffeine and alcohol before bed [1, 8]; positional therapy (non-supine position during sleep) [6, 9–12]. Different studies highlighted that weight loss is an important tool in OSA treatment, being effective in lowering OSA severity and reducing cardiovas- cular risks [6, 13–15]. PAP treatment is considered first-line treatment for OSA, however, its adherence is often poor [5]. The necessity for novel treatment options to help those who cannot 2 Elements of Diagnosis and Non-surgical Treatment of Obstructive Sleep Apnea in Adults… DOI: http://dx.doi.org/10.5772/intechopen.100419 Elements of Diagnosis and Non-surgical Treatment of Obstructive Sleep Apnea in Adults… DOI: http://dx.doi.org/10.5772/intechopen.100419 adhere to positive airway pressure treatment is highly emerging. Regarding OAT therapy, which is enthusiastic received and applied by specialized trained dentists, several barriers were also identified, including the difficulty to accurately predict which patients will receive therapeutic benefit from this therapy and the possible side-effects related to oral appliances (OA). On the other hand, different classes of medication have been tested with regards to their effect on OSA severity. This paper will present dentists’ key role in the context of ever-growing concerns regarding the management of OSA in adults, in conjunction with relevant arguments that indicate the rising potential of different pharmacotherapy agents on OSA. 2.2 Diagnosis and treatments of OSA: an interdisciplinary collaboration In order to evaluate the sleep disorders, the sleep medicine specialists will per- form specific clinical examinations and para-clinical tests on patients with possible sleep apnea, that were referred by the dentists (i.e. polysomnography – an overnight test that includes the monitoring of the patient’s airflow through the nose and mouth; blood oxygen level/pulse-oximetry; blood pressure; electrocardiographic activity/ECG; brain wave pattern/electroencephalogram/EEG; eye movement/ Electrooculography/EOG; movement of respiratory muscle and limbs). Additionally, interdisciplinary collaboration between sleep medicine specialists and pneumolo- gists, cardiologists, E.N.T. - ear, nose, and throat - specialists, neurologists, endo- crinologists or psychiatrists is very useful for obtaining relevant data regarding the patient’s general health status. The sleep medicine specialists will establish the diagnosis and severity of OSA based on previously collected data [3, 4, 16], mostly determined by the combination of clinical assessment and a diagnostic sleep study (an in-laboratory polysomnography/PSG or a home sleep study) [6]. l f d l b d b d d d h OSA are classified as central, obstructive and combined, depending on their specific ethio-pathogenic mechanism. As previously stated, apnea-hypopnea index (AHI) is a very important element in establishing the severity of OSAS; it represents the number of times in an hour when a sleeping person either stops breathing com- pletely or inhales limited air-flow. Each episode must last at least 10 sec. AHI is a major indicator for obstructive sleep apnea, as follows: AHI of 30 or more events in an hour indicates severe sleep apnea; AHI = 15–30 events suggests moderate apnea; AHI = 5–15 events indicates mild apnea [3, 4]. AHI = 5–15 events indicates mild apnea [3, 4]. The sleep medicine specialists are responsible for establishing the proper therapy for OSA patients. The therapeutic conventional options for OSA in adults are: medical, behavioral, surgical and adjuvant - pharmacotherapy agents. CPAP (Continuous Positive Airway Pressure) Therapy - introduced by Sullivan in 1981 - is considered the main treatment for OSA (severe, moderate and mild forms). The evaluation of the evolution of OSA under this specific therapy is assessed according to: reduction of daytime sleepiness, specific evaluation of OSA, patient and family satisfaction, adherence to therapy, achieving an optimal amount of sleep per day, practicing proper sleep hygiene, weight reduction, evaluation of factors that may aggravate the condition, titration (polysomnography/PSG) [3, 4]. 2.1 Identification of possible sleep disorders p Along with these general aspects, dentist should notice and register local aspects that can be related to possible sleep disorders: large tonsils, voluminous posterior palatal soft tissues, hypotonic palatal or lingual musculature, tongue 3 Sleep Medicine and the Evolution of Contemporary Sleep Pharmacotherapy size (macro-glosia), tongue indentation, maxillary compression, maxillary micro- gnatism, micro-gnathism, mandibular retrognatism, deep palate, dental malposi- tion, partial edentulous areas, tooth wear, narrow superior air-ways, oral breathing, deviated nasal septum, nose shape (narrowing) and obstructions [3, 4]. Nevertheless, patients with possible OSA will receive a thorough, complete oral examination of soft and hard tissues, and a direct examination of the tem- poromandibular joint (TMJ) [18]. Intraoral and extraoral photographs, full dental arch impressions for obtaining dental study casts, intraoral scanning for obtaining digital models, conventional radiological exams and additional CBCT (Cone-beam computed tomography) exams are recommended. p g p y Application of specific questionnaires represents another important “tool” in the screening of patients with possible OSA in the dental practice; the most used ques- tionnaires are EPWORTH and STOPBANG questionnaires [17]. Ideally, dentists should apply the questionnaires for all patients that are susceptible of OSAS. Based on data collected from anamnesis, clinical and para-clinical investigations, and on questionnaires’ results, the dentists should refer the patients with possible OSA to the sleep medicine specialist. 2.3 Oral appliance therapy (OAT) Oral appliance therapy (OAT), is considered - for more than 20 years - a mini- mally invasive and effective treatment of OSAS. Oral appliances are represented by tongue retaining devices/TRD (which hold the tongue in a more anterior position) and mandibular advancement devices/MAD (mandibular advancement appliances or mandibular repositioning appliances/MRAs) [3, 4, 6, 22]. The reviewed scientific studies highlighted that the largest evidence base and guidelines exist for man- dibular advancement devices [6]. These devices include a custom-made adjustable monobloc or double occlusal splint (corresponding to the upper and lower dental arches) that has the role to anteriorly reposition the mandible and the adjacent soft tissues (including the tongue) during sleep. This stabilized position of the mandible will enable a larger opening of the pharynx lumen, which mechanically keeps the upper airway open during sleep, by preventing the soft tissue of the throat and the tongue from collapsing into the airway [17, 20, 23]. It is strongly advisable that OSA treatment should never be initiated by a dentist without the patient’s assessment by a sleep medicine specialist. At this specific stage, interdisciplinary collaboration with orthodontists, specialists in prosthodontics, radiologists, specialists in geriatric dentistry, gerontologists, air-way prosthodontic specialists, TMD (temporo- mandibular disorders)/Oro-facial pain specialists or maxillo-facial surgeons is recommended in order to carefully prepare the sequences of the treatment plan. Th l b i i l d l l i i f d b h d i Oral appliance therapy (OAT), is considered - for more than 20 years - a mini- mally invasive and effective treatment of OSAS. Oral appliances are represented by tongue retaining devices/TRD (which hold the tongue in a more anterior position) and mandibular advancement devices/MAD (mandibular advancement appliances or mandibular repositioning appliances/MRAs) [3, 4, 6, 22]. The reviewed scientific studies highlighted that the largest evidence base and guidelines exist for man- dibular advancement devices [6]. These devices include a custom-made adjustable monobloc or double occlusal splint (corresponding to the upper and lower dental arches) that has the role to anteriorly reposition the mandible and the adjacent soft tissues (including the tongue) during sleep. This stabilized position of the mandible will enable a larger opening of the pharynx lumen, which mechanically keeps the upper airway open during sleep, by preventing the soft tissue of the throat and the tongue from collapsing into the airway [17, 20, 23]. 2.2 Diagnosis and treatments of OSA: an interdisciplinary collaboration CPAP therapy (Continuous Positive Airway Pressure Therapy) is frequently recommended The sleep medicine specialists are responsible for establishing the proper therapy for OSA patients. The therapeutic conventional options for OSA in adults are: medical, behavioral, surgical and adjuvant - pharmacotherapy agents. CPAP (Continuous Positive Airway Pressure) Therapy - introduced by Sullivan in 1981 - is considered the main treatment for OSA (severe, moderate and mild forms). The evaluation of the evolution of OSA under this specific therapy is assessed according to: reduction of daytime sleepiness, specific evaluation of OSA, patient and family satisfaction, adherence to therapy, achieving an optimal amount of sleep per day, practicing proper sleep hygiene, weight reduction, evaluation of factors that may aggravate the condition, titration (polysomnography/PSG) [3, 4]. CPAP therapy (Continuous Positive Airway Pressure Therapy) is frequently recommended 4 Elements of Diagnosis and Non-surgical Treatment of Obstructive Sleep Apnea in Adults… DOI: http://dx.doi.org/10.5772/intechopen.100419 Elements of Diagnosis and Non-surgical Treatment of Obstructive Sleep Apnea in Adults… DOI: http://dx.doi.org/10.5772/intechopen.100419 Elements of Diagnosis and Non-surgical Treatment of Obstructive Sleep Apnea in Adults… DOI: http://dx.doi.org/10.5772/intechopen.100419 for severe sleep apnea. On the other hand, specific recommendations are usually accepted with regard to the oral appliance therapy [1, 16, 19, 20]. Oral appliance therapy should be used only when the patient cannot endure or refuses the CPAP therapy, as some specific problems related to the use of CPAP therapy can appear: dry mouth, eye watering, chest pressure, cold sensation, frequent awakenings, noise, mask-leak, skin irritations, claustrophobia [3, 4]. Adherence to CPAP therapy (defined as > 4 h average nightly use) is considered poor with only 46–83% being adherent, even for severe and moderate OSA [3, 4, 6, 21]. Additionally, the effec- tiveness of oral appliances in these severe cases of OSA is estimated to be also poor. On the other hand, oral appliance therapy can be recommended as an additional treatment in the case of moderate apnea and can be the first-choice treatment in mild apnea cases. Moreover, the sleep medicine specialist who diagnoses the OSA refers the patients who could eventually benefit from OAT (oral appliance therapy) to the special trained dentist; following the complete specialized examination of the recommended patients, the dentist will decide the possibility of applying the oral appliance therapy (OAT). 2.3 Oral appliance therapy (OAT) It is strongly advisable that OSA treatment should never be initiated by a dentist without the patient’s assessment by a sleep medicine specialist. At this specific stage, interdisciplinary collaboration with orthodontists, specialists in prosthodontics, radiologists, specialists in geriatric dentistry, gerontologists, air-way prosthodontic specialists, TMD (temporo- mandibular disorders)/Oro-facial pain specialists or maxillo-facial surgeons is recommended in order to carefully prepare the sequences of the treatment plan. The results obtain via general and local examination performed by the dentists are essential not only in identifying patients with possible OSAS, but in the confirma- tion of the proper candidates for oral appliance therapy [18]. Moreover, the selection of the appropriate oral appliance for a specific clinical case is the responsibility of the dentists who are specialized in the treatment of sleep apnea [3, 4], and is influ- enced by diverse elements, as follows: characteristics of cranio-facial structures; oral condition (number, location and health-status of remaining teeth; periodontal tissues status; soft tissue health); oral functionality; anticipated dental restorative needs; reported allergies and/or sensitivities; patients’ manual dexterity, visual acu- ity and cognitive ability; patients’ comfort; financial considerations [1, 3, 4]. At the moment, more than 100 types of oral appliances are available on the medical market (i.e.: IST – Intraoral Snoring Appliance; Monoblock, Klearway; TAP-T Thornton Adjustable Positioner; Erkodent – Silensor; Somnodent; boil and bite – ready-made splints etc). A custom, titratable appliance is recommended versus a non-custom oral device [16, 19], as a successful oral appliance therapy (OAT) is considered to be recommended in order to carefully prepare the sequences of the treatment plan. The results obtain via general and local examination performed by the dentists are essential not only in identifying patients with possible OSAS, but in the confirma- tion of the proper candidates for oral appliance therapy [18]. Moreover, the selection of the appropriate oral appliance for a specific clinical case is the responsibility of the dentists who are specialized in the treatment of sleep apnea [3, 4], and is influ- enced by diverse elements, as follows: characteristics of cranio-facial structures; oral condition (number, location and health-status of remaining teeth; periodontal tissues status; soft tissue health); oral functionality; anticipated dental restorative needs; reported allergies and/or sensitivities; patients’ manual dexterity, visual acu- ity and cognitive ability; patients’ comfort; financial considerations [1, 3, 4]. 2.3 Oral appliance therapy (OAT) At the moment, more than 100 types of oral appliances are available on the medical market (i.e.: IST – Intraoral Snoring Appliance; Monoblock, Klearway; TAP-T Thornton Adjustable Positioner; Erkodent – Silensor; Somnodent; boil and bite – ready-made splints etc). A custom, titratable appliance is recommended versus a non-custom oral device [16, 19], as a successful oral appliance therapy (OAT) is considered to be 5 Sleep Medicine and the Evolution of Contemporary Sleep Pharmacotherapy an integrated, customized treatment. The oral appliances are small-sized, portable, easy to tolerate and easy to clean. The two occlusal splints of the oral appliance are connected by a special system that allows the stabilization of the mandible in a protrusive position. 75% of the maximum protrusion of the mandible, i.e. approximately 8-9 mm on average, is usually recommended to be determined and registered for the most oral appliances; this amount of protrusion is considered to be the maximum allowed for an oral appliance therapy dedicated to OSAS. The adjustment of mandibular advancement level (titration) is recommended to be included in the specific monitoring of OSA patient (part of the immediate check-ups and long-term follow-ups, as well). Obtaining an oral appliance involves several successive steps: conventional impressions of the dental arches or intraoral scanning; obtaining the models of the dental arches (cast models, 3D printed models or digital ones); registration of the protrusive position of the mandible; project and fabrication of the oral appliance; oral appliance delivery: intra-oral placement, control and adjustments; use and homecare instructions delivery. Regarding the registration of the protrusive position of the mandible for OAT, findings in medical literature suggest that a 25–75% protrusion is ranged as com- fortable and yet therapeutic [24, 25]. On the other hand, maximizing the mandibu- lar protrusion with oral appliances may be more important in severe cases of apnea. Different studies highlighted that the treatment results with oral appliances are better when the mandibular advancement is greater - however, possible associated local side effects should be observed and fixed [24, 26]. The protruded mandibular position can be determined and registered with special devices (i.e. “The George Gauge™ Kit”). 2.3 Oral appliance therapy (OAT) g As stated before, patients undergoing oral appliance therapy should be informed and educated about the correct night-wear of the appliance, about its insertion, disinsertion and proper cleaning; morning exercises (using, for example, the Occlusion Trainer [18]), gymnastics and facial, head and neck massages are recom- mended as well [1, 19]. Nevertheless, patients should be aware of the importance of weight control and sleep hygiene; a proper lifestyle, which involves a healthy diet, gymnastics, sports, avoiding caffeine, alcohol, tobacco or recreational substances [1, 3, 4, 8] can have a positive effect on the results of oral appliances therapy. Additionally, positional therapy is considered to be a beneficial adjunct to oral appliance therapy, in order to reduce AHI across total sleep time [6, 25, 27]. Oral myofunctional therapy (OMT) is also recommended to be associated with OA therapy [4]. Suzuki et al. showed that application of OMT was accompanied with a decrease of AHI by approximately 50% in a group of students with high Epworth Sleepiness Scale (ESS) [28]. Upper airway muscle training (oropharyngeal exercises, breathing, speech, swallowing, chewing exercises, movement of the tongue, nose, cheeks, and jaw) completed for 3 months (one hour per day) could decreased the AHI by 39% in patients with moderate OSA [29]. Immediate check-ups and also long-term follow-ups are needed after the inser- tion of a mandibular advancement device (MAD). Appointments are made within the first days or, at least, within the first two weeks after the delivery of the oral appliance; patient comfort and the efficacy of the applied treatment should first be assessed by the dentists, along with small adjustments of the appliance that are also recommended, such as reduction of the pressure against the teeth or marginal fit adjustments. Titration/calibration of the oral appliance is a very delicate and impor- tant aspect in oral appliance therapy. Continued gradual advancement of the man- dible may bring further improvement of the symptoms related to OSA [1, 3, 4, 16]. On the other hand, sometimes reduction of the mandibular protrusion is necessary, 6 Elements of Diagnosis and Non-surgical Treatment of Obstructive Sleep Apnea in Adults… DOI: http://dx.doi.org/10.5772/intechopen.100419 Elements of Diagnosis and Non-surgical Treatment of Obstructive Sleep Apnea in Adults… DOI: http://dx.doi.org/10.5772/intechopen.100419 Elements of Diagnosis and Non-surgical Treatment of Obstructive Sleep Apnea in Adults… DOI: http://dx.doi.org/10.5772/intechopen.100419 if adverse local effects are registered. 2.3 Oral appliance therapy (OAT) The oral appliance therapy outcomes are evaluated by the sleep medicine specialists three months after the initiation of the OA treatment; a control polysomnography is recommended and the progress and benefits of the treatment should be registered. g Periodical examinations focused on assessing clinical evolution, corrective interventions on oral appliances, as well as the interventions for preventing the oro- dental complications - that oral appliances can generate - represent another sphere of professional responsibility of the dental practitioner involved in the OSA treatment. Periodical dental and medical check-ups (every six months or at least once a year) are strongly recommended for long-term monitoring of patients with OSA. The manage- ment of this patients in long term imply permanent communication between the den- tists, the patient’s physician and other healthcare professionals that were involved in the treatment. The dentist should check and register: patient comfort; oral appliance efficacy; persistence of previously resolved symptoms related to OSA; the structural integrity and the occlusal stability of the oral appliance; wear, fractures; bacterial or fungal growth on the appliance [1, 4]. During this periodical dental examinations the appearance of possible side effects correlated to oral appliance therapy can be observed: muscle and joint soreness; soft tissue or gingival inflammation; excessive salivation or, on the contrary, dry mouth sensation; tooth mobility or fractures; teeth migrations and occlusion disturbances [3, 4, 30]. All side effects produced by the oral appliance therapy should be registered, documented and managed; it is important to determine the possible causes of these unpleasant side-effects and to try to reduce the damage. Balance between the actual need of oral appliance therapy and the severity of generated side effects should be evaluated in order to determine if oral appliance therapy should be discontinued and if the patient agree with another form of therapy recommended by the physician. Yet, Lavigne [4] consider that the adverse effects of oral appliances are generally considered to be negligible, mild or transient among most patients. 3. Pharmacotherapy agents and OSA pathophysiology The use of medical-dental therapies, as stand-alone or in combination with other therapeutical alternatives for controlling OSA, represent a viable option in certain clinical cases, depending on the OSA clinical severity and/or the patient’s acceptance of the suggested solution. As pharmacotherapy agents have shown good results in improving the efficacy of other therapies dedicated to OSA, modern scientific research in the field of OSA focuses on the evaluation of diverse doses of single agents or the combination of different agents on the evolution of OSA. Another important aspect regards the association of diverse pharmacotherapy agents with other conventional OSA therapies. Hypnotics represent a group of pharmacological agents that promote sleep and moderate sedation by depressing the central nervous system. Hypnotic use is relatively frequent for people diagnosed with OSA, as they usually experience cur- rent insomnia [31]. Interest has grown steadily in the current scientific research to determine the specific effects of hypnotics on OSA severity, pathophysiology, their possible side-effects. Benzodiazepines have sedative-hypnotic, myorelaxant, and anticonvulsive actions, in higher doses being commonly prescribed for insomnia [31]; early studies suggested that their use in patients with OSA has been controversial and can pos- sibly worsen overnight hypoxemia in OSA [32, 33]. y g yp Hoijer et al. [32] reported in 1994 that nitrazepam did not adversely influence apnea intensity or severity in patients with mild to moderate sleep apnea; the 7 Sleep Medicine and the Evolution of Contemporary Sleep Pharmacotherapy authors suggested that contraindicating benzodiazepine use in sleep apnea may be restricted to the patients with severe sleep apnea. Late in 2011, a study conducted by Wang et al. [33], showed that mild–moderate OSA patients with higher awake central chemosensitivity have higher breathing impairment during sleep following the use of a hypnosedative - temazepam; in this context, the authors highlighted the clinical importance of phenotyping the individual OSA response to temazepam using ventilatory chemoreflexes during wakefulness. A relatively recent study, conducted by Lin BM et al. [34] confirm that the use of benzodiazepine receptor agonists is not associated with increased odds of snor- ing in middle-aged and elderly women. On the other hand, the administration of certain benzodiazepine sedatives in chronic pain patients on opioids induces mild respiratory depression, which is associated with reduced severity of OSA, probably increasing the arousal threshold [35]. 3. Pharmacotherapy agents and OSA pathophysiology However, some studies reported that benzo- diazepines can produce poor motor coordination, dizziness or next-day drowsiness, and can alter the cognitive process and driving ability [31]. Certain pharmacological agents used to treat depression also have sedative effects, and thus are administered to improve night-sleep. As there is an increase need to augment OSA early detection, treatment options and strategies, emerging therapies such as non-benzodiazepine sedative hypnotics (NBSH) could be consid- ered good alternative treatments, along with weight loss, positional therapy, oral appliances, or surgery [6]. Subjects with OSA usually demonstrate a low arousal threshold or propensity to wake easily in response to a disturbance. Sedatives were tried as a therapy for OSA, and different studies highlighted that sedative agents can increase arousal threshold [6, 36–39], for example, trazodone (100 mg, taken orally, 90 min. before bedtime) - a non-myorelaxant sleep-promoting agent - increases the respiratory effort-related to arousal threshold [36] and eszopiclone (3 mg, imme- diately prior to sleep) also increases the arousal threshold and lowers the AHI in obstructive sleep apnea patients [38]. p p p Recently, Chen et al. [40] studied the effect of sedative antidepressants on the severity of OSA in stroke patients, as these medication is frequently prescribed for stroke patients due to their high prevalence of depression and insomnia. Patients were administered 100 mg of trazodone (Trazodone Tab, Taoyuan, Taiwan) just before polysomnography. The authors reported that trazodone may decrease OSA severity without increasing nocturnal hypoxia in OSA patients with comorbid ischemic stroke. On the other hand, it is acknowledged that trazodone - a tricyclic antidepressant - can cause severe toxicity at excessive doses [31]. Z-drugs represent a class of non-benzodiazepine agents (zolpidem, zopiclone, eszopiclone, zaleplon), with certain properties that make them more attractive: they have less adverse side effects, do not reduce deep sleep, and cause less residual daytime effects [31, 41]. The effects of zopiclone – a nonbenzodiazepine sedative – on the arousal thresh- old and on genioglossus muscle activity were analyzed in a group of patients with predominantly severe OSA [42]; thus, the potential effects of zopiclone on obstruc- tive sleep apnea (OSA) severity was studied. The results of this study showed that zopiclone (7.5 mg, taken orally, immediately prior to sleep) increased the arousal threshold without reducing genioglossus muscle activity; the authors noted that these aspects may be favorable for some patients with OSA. 3. Pharmacotherapy agents and OSA pathophysiology However, despite of these promising results of different scientific studies, Eckert et al., early in 2014, [37], pointed out that no trial or evidence has demon- strated a clear and significant improvement in severity of sleep disordered breath- ing when sedative therapy is applied, even in patients with a low arousal threshold. 8 Elements of Diagnosis and Non-surgical Treatment of Obstructive Sleep Apnea in Adults… DOI: http://dx.doi.org/10.5772/intechopen.100419 Elements of Diagnosis and Non-surgical Treatment of Obstructive Sleep Apnea in Adults… DOI: http://dx.doi.org/10.5772/intechopen.100419 Elements of Diagnosis and Non-surgical Treatment of Obstructive Sleep Apnea in Adults… DOI: http://dx.doi.org/10.5772/intechopen.100419 Moreover, Carter et al. [42] stated that zopiclone may worsen hypoxemia in some patients with OSA. p Yet, the effect of non-benzodiazepine sedative hypnotics (NBSH) on continu- ous positive airway pressure (CPAP) adherence in patients with obstructive sleep apnea (OSA) was highlighted in a recent study [43]: the authors concluded that non-benzodiazepine sedative hypnotics administered in OSA patients may increase CPAP adherence (defined as CPAP use for >4 h/night, on >70% of nights); addi- tionally, they noted that especially eszopiclone showed the most significant effect on CPAP adherence, however, the effect of zolpidem and zaleplon on CPAP adher- ence requires further investigation. q g Recently, orexin antagonists have been recommended primarily for people with insomnia [31, 44]. Certain roles of orexin neuropeptides (that are produced by neurons in the lateral hypothalamus) are represented by the regulation of sleep and arousal, as well of circadian rhythms; orexin neurons are activated during wakeful- ness, but during sleep they are inhibited [45]. Consequently, dual orexin receptor antagonists (DORAs: almorexant, lemborexant, filorexant, suvorexant) may be considered an additional pharmaceutical option to treat insomnia in some patients [44]. For example, suvorexant showed a more balanced sleep architecture profile and greater potency than almorexant, yet, no clinically meaningful respiratory effects during sleep were observed in patients with mild or moderate OSA, receiv- ing a single dose (40 mg) or multiple doses of suvoxerant [46]. As the influence of suvorexant in patients with severe OSA have not been profoundly studied, this medication must be used with caution and administered at lower doses in patients with OSA [44]. Along with the pharmacological agents listed and presented above, antihista- mines (histamine antagonists) - that are often recommended in case of respiratory allergies - have also been used to treat mild insomnia. 3. Pharmacotherapy agents and OSA pathophysiology However, they are not associ- ated with dependence, but tolerance can occur with their long-term use. Additionally, Carter et al., in 2021 [31], concluded that common hypnotics can increase the respiratory arousal threshold by approximately 15–30% and have inconsistent effects on next-day alertness; however, in case of obese patients, severe OSA, higher respiratory arousal threshold, or at high doses, hypnotics can worsen overnight hypoxemia. g yp A stated before, different mechanisms can contribute to multifactorial OSA pathophysiology [5], including: increased collapsibility of the passive upper air- way; impaired neuromuscular tone (relative hypotonia of upper airway dilator muscle/genioglossus muscle) and sympathetic neural activity; greater the loop gain; anatomic craniofacial features (increased anterior facial height, decreased pharyngeal airspace, inferiorly placed hyoid bone); high body mass index (obesity); rostral fluid shifts. This heterogenous pathogenesis can generate opportunities for therapies with diverse mechanisms of action: antihypertensive medication (acet- azolamide; spironolactone), anti-inflammatory agents, antidiabetic medications, antidepressant medications or synthetic cannabinoids [5]. Moreover, Lavigne, in 2009 [3], stated that “of all the metabolic syndrome components, OSA has been most strongly linked with hypertension”. Different scientific studies confirm this statement. Eskandari et al. [47], conducted a study in a group of men participants with moderate to severe OSA, which was divided in three sub-groups depending on the received treatment: acetazolamide therapy only; continuous positive airway pressure (CPAP) therapy only; acetazolamide plus CPAP therapy; the authors pointed out that a reduction in AHI was found in all three experimental groups, with the greatest reduction noted in the acetazolamide plus CPAP group. It was also demonstrated that spironolactone administered to patients with moderate–severe OSA and resistant hypertension produces a change in AHI from 36.6/hour at 9 Sleep Medicine and the Evolution of Contemporary Sleep Pharmacotherapy baseline to 14.8/hour [48]. In the same line, Fiori et al. [49], showed that spirono- lactone plus furosemide daily reduced AHI by 14.4%, after one week of treatment, versus sodium-restricted diet that reduced AHI by 22.3% and versus 0.8% reduc- tion of AHI correspondent to the placebo monotherapy. As regard of Sodium-glucose Cotransporter-2 inhibitors (SGLT-2 inhibitors), there are previous studies indicating that SGLT-2 inhibitors may reduce OSA severity. Furukawa et al. [50] found that dapagliflozin might improve moderate to severe sleep-disorders breathing in Japanese patients with obesity and type 2 diabetes mellitus (mean AHI decreased from 25/hour to 19/hour). Tang et al. 3. Pharmacotherapy agents and OSA pathophysiology [51] considered that dapagliflozin could demonstrate therapeutic value for patients with T2DM (type-2 diabetes mellitus) combined with OSA; this study highlights that dapagliflozin can significantly reduce glucose, BMI, blood pressure and AHI and improve hypoxemia during sleep, therefore, indicates that dapagliflozin has poten- tial as an effective treatment approach for OSA. pp On the other hand, limited studies have been conducted in patients with OSA in order to demonstrate reduction in AHI with synthetic cannabinoids use. Yet, recently, Taranto-Montemurro L et al. [52] showed for the first time that the combination of a norepinephrine reuptake inhibitor (atomoxetine/80 mg at bedtime) and an antimuscarinic (oxybutynin/5 mg at bedtime) clearly reduces OSA Severity (>50%); the authors suggested these results may reorient future treatment of OSA. Elements of Diagnosis and Non-surgical Treatment of Obstructive Sleep Apnea in Adults… DOI: http://dx.doi.org/10.5772/intechopen.100419 Elements of Diagnosis and Non-surgical Treatment of Obstructive Sleep Apnea in Adults… DOI: http://dx.doi.org/10.5772/intechopen.100419 The combined modern therapies for OSA (medical, surgical, behavioral strategies, pharmacotherapy agents) have to be adjusted continuously, in respect to recent scientific research, in order to deliver the best results for patients, emphasizing their quality of life in addition to medical care. q y Current - Western allopathic medicine benefits from the accumulation of large fundamental biomedical knowledge, special equipment, modern materials and techniques. Medical specializations and supra-specializations offer increased chances for therapeutic success, provided that the early diagnosis and therapeutic indication are as accurate as possible and the patient has proper, legitimate access to the health services provided by the medical staff. The complexity of clinical cases varies between patients, and the clinical com- plexity of a single clinical case can evolve towards simplification or, on the contrary, towards increased complexity. The greater the complexity of a clinical case is, the greater is the need for multidisciplinary collaboration, in order to increase the accuracy of medical decisions. y In our opinion, the previous considerations are also valid in the case of OSA, whose etiopathogenic and clinical complexity requires such an approach. To meet such a requirement - that focuses on the quality of life of the patient, with his unique bio-psycho-social-cultural profile, unlikely repeatable - health care systems, along with socio-economic, cultural or political systems must act in multiple directions. p y p First of all, the health systems should be provided with the necessary medical personnel, having various clinical specializations; nevertheless, medical personnel should have a balanced territorial distribution and it should be open to continuous training and inter-disciplinary collaboration. g p y Secondly, regarding the rapidly evolving topic represented by OSA, which obvi- ously represents an interdisciplinary chapter of human pathology, it would be inter- esting to organize university courses with interdisciplinary content, that are opened to all students in both medicine and dentistry. This approach can create a strong basis for future interdisciplinary clinical collaborations between post-graduates. Importantly, the medical management between the dental and clinical disciplines should be optimally and formally integrated. This aspect involves the promotion of clinical guidelines suitable for dental practitioners’ use, and proper training for the next generation of dentists. 4. Conclusions It is well acknowledged the complexity of OSA, its heterogeneity in terms of risk factors and consequences, pathophysiological phenotypes, clinical presentation, and comorbidity [6, 53]. We understand more and more the importance of phenotyping patients with OSA (clinical, anatomical, genetic and polysomnographic pheno- typing, biomarkers assessment, life style factors evaluation) and identifying the patients that can benefit from a pharmacotherapy that targets their major predispos- ing factors [4, 6]. This aim implies advanced validation of the phenotyping tools and algorithms that should be used to identify the principal factors precipitating OSA in individual patients [53]. The interconnected risk factors for OSA needs to be con- sidered in order to achieve precision medicine in OSA [4]. Pharmacotherapy agents may have an important role as monotherapy in the treatment of mild OSA, or could be used in association with other therapies in moderate-to-severe OSA, including oral appliances therapy (OAT), provided by dentists trained in dental sleep medicine (DSM). Additionally, as patient-centered care is the future, recognizing and under- standing patient profound medical needs, preferences, their psychological status, expectations and beliefs [4] contribute in the successful implementation of OSA complex therapies. Moreover, considering the interest shown in the field of TMD (temporo-man- dibular disorders) and oro-facial pain for under and post-graduate students train- ing, and given the important role of the dentist in the early detection, treatment and monitoring of patients with OSA and sleep bruxism, it is necessary that the aspects related to dental sleep medicine (DSM) should also be found in a multi- and inter-disciplinary organized form in university curricula (stand-alone disciplines, courses, practical training), this approach corresponding to the growing need for treatment of this pathology in the general population. y An important issue is the one related to the actual “dental/clinical complex symbiosis” in OSA therapy, that should lead to improved personal medical care. 10 Elements of Diagnosis and Non-surgical Treatment of Obstructive Sleep Apnea in Adults… DOI: http://dx.doi.org/10.5772/intechopen.100419 Elements of Diagnosis and Non-surgical Treatment of Obstructive Sleep Apnea in Adults… DOI: http://dx.doi.org/10.5772/intechopen.100419 Additionally, medical dental practitioners contribution in OSA management could be found in the clinically justified concern of phenotyping OSA patients, so that each patient is recommended the best (simple or combined) therapeutic variant, adjusted to the individual etiopathogenic context and to the severity of the disease. On the other hand, properly designed both clinical and dental research studies could contribute to better specification of the various “subsets” of patients, which could thus benefit more from the application of a proper therapeutic variant. In this context, dentistry could become more useful and more effective in the management of OSA patients and cases of “over-treatment” or cases of malpractice could thus be avoided. The role of dentistry and the involvement of dental sleep medicine specialists in prevention, detection, treatment of mild or moderate forms of OSA, and in long term management of OSA is acknowledged. Moreover, multidisciplinary and interdisciplinary medical path allow a holistic approach of the patient, thus provid- ing best therapeutic results. g Promising results were achieved in the field of pharmacotherapy of OSA - as stand alone or in combination with other therapies. Nevertheless, more scientific 11 Sleep Medicine and the Evolution of Contemporary Sleep Pharmacotherapy research and consistent clinical trials are needed in order to offer great perspectives for this fascinating medical domain. The authors declare no conflict of interest. The authors declare no conflict of interest. Elements of Diagnosis and Non-surgical Treatment of Obstructive Sleep Apnea in Adults… DOI: http://dx.doi.org/10.5772/intechopen.100419 Author details Teodor Trăistaru1,2, Mihaela Pantea1,2*, Ana Maria Cristina Țâncu1,3 and Marina Imre1,3 1 “Carol Davila” University of Medicine and Pharmacy, Bucharest, Romania 2 Faculty of Dental Medicine, Department of Fixed Prosthodontics and Occlusology, Bucharest, Romania 3 Faculty of Dental Medicine, Department of Complete Denture, Bucharest, Romania *Address all correspondence to: mihaela.pantea@umfcd.ro Elements of Diagnosis and Non-surgical Treatment of Obstructive Sleep Apnea in Adults… DOI: http://dx.doi.org/10.5772/intechopen.100419 Elements of Diagnosis and Non-surgical Treatment of Obstructive Sleep Apnea in Adults… DOI: http://dx.doi.org/10.5772/intechopen.100419 13 Author details Teodor Trăistaru1,2, Mihaela Pantea1,2*, Ana Maria Cristina Țâncu1,3 and Marina Imre1,3 1 “Carol Davila” University of Medicine and Pharmacy, Bucharest, Romania 2 Faculty of Dental Medicine, Department of Fixed Prosthodontics and Occlusology, Bucharest, Romania 3 Faculty of Dental Medicine, Department of Complete Denture, Bucharest, Romania *Address all correspondence to: mihaela.pantea@umfcd.ro © 2021 The Author(s). Licensee IntechOpen. This chapter is distributed under the terms of the Creative Commons Attribution License (http://creativecommons.org/licenses/ by/3.0), which permits unrestricted use, distribution, and reproduction in any medium, provided the original work is properly cited. Author details Teodor Trăistaru1,2, Mihaela Pantea1,2*, Ana Maria Cristina Țâncu1,3 and Marina Imre1,3 1 “Carol Davila” University of Medicine and Pharmacy, Bucharest, Romania 2 Faculty of Dental Medicine, Department of Fixed Prosthodontics and Occlusology, Bucharest, Romania 3 Faculty of Dental Medicine, Department of Complete Denture, Bucharest, Romania *Address all correspondence to: mihaela.pantea@umfcd.ro © 2021 The Author(s). Licensee IntechOpen. This chapter is distributed under the terms of the Creative Commons Attribution License (http://creativecommons.org/licenses/ by/3.0), which permits unrestricted use, distribution, and reproduction in any medium, provided the original work is properly cited. Abbreviations Abbreviations AAMS American Academy of Sleep Medicine AHI Apnea-Hypopnea Index APAP automatic positive airway pressure BMI body mass index BPAP bilevel positive airway pressure CBCT cone-beam computed tomography CPAP continuous positive airway pressure CSA central sleep apnea DORAs dual orexin receptor antagonists DSM dental sleep medicine ECG electrocardiographic activity EEG electroencephalogram ENT ear, nose, and throat specialist/surgeon EOG electrooculography ESS Epworth Sleepiness Scale HGNS hypoglossal nerve stimulation HSAT Home Sleep Apnea Testing IST Intraoral Snoring Appliance MAD mandibular advancement devices MRAs mandibular repositioning appliances NBSH non-benzodiazepine sedative hypnotics OA oral appliance OAT oral appliance therapy OMT oral myofunctional therapy OSA obstructive sleep apnea PAP positive airway pressure PSG polysomnography/polysomnogram RDI Respiratory Disturbance Index REI Respiratory Event Index SGLT-2 inhibitors Sodium-glucose Cotransporter-2 inhibitors SRBD sleep-related breathing disorders TAP T Thornton Adjustable Positioner TMD temporo-mandibular disorders TMJ temporomandibular joint TRD tongue retaining device T2DM type-2 diabetes mellitus Abbreviations AAMS American Academy of Sleep Medicine AHI Apnea-Hypopnea Index APAP automatic positive airway pressure BMI body mass index BPAP bilevel positive airway pressure CBCT cone-beam computed tomography CPAP continuous positive airway pressure CSA central sleep apnea DORAs dual orexin receptor antagonists DSM dental sleep medicine ECG electrocardiographic activity EEG electroencephalogram ENT ear, nose, and throat specialist/surgeon EOG electrooculography ESS Epworth Sleepiness Scale HGNS hypoglossal nerve stimulation HSAT Home Sleep Apnea Testing IST Intraoral Snoring Appliance MAD mandibular advancement devices MRAs mandibular repositioning appliances NBSH non-benzodiazepine sedative hypnotics OA oral appliance OAT oral appliance therapy OMT oral myofunctional therapy OSA obstructive sleep apnea PAP positive airway pressure PSG polysomnography/polysomnogram RDI Respiratory Disturbance Index REI Respiratory Event Index SGLT-2 inhibitors Sodium-glucose Cotransporter-2 inhibitors SRBD sleep-related breathing disorders TAP T Thornton Adjustable Positioner TMD temporo-mandibular disorders TMJ temporomandibular joint TRD tongue retaining device T2DM type-2 diabetes mellitus 12 Author details © 2021 The Author(s). 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Fatores de risco para lesão renal aguda em pacientes hospitalizados com COVID-19
Brazilian Journal of Nephrology
2,023
cc-by
7,776
Autores Carolina Larrarte Arenas1 Andrés Camilo Prieto Forero1 Diana Carolina Vargas Ángel1 Pedro Manuel Rincón López1 Lizeth Vanessa Gómez Diaz1 Diana Katherine Navas Aguilar1 Henry Camilo Morera Yate1 Introdução: Lesão renal aguda (LRA) ocorre frequentemente em pacientes com COVID-19 e associa-se a maior morbidade e mortalidade. Conhecer riscos da LRA permite a identificação, prevenção e tratamento oportuno. Este estudo teve como objetivo identificar fatores de risco associados à LRA em pacientes hospitalizados. Métodos: Realizou-se estudo descritivo, retrospectivo, transversal e de componente analítico de pacientes adultos hospitalizados com COVID-19 de 1º de março a 31 de dezembro, 2020. Definiu- se a LRA pelos critérios de creatinina das diretrizes KDIGO-LRA. Informações sobre fatores de risco foram obtidas de prontuários eletrônicos. Resultados: Dos 934 pacientes, 42,93% desenvolveram LRA, 60,59% KDIGO-1 e 9,9% necessitaram de terapia renal substitutiva. Pacientes com LRA apresentaram maior tempo de internação, maior mortalidade e necessitaram de mais internações em UTIs, ventilação mecânica e suporte vasopressor. A análise multivariada mostrou que idade (OR 1,03; IC 95% 1,02–1,04), sexo masculino (OR 2,13; IC 95% 1,49–3,04), diabetes mellitus (DM) (OR 1,55; IC 95% 1,04–2,32), doença renal crônica (DRC) (OR 2,07; IC 95% 1,06–4,04), proteína C reativa (PCR) (OR 1,02; IC 95% 1,00–1,03), admissão em UTI (OR 1,81; IC 95% 1,04–3,16) e suporte vasopressor (OR 7,46; IC 95% 3,34–16,64) foram fatores de risco para LRA, e que bicarbonato (OR 0,89; IC 95% 0,84–0,94) e índice de pressão parcial de oxigênio arterial/ fração inspirada de oxigênio (OR 0,99; IC 95% 0,98–0,99) poderiam ser fatores de proteção. Conclusões: Documentou-se alta frequência de LRA em pacientes com COVID-19, com diversos preditores: idade, sexo masculino, DM, DRC, PCR, admissão em UTI e suporte vasopressor. LRA ocorreu mais frequentemente em pacientes com maior gravidade da doença e associou-se a maior mortalidade e piores desfechos. Introduction: Acute kidney injury (AKI) occurs frequently in COVID-19 patients and is associated with greater morbidity and mortality. Knowing the risks of AKI allows for identification, prevention, and timely treatment. This study aimed to identify the risk factors associated with AKI in hospitalized patients. Methods: A descriptive, retrospective, cross-sectional, and analytical component study of adult patients hospitalized with COVID-19 from March 1 to December 31, 2020 was carried out. AKI was defined by the creatinine criteria of the KDIGO-AKI guidelines. Information, regarding risk factors, was obtained from electronic medical records. 1RCS Hospital Militar Central, Bogotá, Colômbia. Artigo Original | Original Article Artigo Original | Original Article Artigo Original | Original Article Artigo Original | Original Article Introdução LRA para iniciar medidas preventivas e estratégias terapêuticas precoces que possam melhorar os desfechos dos pacientes. O primeiro caso de infecção por SARS-CoV-2 foi relatado em 2019, levando a um rápido aumento de casos em diversos países, e foi declarada uma pandemia em março de 20201,2. A COVID-19 causou um grande impacto em todo o mundo em termos de morbidade e mortalidade, custos para o sistema de saúde e ônus econômico para os países afetados3,4. Inicialmente, foi considerada uma doença pulmonar, mas, com o tempo, aprendeu-se mais sobre seu comportamento e descobriu-se que ela poderia afetar outros órgãos, inclusive os rins. O envolvimento renal pela COVID-19 tem sido frequentemente relatado na literatura médica e pode se manifestar com hematúria, proteinúria e/ou disfunção renal com lesão renal aguda (LRA)5. A frequência do envolvimento renal varia nos estudos publicados; no entanto, foi relatada em mais de 20% dos pacientes hospitalizados e em mais de 50% dos pacientes em unidade de terapia intensiva (UTI)6. Múltiplos mecanismos estão envolvidos na fisiopatologia da LRA associada à COVID-19, como tropismo viral renal e dano direto, envolvimento inflamatório, disfunção imunológica, coagulopatia, disfunção endotelial, ativação do complemento, além de fatores envolvidos no desenvolvimento de LRA em pacientes graves e suas intervenções7. A LRA tem sido considerada um fator de risco independente para mortalidade em pacientes com COVID-19, relatada em 35 a 80% dos pacientes, sendo maior (75 a 90%) em pacientes que necessitam de terapia renal substitutiva (TRS)6–11. Estudos que avaliaram o risco de LRA em pacientes com COVID-19 identificaram fatores de risco como sexo masculino, idade, diabetes mellitus, doença cardíaca, doença renal crônica (DRC), raça negra, escore SOFA não renal elevado, COVID-19 grave, ventilação mecânica invasiva (VMI) e uso de vasopressores5,11–13. Na Colômbia, as informações disponíveis sobre o assunto são limitadas. Considerando a associação de LRA com pior prognóstico, é importante estratificar o risco de Este estudo teve como objetivo identificar fatores de risco associados ao desenvolvimento de LRA em pacientes hospitalizados com diagnóstico de COVID-19 em um hospital universitário em Bogotá, na Colômbia, de 1º de março a 31 de dezembro de 2020. O objetivo secundário foi caracterizar a população e descrever os desfechos, como TRS e óbito. Autores Results: Out of the 934 patients, 42.93% developed AKI, 60.59% KDIGO-1, and 9.9% required renal replacement therapy. Patients with AKI had longer hospital stay, higher mortality, and required more intensive care unit (ICU) admission, mechanical ventilation, and vasopressor support. Multivariate analysis showed that age (OR 1.03; 95% CI 1.02–1.04), male sex (OR 2.13; 95% CI 1.49–3.04), diabetes mellitus (DM) (OR 1.55; 95% CI 1.04–2.32), chronic kidney disease (CKD) (OR 2.07; 95% CI 1.06–4.04), C-reactive protein (CRP) (OR 1.02; 95% CI 1.00–1.03), ICU admission (OR 1.81; 95% CI 1.04–3.16), and vasopressor support (OR 7.46; 95% CI 3.34–16.64) were risk factors for AKI, and that bicarbonate (OR 0.89; 95% CI 0.84– 0.94) and partial pressure arterial oxygen/ inspired oxygen fraction index (OR 0.99; 95% CI 0.98-0.99) could be protective factors. Conclusions: A high frequency of AKI was documented in COVID-19 patients, with several predictors: age, male sex, DM, CKD, CRP, ICU admission, and vasopressor support. AKI occurred more frequently in patients with higher disease severity and was associated with higher mortality and worse outcomes. Data de submissão: 21/04/2023. Data de aprovação: 20/09/2023. Data de publicação: 08/12/2023. Correspondência para: Carolina Larrarte Arenas. E-mail: carolarrarte@hotmail.com DOI: https://doi.org/10.1590/2175- 8239-JBN-2023-0056pt Lesão renal aguda na COVID-19 Keywords: Acute Kidney Injury; Corona­ virus Infections; COVID-19; SARS- CoV-2; Risk Factors. Descritores: Injúria Renal Aguda; Infecções por Coronavírus; COVID-19; SARS-CoV-2; Fatores de Risco. Descritores: Injúria Renal Aguda; Infecções por Coronavírus; COVID-19; SARS-CoV-2; Fatores de Risco. Descritores: Injúria Renal Aguda; Infecções por Coronavírus; COVID-19; SARS-CoV-2; Fatores de Risco. Keywords: Acute Kidney Injury; Corona­ virus Infections; COVID-19; SARS- CoV-2; Risk Factors. Métodos Se essa informação não estivesse disponível, o valor mais baixo de creatinina durante a hospitalização (excluindo o período em que o paciente esteve em TRS) foi considerado como a creatinina de referência. Para estabelecer os fatores de risco associados ao desenvolvimento de LRA e à necessidade de TRS, foi realizada uma análise multivariada com regressão logística binária. As premissas para as variáveis incluídas no modelo foram verificadas, destacando o cumprimento de independência de erro com um teste estatístico de Durbin-Watson variando entre 2 e 3. Além disso, foi confirmada a ausência de multicolinearidade, com uma estatística de fator de inflação da variância (VIF, por sua sigla em inglês) inferior a 10 para cada variável do modelo. As variáveis de interesse e com diferenças estatisticamente significativas foram incluídas na análise bivariada. Além disso, foi realizado o teste de calibração (Hosmer e Lemeshow p = 0,022), e as variáveis que afetaram o número total de casos a serem analisados devido à baixa representatividade foram excluídas (n = 894, casos ausentes: 40 para desenvolvimento de LRA e n = 383, casos ausentes: 18 para necessidade de TRS), obtendo-se um R-quadrado de Nagelkerke de 0,35. Após a aprovação do comitê de ética e pesquisa do Hospital Militar Central, um banco de dados foi criado em planilha Excel, versão 2019, no qual foram inseridas as informações obtidas dos prontuários eletrônicos dos pacientes e, em seguida, exportadas para o pacote estatístico SPSS 21 para análise. As variáveis registradas foram características demográficas, histórico, características clínicas, creatinina basal ou de referência, resultados laboratoriais das primeiras 72 horas de internação, valor máximo e/ou mínimo de alguns exames laboratoriais e desfechos. As informações sobre comorbidades foram obtidas por meio da revisão dos registros médicos. Algumas variáveis apresentaram dados ausentes aleatórios; no entanto, nenhuma imputação por média/mediana foi realizada para evitar alteração na distribuição da variável. Devido à ausência de linearidade ou correlação entre algumas dessas variáveis com dados ausentes, não foi realizada nenhuma imputação múltipla ou de regressão. Em vez disso, decidiu-se realizar a exclusão pareada. Métodos Este foi um estudo descritivo, retrospectivo e transversal com componente analítico realizado no Hospital Militar Central, Bogotá, na Colômbia. Inicialmente, 1.019 pacientes foram selecionados por atenderem aos critérios de inclusão do estudo (adultos com 18 anos ou mais com diagnóstico de COVID-19 por RT-PCR ou teste de antígeno, com tempo de internação hospitalar superior a 48 horas). Um total de 934 pacientes foram incluídos na análise, enquanto 22 foram excluídos devido à DRC 5D, histórico de transplante renal e gravidez, e 63 foram excluídos devido à falta de informações para avaliar o diagnóstico de LRA. A LRA foi definida de acordo com os critérios de elevação da creatinina sérica propostos pelas diretrizes do KDIGO para LRA, de 2012 (aumento da creatinina superior ou igual a 0,3 mg/dL em 48 horas ou superior ou igual a 1,5 vezes em relação aos valores basais nos últimos 7 dias)14. A classificação KDIGO foi usada para definir a gravidade da LRA (1: aumento da creatinina de 1,5 a 1,9 vezes em relação ao valor basal ou maior ou igual a 0,3 mg/dL; 2: aumento de 2 a 5 vezes; 3: aumento superior ou igual a 3 vezes ou aumento da creatinina para maior ou igual a 4 mg/dL ou início de TRS)14. O critério de diminuição do débito urinário não foi incluído na definição ou gravidade da LRA porque essa informação não estava disponível no histórico clínico dos pacientes. Braz. J. Nephrol. (J. Bras. Nefrol.) 2024, 46(2):e20230056 2 2 Lesão renal aguda na COVID-19 Para cada paciente, foi calculada a creatinina média dos dias 8 a 365 antes da internação, e determinou-se a creatinina mais baixa nos 7 dias antes da internação. O valor mais baixo de creatinina entre esses dois parâmetros foi definido como a creatinina basal. Se essa informação não estivesse disponível, o valor mais baixo de creatinina durante a hospitalização (excluindo o período em que o paciente esteve em TRS) foi considerado como a creatinina de referência. confiança de 95% (IC 95%). Por fim, estratificamos por outras variáveis utilizando um modelo de regressão logística multivariada, analisando possíveis variáveis modificadoras ou de confusão da medida de associação. Um valor de p inferior a 0,05 foi considerado estatisticamente significativo. O valor mais baixo de creatinina entre esses dois parâmetros foi definido como a creatinina basal. Resultados Destaca-s a documentação de lactato desidrogenase (LDH lactato, PCR e D-dímero elevados, e diminuição d índice de pressão parcial de oxigênio arterial/fraçã inspirada de oxigênio (PaFiO2, por sua sigla em inglês). Os valores medianos de creatinina e nitrogêni ureico no sangue (NUS) foram normais. Os paciente com LRA apresentaram contagens mais elevadas d Característica Coorte total (n = 93 Idade – anos, mediana (IIQ) 63 (49–76) Sexo – n (%) Masculino Feminino 641 (68,60) 292 (31,40) Comorbidades – n (%) HAS DM Obesidade DPOC Cardiopatia isquêmica Tabagismo Neoplasia Doença vascular aterosclerótica DRC Doença autoimune AOS Asma 422 (45,20) 181 (19,40) 136 (14,60) 94 (10,10) 85 (9,10) 84 (8,99) 76 (8,10) 74 (7,90) 68 (7,30) 33 (3,50) 49 (5,20) 18 (1 90) Tabela 1 Características basais de pacientes hosp Lesão renal aguda na COVID-19 vascular aterosclerótica, DRC e uma maior frequência de tratamento com IECA e/ou BRAs (Tabela 1). leucócitos e neutrófilos e níveis mais elevados de creatinina, LDH, PCR, D-dímero, troponina e lactato do que os pacientes sem LRA. Linfócitos, plaquetas, pressão de oxigênio arterial (PO2), bicarbonato e o índice PaFiO2 foram estatisticamente menores no grupo com LRA. A evolução dos exames laboratoriais durante a internação mostrou que pacientes com LRA apresentaram valores de pico mais elevados de leucócitos (15.910 vs. 11.060; p < 0,001), neutrófilos (13.840 vs. 8.990; p < 0,001), creatinina (1,35 vs. 0,92; p < 0,001), NUS (35,7 vs. 19,4; p < 0,001), LDH (475 vs. 330; p < 0,001), ferritina (19,5 vs. 11,7; p < 0,001), PCR (22,7 vs 11,6; p < 0,001), troponina (25,6 vs. 7,6; p < 0,001), D-dímero (2,6 vs 1,1; p < 0,001), PCO2 (49,1 vs. 37,2; p < 0,001) e lactato (3,8 vs. 3,1; p < 0,001) e valores mínimos mais baixos de linfócitos (440 vs. 720; p < 0,001) e pH (7,30 vs. 7,36; p < 0,001). A análise categórica de algumas variáveis laboratoriais também mostrou que o grupo Alguns pacientes (33,2%) tiveram um diagnóstico confirmado de infecção por SARS-CoV2 na admissão. Em 88,9% dos demais pacientes, houve suspeita de infecção na admissão. A maioria dos pacientes relatou sintomas respiratórios na admissão, e uma proporção menor relatou febre e sintomas gastrointestinais. O tratamento com dexametasona foi administrado a 96,5% dos pacientes (Tabela 2). A Tabela 2 também descreve os resultados laboratoriais na admissão hospitalar. HAS: Hipertensão arterial, DM: Diabetes mellitus, DPOC: Doença pulmonar obstrutiva crônica, DRC: Doença renal crônica, AOS: Apneia obstrutiva do sono, HIV: vírus da imunodeficiência humana, ECA: Enzima conversora da angiotensina, BRA: Bloqueadores do receptor da angiotensina. Hipertensão arterial, DM: Diabetes mellitus, DPOC: Doença pulmonar obstrutiva crônica, DRC: Doença renal crônica, AOS o, HIV: vírus da imunodeficiência humana, ECA: Enzima conversora da angiotensina, BRA: Bloqueadores do receptor da Resultados A população analisada tinha uma idade mediana de 62 anos; a maioria era do sexo masculino (68,6%), e as comorbidades mais frequentes foram hipertensão arterial (HAS) (45,2%), diabetes mellitus (DM) (19,4%) e obesidade (14,6%). Apenas 7,3% dos pacientes apresentaram histórico de DRC. Cerca de um terço dos pacientes estavam sendo tratados com inibidores da enzima conversora de angiotensina (inibidores da ECA) e/ou bloqueadores do receptor da angiotensina II (BRA II). Um total de 401 dos 934 pacientes (42,93%) desenvolveu LRA (60,59% KDIGO1, 17,95% KDIGO2 e 21,44% KDIGO3). Os pacientes com LRA eram significativamente mais velhos do que aqueles que não apresentaram esse desfecho; além disso, 60,09% dos pacientes com LRA tinham 65 anos de idade ou mais, em comparação com 35,83% do grupo sem LRA (p < 0,001). Nos pacientes com LRA, houve uma proporção maior de pacientes do sexo masculino e comorbidades como HAS, DM, isquemia cardíaca, neoplasia, doença Inicialmente, foi realizada uma análise exploratória dos dados. As variáveis quantitativas foram descritas como medianas e intervalos interquartis. As variáveis qualitativas (nominais ou ordinais) foram descritas como frequências absolutas e porcentagens relativas. Para a análise univariada, foram criadas variáveis dummy de acordo com os pontos de corte encontrados na literatura médica. Posteriormente, na análise bivariada, a comparação de variáveis quantitativas e qualitativas foi realizada entre os grupos definidos pela presença ou ausência de LRA em termos de características sociodemográficas, comorbidades, tratamentos recebidos, status clínico-paraclínico basal e durante o acompanhamento, usando o teste de Mood para a comparação de medianas e o teste qui-quadrado de Pearson ou o teste exato de Fisher para variáveis categóricas. A magnitude e a força da associação foram então determinadas pelo cálculo de odds ratios (OR) e seus respectivos intervalos de Braz. J. Nephrol. (J. Bras. Nefrol.) 2024, 46(2):e20230056 3 Lesão renal aguda na COVID-19 vascular aterosclerótica, DRC e uma maior frequênci de tratamento com IECA e/ou BRAs (Tabela 1). Alguns pacientes (33,2%) tiveram um diagnóstic confirmado de infecção por SARS-CoV2 n admissão. Em 88,9% dos demais pacientes, houv suspeita de infecção na admissão. A maioria do pacientes relatou sintomas respiratórios na admissão e uma proporção menor relatou febre e sintoma gastrointestinais. O tratamento com dexametason foi administrado a 96,5% dos pacientes (Tabela 2 A Tabela 2 também descreve os resultado laboratoriais na admissão hospitalar. rial, DM: Diabetes mellitus, DPOC: Doença pulmonar obstrutiva crônica, DRC: Doença renal crônica, AOS: Apneia obstrut munodeficiência humana, ECA: Enzima conversora da angiotensina, BRA: Bloqueadores do receptor da angiotensina. Resultados Destaca-se a documentação de lactato desidrogenase (LDH), lactato, PCR e D-dímero elevados, e diminuição do índice de pressão parcial de oxigênio arterial/fração inspirada de oxigênio (PaFiO2, por sua sigla em inglês). Os valores medianos de creatinina e nitrogênio ureico no sangue (NUS) foram normais. Os pacientes com LRA apresentaram contagens mais elevadas de Característica Coorte total (n = 934) LRA (n = 401) Sem LRA (n = 533) Valor de p Idade – anos, mediana (IIQ) 63 (49–76) 70 (57–80) 58 (43–70) <0,001 Sexo – n (%) Masculino Feminino 641 (68,60) 292 (31,40) 307 (76,55) 94 (23,44) 334 (62,66) 199 (37,33) <0,001 Comorbidades – n (%) HAS DM Obesidade DPOC Cardiopatia isquêmica Tabagismo Neoplasia Doença vascular aterosclerótica DRC Doença autoimune AOS Asma Infecção por HIV Inibidores da ECA e/ou BRA 422 (45,20) 181 (19,40) 136 (14,60) 94 (10,10) 85 (9,10) 84 (8,99) 76 (8,10) 74 (7,90) 68 (7,30) 33 (3,50) 49 (5,20) 18 (1,90) 5 (0,50) 333 (35,70) 228 (56,85) 108 (26,93) 60 (14,96) 45 (11,22) 51 (12,71) 40 (9,97) 45 (11,22) 50 (12,46) 49 (12,21) 17 (4,23) 29 (7,23) 6 (1,49) 4 (0,99) 177 (44,13) 194 (36,39) 73 (13,69) 76 (14,25) 49 (9,19) 34 (6,37) 44 (8,25) 31 (5,81) 24 (4,50) 19 (3,56) 16 (3,00) 20 (3,75) 12 (2,25) 1 (0,18) 156 (29,26) <0,001 <0,001 0,76 0,31 0,001 0,36 0,003 <0,001 <0,001 0,31 0,018 0,4 0,09 <0,001 Tabela 1 Características basais de pacientes hospitalizados com COVID-19 Braz. J. Nephrol. (J. Bras. RT-PCR: Reação em cadeia da polimerase com transcrição reversa em tempo real, NEWS2: Escore Nacional de Alerta Precoce, GB: Contagem de glóbulos brancos, LDH: Lactato desidrogenase, PCR: Proteína C reativa, PCO2: Pressão arterial de dióxido de carbono, PO2: Pressão arterial de oxigênio, HCO3: Bicarbonato, PaFiO2: Pressão parcial de oxigênio arterial/fração inspirada de oxigênio. Resultados Nefrol.) 2024, 46(2):e20230056 4 Lesão renal aguda na COVID-19 Característica Coorte total (n = 934) LRA (n = 401) Sem LRA (n = 533) Valor de p Sintomas – n (%) Respiratório Gastrointestinal Febre 861 (92,18) 240 (25,69) 274 (29,33) 359 (89,52) 102 (25,43) 120 (29,92) 502 (94,18) 138 (25,89) 154 (28,89) 0,009 0,87 0,73 Teste de diagnóstico de SARS-CoV-2 – n (%) RT-PCR Antígeno 912 (97,64) 22 (2,35) 388 (96,75) 13 (3,241) 524 (98,31) 9 (1,68) – – Escore NEWS2 igual ou superior a 5 – n (%) 542 (68,17) 264 (78,1) 278 (60,83) <0,001 Tratamento – n (%) Dexametasona Ivermectina Cloroquina ou hidroxicloroquina Vancomicina 901 (96,50) 679 (72,70) 3 (0,30) 60 (6,40) 391 (97,50) 300 (74,81) 1 (0,24) 52 (12,96) 510 (95,68) 379 (71,10) 3 (0,37) 8 (1,50) 0,13 0,21 0,73 <0,001 Hemograma, mediana (IIQ) GB – n/mm3 Neutrófilos – n/mm3 Linfócitos – n/mm3 Hemoglobina – gr/dL Plaquetas – n/mm3 7.850 (5.805–10.805) 5.870 (4.000–8.715) 1.080 (760–1.450) 14,90 (13,70–16,17) 224.000 (17.000–277.000) 8.330 (6.115–11.817) 6.350 (4.220–9.502) 1.020 (712–1.390) 14,90 (13,62–16,30) 209.000 (161.000–267.000) 7.530 (5.500–10.280) 5.610 (3.800–8.300) 1.120 (790–1.485) 14,90 (13,72–16,10) 233.000 (185.000–282.500) <0,001 <0,001 0,013 0,901 <0,001 Creatinina – mg/dL 0,93 (0,78–1,11) 1,07 (0,89–1,33) 0,87 (0,73–0,99) <0,001 Nitrogênio ureico no sangue – mg/dL 15,65 (11,40–21,12) 19,30 (14,55–28,10) 13,60 (10,50–17,55) <0,001 LDH – U/L 314 (253–410) 353 (274–480) 297 (245–382) <0,001 Ferritina – ng/mL 901 (455–1.596) 933 (523–1.711) 880 (428–1.505) 0,073 PCR – mg/dL 9,98 (4,48–18,67) 12 (5,55–22,71) 8,91 (4,03–16,45) <0,001 D-dímero – μg/mL 0,94 (0,60–1,63) 1,18 (0,70–2,22) 0,86 (0,55–1,37) <0,001 Troponina – ng/mL 8,40 (5,20–15,52) 12,20 (7,50–22,60) 6,40 (4,60–10,20) <0,001 Gases arteriais pH PCO2 – mmHg PO2 – mmHg HCO3 – mEq/L PaOFiO2 7,41 (7,38–7,44) 32,80 (29,80–36,20) 64,05 (54,40–74,40) 20,70 (19,10–22,30) 245,34 (185,66–296,43) 7,41 (7,37–7,43) 32,50 (29,32–32,97) 62,95 (52,82–74,80) 20,10 (18,30–22,17) 221,79 (163,13–286,43) 7,42 (7,39–7,44) 33,05 (30–36,30) 65 (56,20–74,20) 21 (19,60–22,40) 248 (201–303) <0,001 0,101 0,019 <0,001 <0,001 Lactato – mmol/L 2,16 (1,75–2,79) 2,24 (1,82–2,89) 2,08 (1,68–2,66) 0,001 RT-PCR: Reação em cadeia da polimerase com transcrição reversa em tempo real, NEWS2: Escore Nacional de Alerta Precoce, GB: Contagem de glóbulos brancos, LDH: Lactato desidrogenase, PCR: Proteína C reativa, PCO2: Pressão arterial de dióxido de carbono, PO2: Pressão arterial de Tabela 2 Características clínicas e resultados laboratoriais na admissão Braz. J. Nephrol. (J. Bras. Nefrol.) 2024, 46(2):e20230056 Lesão renal aguda na COVID-19 (TRSC), 20% com hemodiálise intermitente e 5% com ambas as modalidades. Resultados O cateter na veia femoral foi o acesso vascular mais frequente (60%). Mais da metade dos pacientes necessitaram de TRS devido à sobrecarga de volume e/ou oligúria/anúria (52,5%). Outras indicações menos frequentes foram acidose metabólica (17,5%), uremia (15%) e hipercalemia (15%). A duração mediana da TRS foi de 4 dias (IIQ 2-9). O tempo mediano de início da TRS foi de um dia após o diagnóstico de LRA (IIQ 0-3). Dos 40 pacientes que necessitaram de TRS, 36 foram a óbito (90%), três pacientes conseguiram descontinuar a terapia e um paciente recebeu alta da diálise. O modelo logístico que avaliou os fatores de risco para TRS mostrou que as variáveis de suporte vasopressor (OR 15,97; IC 95% 6,75–37,8; p < 0,001), D-dímero na admissão superior a 1 μg/mL (OR 5,35; IC 95% 2,1–13,61; p < 0,001) e lactato na admissão maior que 2 mmol/L (OR 3,07; IC 95% 1,32–7,12; p = 0,009) impactaram a probabilidade de TRS em pacientes com LRA e COVID-19. com LRA apresentou maior percentual de alterações hematológicas, equilíbrio ácido-base, hiperlactatemia, hipoxemia e marcadores inflamatórios elevados, consistentes com os resultados anteriores (dados não mostrados). A duração mediana da hospitalização foi de 11 dias; 31,37% necessitaram de internação em UTI, 21,84% de tratamento com vasopressores, 5,24% de medicamentos inotrópicos e 23,23% de VMI. A principal indicação de internação na UTI foi insuficiência ventilatória (91,8%). A mortalidade hospitalar foi de 23,2% (217 pacientes). Os pacientes com LRA apresentaram tempo de internação mais longo (16 dias vs. 9 dias), maior mortalidade (44,6% vs. 7,1%), admissão na UTI (60,8% vs. 9,1%), VMI (49,8% vs. 3,1%), suporte vasopressor (47,8% vs. 2,2%), suporte inotrópico (11,4% vs. 0,5%) e coinfecção bacteriana mais frequente (24,4% vs. 4,8%), com valores de p inferiores a 0,001 (Tabela 3). Dos pacientes que precisaram de VMI e apresentaram LRA, 60% (120/200) desenvolveram LRA após o início da ventilação. Com relação aos pacientes que necessitaram de suporte vasopressor e apresentaram LRA, 55,2% (106/192) desenvolveram LRA após o início da medicação. Resultados O modelo logístico que avaliou os fatores de risco para LRA mostrou que as variáveis idade (OR 1,03; IC 95% 1,02–1,04), sexo masculino (OR 2,13; IC 95% 1,49–3,04), DM (OR 1,55; IC 95% 1,04–2,32), DRC (OR 2,07; IC 95% 1,06–4,04), PCR na admissão (OR 1,02; IC 95% 1,00–1.03), admissão em UTI (OR 1,81; IC 95% 1,04–3,16) e suporte vasopressor (OR 7,46; IC 95% 3,34–16,64) afetaram a probabilidade de desenvolvimento de LRA na população e que bicarbonato (OR 0,89; IC 95% 0,84–0,94) e PaFiO2 (OR 0,99; IC 95% 0,98–0,99) foram fatores de proteção (Tabela 4). Em relação aos desfechos renais, um percentual significativo (43,89%) apresentou LRA na admissão. A mortalidade no grupo que desenvolveu LRA foi de 44,63%, significativamente maior do que no grupo que não apresentou LRA (7,12%; p < 0,001). Quarenta pacientes (4,28% da população total e 9,9% da população com LRA) necessitaram de TRS, 75% com terapia renal substitutiva contínua Desfecho Coorte total (n = 934) LRA (n = 401) Sem LRA (n = 533) Valor de p Tempo de internação hospitalar – dias, mediana (IIQ) 11 (8–18) 16 (11–24,50) 9 (7–12) <0,001 UTI – n (%) 293 (31,37) 244 (60,84) 49 (9,19) <0,001 Vasopressores - n (%) 204 (21,84) 192 (47,88) 12 (2,25) <0,001 Inotrópicos – n (%) 49 (5,24) 46 (11,47) 3 (0,56) <0,001 VMI – n (%) 217 (23,23) 200 (49,87) 17 (3,18) <0,001 Coinfecção bacteriana – n (%) 124 (13,30) 98 (24,4) 26 (4,87) <0,001 Óbito hospitalar – n (%) 217 (23,20) 179 (44,63) 38 (7,12) <0,001 Readmissão hospitalar (30 dias) – n (%) 39 (4,17) 17 (4,23) 21 (3,93) 0,82 UTI: Unidade de terapia intensiva, VMI: Ventilação mecânica invasiva. Tabela 3 Desfechos gerais Braz. J. Nephrol. (J. Bras. Resultados Nefrol.) 2024, 46(2):e20230056 6 Lesão renal aguda na COVID-19 Coorte total (n = 934) Não ajustado Ajustado OR (IC 95%) Valor de p OR (IC 95%) Valor de p Idade 1,36 (1,02–1,04) <0,001 1,03 (1,02–1,04) <0,001 Sexo 1,94 (1,45–2,60) <0,001 2,13 (1,49–3,04) <0,001 Comorbidades Hipertensão arterial 2,30 (1,76–3,00) <0,001 – – Diabetes mellitus 2,32 (1,66–3,23) <0,001 1,55 (1,04–2,32) 0,031 Obesidade 1,05 (0,73–1,52) 0,763 – – DPOC 1,24 (0,81–1,91) 0,308 – – Cardiopatia isquêmica 2,13 (1,35–3,37) <0,001 – – Tabagismo 1,23 (0,78–1,93) 0,363 – – Neoplasia 2,04 (1,27–3,29) 0,003 – – Doença vascular aterosclerótica 3,02 (1,82–5,00) <0,001 – DRC 3,76 (2,18–6,50) <0,001 2,07 (1,06–4,04) 0,031 Doença autoimune 1,43 (0,71–2,86) 0,311 – – AOS 2,00 (1,11–3,59) 0,018 – – Asma 0,65 (0,24–1,77) 0,406 – – Infecção por HIV 5,36 (0,59–48,14) 0,093 – – Inibidores da ECA e/ou BRA 1,91 (1,45–2,50) <0,001 – – PCR – mg/dL 1,03 (1,01–1,04) <0,001 1,02 (1,00–1,03) 0,006 Plaquetas – n/mm3 1,00 (1,00–1,00) <0,001 1,00 (1,00–1,01) 0,01 HCO3 – mEq/L 0,87 (0,83–0,92) <0,001 0,89 (0,84–0,94) <0,001 PaFiO2 0,99 (0,99–0,99) <0,001 0,99 (0,98–0,99) 0,014 UTI 5,18 (3,62–7,42) <0,001 1,81 (1,04–3,16) <0,001 Vasopressores 15,8 (8,5–29,18) <0,001 7,46 (3,34–16,64) <0,001 Inotrópicos 1,00 (0,99–1,01) 0,264 – – VMI 0,70 (0,48–1,02) 0,067 – – Idade ≥ 65 anos 2,69 (2,06–3,52) <0,001 – – GB ≥ 13000/mm3 1,87 (1,30–2,69) <0,001 – – Neutrófilos ≥ 10000/mm3 1,69 (1,21–2,35) 0,002 – – Linfócitos < 1000/mm3 1,44 (1,11–1,87) 0,006 – – Plaquetas < 100000/mm3 2,55 (1,07–6,09) 0,028 – – HCO3 < ou > 22 mEq/L 1,31 (1,01–1,71) 0,038 – – LDH ≥ 350 U/L 2,17 (1,65–2,86) <0,001 – – PCR ≥ 10 mg/dL 1,54 (1,18–2,01) 0,001 – – Troponina ≥ 10 ng/mL 4,59 (3,43–6,14) <0,001 – – pH < 7,35 ou >7,45 1,13 (0,84–1,53) 0,398 – – PO2 < 60 mmHg 1,30 (1,00–1,70) 0,047 – – Lactato >2 mmol/L 1,52 (1,16–1,99) 0,002 – – PaFiO2 < 200 2,14 (1,61–2,84) <0,001 – – PaFiO2 <100 2,75 (1,27–5,95) 0,007 – – D-dímero > 0,5 ug/mL 0,49 (0,33–0,72) <0,001 – – Ferritina > 1000 ng/mL 1,25 (0,96–1,64) 0,092 – – NEWS ≥ 5 2,29 (1,67–3,16) <0,001 – – DPOC: Doença pulmonar obstrutiva crônica, DRC: Doença renal crônica, AOS: Apneia obstrutiva do sono, HIV: vírus da imunodeficiência huma ECA: enzima conversora da angiotensina, BRA: bloqueadores do receptor da angiotensina, PCR: Proteína C reativa, HCO3: Bicarbonato, U Unidade de terapia intensiva, VMI: ventilação mecânica invasiva, LDH: Lactato desidrogenase, GB: Contagem de glóbulos brancos, PO2: Press arterial de oxigênio, PaFiO2: Pressão parcial de oxigênio arterial/fração inspirada de oxigênio, NEWS2: Escore Nacional de Alerta Precoce. DPOC: Doença pulmonar obstrutiva crônica, DRC: Doença renal crônica, AOS: Apneia obstrutiva do sono, HIV: vírus da imunodeficiência humana, ECA: enzima conversora da angiotensina, BRA: bloqueadores do receptor da angiotensina, PCR: Proteína C reativa, HCO3: Bicarbonato, UTI: Unidade de terapia intensiva, VMI: ventilação mecânica invasiva, LDH: Lactato desidrogenase, GB: Contagem de glóbulos brancos, PO2: Pressão arterial de oxigênio, PaFiO2: Pressão parcial de oxigênio arterial/fração inspirada de oxigênio, NEWS2: Escore Nacional de Alerta Precoce. Discussão Durante a hospitalização, 43,93% dos pacientes com COVID-19 desenvolveram LRA, indicando uma elevada incidência de envolvimento renal. Essa taxa foi maior do que a relatada anteriormente, especialmente na Ásia. Paek et al.15 relataram uma taxa de LRA de 4% em 704 pacientes de Daegu, Coreia. Da mesma forma, Cheng et al.8 relataram uma taxa de 5,1% em 701 pacientes de Wugan, na China. Uma metanálise que analisou a incidência por continentes documentou taxas mais baixas na Ásia (6,9%) em comparação com a Europa (22,9%) e a América do Norte (34,6%)16. Três grandes estudos populacionais sobre COVID-19 realizados em Nova York, nos Estados Unidos, relataram taxas de LRA de 36,6% a 46%, semelhantes aos resultados do presente estudo5,11,17. Sugeriu-se que essas diferenças podem ser devidas a uma proporção maior de pacientes com comorbidades, em estudos de países ocidentais16. Na América Latina, estudos relataram incidências de até 58,6%; no entanto, tais estudos incluíram somente pacientes gravemente enfermos ou pacientes com COVID-19 grave, ao contrário deste estudo, que também incluiu pacientes da enfermaria geral18–20. Em termos de desfechos, os pacientes com LRA apresentaram um tempo de internação mais longo, maior mortalidade, admissão em UTI, suportes vasopressor e inotrópico e suporte ventilatório em comparação com os pacientes sem LRA. Chan et al.11 relataram resultados semelhantes em uma coorte de 3.993 pacientes hospitalizados com COVID-19 em cinco centros de Nova York (LRA versus sem LRA: tempo de internação 10 vs 7 dias, mortalidade 50% vs 8%, admissão em UTI 41% vs 11%, suporte vasopressor 43% vs 10%, VMI 44% vs 6%, com valores de p significativos). Esses resultados também foram reproduzidos por outros autores4,7. Além disso, a LRA foi descrita como um fator de risco independente para mortalidade na COVID-1929. Outro estudo realizado por nosso grupo na mesma população colombiana documentou o impacto da LRA na mortalidade (OR 12,5; IC 95% 2,1–74,5; p = 0,005)30. Esses achados destacam a importância prognóstica do desenvolvimento de LRA em pacientes com COVID-19, contribuindo para desfechos graves e maior ônus da doença. Eles também ressaltam a relação do desenvolvimento de LRA no contexto de doenças inflamatórias e/ou disfunção de múltiplos órgãos. Em comparação com a população que não desenvolveu LRA, o grupo com LRA apresentou uma frequência maior de comorbidades, como HAS, DM, neoplasia e doença cardiovascular. Resultados Tabela 4 Odds ratios de desenvolvimento de LRA no modelo não ajustado e ajustado Braz. J. Nephrol. (J. Bras. Nefrol.) 2024, 46(2):e20230056 Lesão renal aguda na COVID-19 Vale ressaltar que cerca de um terço dos pacientes já tinha um diagnóstico de COVID-19 no momento da admissão e, dos que não tinham um diagnóstico, 88,9% tinham suspeita de infecção na admissão, sugerindo que os exames laboratoriais realizados nas primeiras 72 horas já poderiam refletir alterações associadas à infecção. Nesses exames laboratoriais, os pacientes com LRA apresentaram com mais frequência alterações hematológicas, marcadores inflamatórios elevados, distúrbios do equilíbrio ácido-base e comprometimento da oxigenação. Resultados semelhantes foram relatados por Ng et al.17 em seu estudo, no qual pacientes com COVID-19 com LRA apresentaram níveis mais elevados de leucócitos, PCR, D-dímero e ferritina na admissão em comparação com aqueles sem LRA. Os níveis de D-dímero, PCR e ferritina foram ainda mais elevados em pacientes com LRA que necessitaram de TRS em comparação com aqueles que não necessitaram. Esses achados podem ser observados em pacientes com COVID-19 devido ao componente inflamatório da doença, ao comprometimento da oxigenação ou, em alguns casos, à perfusão tecidual27,28. Discussão Isso é consistente com o que foi relatado na literatura, onde essas doenças são prevalentes e têm sido associadas à gravidade e aos desfechos da doença21–25. A DRC foi observada com maior frequência na população com LRA; no entanto, essa condição provavelmente foi subestimada porque a taxa de filtração glomerular não foi estimada com a creatinina basal dos pacientes. Achados semelhantes foram relatados em dois estudos realizados em Nova York, onde a DRC foi avaliada da mesma forma. Eles relataram uma prevalência de 2,9% e 11% na população com COVID-19, mostrando também diferenças entre os grupos11,17. Por outro lado, a obesidade, que tem sido associada à COVID-19 grave, pode ter sido subestimada, uma vez que o índice de massa corporal dos pacientes não foi calculado, considerando somente o diagnóstico registrado no histórico médico26. Não foram encontradas diferenças na frequência da obesidade, nem a obesidade foi identificada como um fator de risco para LRA. Quase 10% dos pacientes com LRA necessitaram de TRS. A TRS foi relatada como sendo entre 10% Braz. J. Nephrol. (J. Bras. Nefrol.) 2024, 46(2):e20230056 8 8 Lesão renal aguda na COVID-19 já foram relatados na literatura como fatores de risco para LRA na população com COVID-1912,13,33. e 20% em pacientes hospitalizados com LRA e COVID-19 e, ainda mais elevada, dependendo da população estudada5,11,17. Em um estudo multicêntrico que avaliou 3.099 pacientes com COVID-19 em estado grave, Gupta et al.31 relataram a necessidade de TRS em 37,8% dos pacientes com LRA. A diferença pode ser atribuída ao fato de todos os pacientes estarem na UTI, enquanto no presente estudo, 39,2% foram hospitalizados na enfermaria geral. A DRC e a LRA são síndromes interconectadas. Os pacientes com DRC estão predispostos à LRA porque apresentam menor reserva funcional renal e maior suscetibilidade a novas lesões renais34. Um evento de LRA em pacientes com DRC preexistente pode acelerar a DRC subjacente e, na população com COVID-19, constatou-se que a função renal basal deficiente esteve relacionada ao aumento da hospitalização, das taxas de mortalidade e da necessidade de TRS35. Chan et al.11 relataram que a DRC é um fator de risco para LRA grave em uma população de 3.993 pacientes hospitalizados com COVID-19 (OR 2,8; IC 95% 2,5–3,7). Discussão Os dados reportados por Gupta et al.31 também corroboram esse achado e, por outro lado, documentam que a idade (acima de 80 anos) é um fator de risco para o desfecho composto de TRS e óbito (OR 3,69; IC 95% 2,33–5,82). A modalidade inicial de TRS foi a TRSC em 75% dos pacientes; isso era esperado devido à gravidade da doença e à condição crítica dos pacientes, uma vez que todos os pacientes que necessitaram de TRS estavam na UTI e 97,5% estavam em suporte vasopressor. A principal indicação para TRS foi sobrecarga de volume e/ou oligúria/anúria. Durante a internação, os valores de pico de creatinina e NUS não foram tão elevados quanto o esperado (dados não mostrados), o que é consistente com o fato de que a hiperazotemia não foi uma indicação frequente de TRS. Além disso, o acúmulo de fluidos aumenta a água corporal total e altera a distribuição do volume de creatinina sérica, o que afeta os níveis medidos de creatinina32. No entanto, este estudo não continha informações sobre o equilíbrio hídrico dos pacientes, de modo que essa suposição não pôde ser confirmada. O papel da inflamação na COVID-19 deve ser enfatizado, pois pode estar relacionado a desfechos adversos. A PCR é um marcador de gravidade da doença e da magnitude da resposta inflamatória. Smilowittz et al.36 relataram que a PCR está relacionada ao desenvolvimento de LRA em pacientes com COVID-19 (OR 2,11; IC 95% 1,76–2,52) e ao tromboembolismo venoso, gravidade da doença e mortalidade. No presente estudo, a PCR na admissão hospitalar foi associada ao desenvolvimento de LRA. Embora os níveis de pico dos marcadores inflamatórios tenham sido maiores em pacientes com LRA do que naqueles sem LRA, essas variáveis não foram incluídas na análise dos fatores de risco de LRA devido à falta de dados sobre a relação temporal entre os níveis de pico e o início da LRA. A mortalidade é elevada em pacientes com TRS e COVID-19, com relatos de até 63,3% e 79,3%17,31. Neste estudo, a mortalidade foi ainda maior, chegando a 90%. Como esse não era um objetivo do estudo, não há informações suficientes disponíveis para realizar uma análise de mortalidade em pacientes com TRS. Isso exigiria a coleta de informações sobre dosagem de diálise, equilíbrio hídrico, suspensão temporal da TRSC e adesão aos objetivos terapêuticos. Conclusões 3. Kolahchi Z, De Domenico M, Uddin LQ, Cauda V, Grossmann I, Lacasa L, et al. COVID-19 and its global economic impact. Adv Exp Med Biol. 2021;1318:825–37. doi: http://dx.doi. org/10.1007/978-3-030-63761-3_46. PubMed PMID: 33973214. 3. Kolahchi Z, De Domenico M, Uddin LQ, Cauda V, Grossmann I, Lacasa L, et al. COVID-19 and its global economic impact. Adv Exp Med Biol. 2021;1318:825–37. doi: http://dx.doi. org/10.1007/978-3-030-63761-3_46. PubMed PMID: 33973214. Este estudo mostra o comportamento da COVID-19 na população colombiana e, até onde temos conhecimento, não há estudos em nosso país com uma população tão grande em um único centro. Os resultados do estudo são consistentes com os relatados na literatura médica, destacando a elevada frequência de LRA e seu impacto prognóstico. A presença de LRA em pacientes com parâmetros graves da doença é algo que merece destaque. Os fatores de risco associados ao desenvolvimento de LRA estão relacionados ao sexo masculino, comprometimento hemodinâmico e comorbidades, incluindo DM e DRC. 4. Wei X, Li L, Zhang F. The impact of the COVID-19 pandemic on socio-economic and sustainability. Environ Sci Pollut Res Int. 2021;28(48):68251–60. doi: http://dx.doi.org/10.1007/ s11356-021-14986-0. PubMed PMID: 34268692. 5. Hirsch JS, Ng JH, Ross DW, Sharma P, Shah HH, Barnett RL, et al. Acute kidney injury in patients hospitalized with COVID-19. Kidney Int. 2020;98(1):209–18. doi: http://dx.doi. org/10.1016/j.kint.2020.05.006. PubMed PMID: 32416116. 6. Nadim MK, Forni LG, Mehta RL, Connor Jr MJ, Liu KD, Ostermann M, et al. COVID-19-associated acute kidney injury: consensus report of the 25th Acute Disease Quality Initiative (ADQI) Workgroup. Nat Rev Nephrol. 2020;16(12):747–64. doi: http://dx.doi.org/10.1038/s41581-020-00356-5. PubMed PMID: 33060844. 7. Adamczak M, Surma S, Wie˛cek A. Acute kidney injury in patients with COVID-19: epidemiology, pathogenesis and treatment. Adv Clin Exp Med. 2022;31(3):317–26. doi: http:// dx.doi.org/10.17219/acem/143542. PubMed PMID: 35077034. A estratificação de risco com base em parâmetros descritos anteriormente será importante para adequar o monitoramento e iniciar estratégias para pacientes que se beneficiarão da intervenção. Além disso, isso deve aumentar a conscientização para o acompanhamento pós-COVID-19, já que a LRA na DRC pode afetar a função renal basal dos pacientes. 8. Cheng Y, Luo R, Wang K, Zhang M, Wang Z, Dong L, et al. Kidney disease is associated with in-hospital death of patients with COVID-19. Kidney Int. 2020;97(5):829–38. doi: http://dx.doi. org/10.1016/j.kint.2020.03.005. PubMed PMID: 32247631. 9. Zheng X, Yang H, Li X, Li H, Xu L, Yu Q, et al. Conclusões Prevalence of kidney injury and associations with critical illness and death in patients with COVID-19. Clin J Am Soc Nephrol. 2020;15(11):1549–56. doi: http://dx.doi.org/10.2215/CJN.04780420. PubMed PMID: 32943396. Contribuição dos Autores Contribuição dos Autores à hipoxemia, que reduz o fluxo sanguíneo renal por meio do aumento da resistência vascular renal38. O resultado da análise multivariada sugere que o bicarbonato e a PaFiO2 podem ser potenciais fatores de proteção contra a LRA, em conformidade com o que foi mencionado anteriormente. CLA e ACPF participaram do desenho e desenvolvimento do estudo, revisão e correção do banco de dados, análise estatística, redação do texto principal do manuscrito, revisão crítica do manuscrito e da literatura médica. DCVA participou do desenho e desenvolvimento do estudo, revisão e correção do banco de dados, revisão crítica e correção do manuscrito. PMRL, LVGD, DKNA e HCMY participaram da revisão dos registros médicos, coleta de informações do banco de dados, redação do resumo e introdução e elaboração das tabelas. Todos os autores aprovaram a versão final. Alguns estudos relataram a VMI como um fator de risco para LRA na COVID-1912,13. Apesar do fato de que, neste estudo, os pacientes com LRA apresentaram uma necessidade maior de VMI e 60% dos pacientes que precisaram de VMI e desenvolveram LRA o fizeram após o início da ventilação, a VMI não surgiu como um fator de risco na população descrita. O presente estudo apresentou diversas limitações. Primeiro, foi um estudo retrospectivo que possivelmente gerou viés de informação. Segundo, foi um estudo de centro único, limitando sua validade externa. Terceiro, a creatinina basal não estava disponível para 91,76% dos pacientes. Nesse grupo, o resultado da LRA foi avaliado por comparação com a creatinina de referência, conforme descrito na seção Métodos. Em quarto lugar, o débito urinário não foi incluído como critério diagnóstico ou como medida de gravidade da LRA. Esses dois últimos pontos podem ter gerado inconsistências na mensuração do desfecho de LRA30. C Referências 1. Zhu N, Zhang D, Wang W, Li X, Yang B, Song J, et al. A novel coronavirus from patients with pneumonia in China, 2019. N Engl J Med. 2020;382(8):727–33. doi: http://dx.doi. org/10.1056/NEJMoa2001017. PubMed PMID: 31978945. 2. Guan WJ, Ni ZY, Hu Y, Liang WH, Ou CQ, He JX, et al. Clinical Characteristics of Coronavirus Disease 2019 in China. N Engl J Med. 2020;382(18):1708–20. doi: http://dx.doi. org/10.1056/NEJMoa2002032. PubMed PMID: 32109013. Conflito de Interesse Os autores declaram não ter conflito de interesse relacionado à publicação deste manuscrito. Discussão O tempo mediano de início da TRS foi de 1 dia após o diagnóstico de LRA, o que sugere intervenção precoce. No entanto, é importante considerar que o diagnóstico de LRA não considerou os critérios de débito urinário, portanto, a LRA pode ter ocorrido antes do considerado, afetando potencialmente a interpretação desses dados. Bicarbonato e PaFiO2 são indicadores do estado ácido-base e da oxigenação, que frequentemente estão alterados em pacientes com COVID-19. Hipoxemia e acidose podem levar à desregulação do sistema imunológico e a reações inflamatórias, potencialmente resultando em uma tempestade de citocinas37. Embora a acidose em si não tenha sido documentada como uma causa de LRA, é essencial observar que a acidose é um marcador de gravidade da doença e que a disfunção orgânica pode estar associada ao desenvolvimento de LRA. Existem diversos fatores fisiopatológicos que explicam a interação pulmão- rim, incluindo alterações nos gases sanguíneos devido Por fim, com relação aos fatores de risco associados ao desenvolvimento de LRA, o modelo foi calibrado e apresentou um valor de p estatisticamente significativo, indicando a consistência do modelo. Idade, sexo masculino, internação em UTI, histórico de DM, DRC, PCR e suporte vasopressor foram fatores associados ao desenvolvimento de LRA. Esses fatores Braz. J. Nephrol. (J. Bras. Nefrol.) 2024, 46(2):e20230056 9 Lesão renal aguda na COVID-19 Agradecimentos 10. 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Acta Colombiana de Cuidado Intensivo. 2016;16(1): 47–53. doi: http://dx.doi.org/10.1016/j.acci.2016.01.001. Braz. J. Nephrol. (J. Bras. Nefrol.) 2024, 46(2):e20230056 11
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CXCI.—The action of cold concentrated hydrochloric acid on starch and maltose
Journal of the Chemical Society. Transactions
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View Article Online / Journal Homepage / Table of Contents for this issue View Article Online / Journal Homepage / Table of Contents for this issue ACTION OF COLD CONCESTRATED HYDROCHLORIC ACID, ETC. ‘2053 ACTION OF COLD CONCESTRATED HYDROCHLORIC ACID, ETC. ‘2053 on 01 January 1914. Downloaded by test 3 on 05/03/2016 04:44:50. By ARTHUR JOHN DAISH SOC., 1895, 17, 312) showed the presence of considerable quantities of maltose in the commercial “ glucose ” manufactured by the action of acid on starch, whilst the analytical values obtained by Rolfe and Dsfren (J. Anzer. Chem. Soc., 1896, 18, 869) for starch transformations carried out in the autoclave with N/10- to N/lOOO-acids indicated the presence of 44 per cent. of maltose in a conversion carried to the point corresponding with that usual in the manufacture of “glucose,” namely, when [aID of the product is about 129O. The rest of the material seemed to consist of a mixture of dextrin and dextrose in nearly equal propor- tions. Rolfe and Haddock (J. Amer. Chem. SOC., 1903, 25, 1015) subsequently isolated maltosazone from a starch transformation by acid, and quite recently Fernbach and Schoen (Bull. SOC. chim., 1912, [iv], 11, 303) also isolated maltosazone from the product obtained by hydrolysing starch paste with different acids.* ed on 01 January 1914. Downloaded by test 3 on 05/03/2016 04:44:50. There is, therefore, at the present time, no reason for considering the action of acids on starch as essentially different from that of enzymes a6 regards the series of products formed. These are app& rently soluble starch, dsxtrins, maltose, and dextrose. With ordin- ary diastase, maltose is the final product; with taka-diastase, which contains maltase, increasing quantities of dextrose are formed as the action proceeds, until a species of equilibrium is reached, when about 85 per cent. of dextrose and 15 per cent. of maltose are present (Davis and Daish, Zoc. cit.). The results now recorded, obtained wit’h cold concentrated and fuming hydrochloric acid, may all be explained on similar principles. The main difference is, that with fuming hydrochloric acid the earlier stages, in which soluble starch, dextrin, and maltose are formed, are passed through very rapidly, so that, for example, with hydrochloric acid of D 1.210, 86 per cent. of the theoretical quantity of dextrose has been formed after so short a time, as one hundred and thirty-five minutes. Mal- tose is hydrolysed to dextrose by the fuming acid not much more rapidly than starch itself; so that although acid of this concen- tration undoubtedly decomposes starch to maltose with extreme rapidity, the rate of production of dextrose is Iimitd by the rate of hydrolysis of the maltose. By ARTHUR JOHN DAISH By ARTHUR JOHN DAISH WILLSTXTTER and Zechmeister (Ber., 1913, 46, 2401) have shown that whereas ordinary concentrakd hydrochloric acid (37.6 per cent. HC1) acts on cellulose at the ordinary temperature relatively slowly, fuming acid (D 1*204-1-212; 39.9 to 41.4 per cent. HCl) dissolves cellulose within a few seconds and rapidly hydrolyses it, first to cellobiose acd finally to dextrose. After twenty-four hours the yield of dextrose is nearly quantitative. As the present methods of estimating cellulose in plant material are of a highly empirical character, it seemed probable that fuming hydrochloric acid might be applied with advantage to this purpose; it would, however, be necessary to allow for the sugars formed from the starch and pentosans present. There would be no difficulty in this, at3 methods for estimating these substances with a fair degree of accuracy already exist. As the action of the fuming acid on starch and maltose has not yet been studied, a series of experiments was first made in this direction, and the results are here recorded. The velocity of hydrolysis of starch and maltose by fuming hydrochloric acid is dealt with in a separate paper (p. 2065). When starch is left in contact, duqing several days, with dilute hydrochloric acid (7.5 per cent. HC1) it is converted, without dis- solving, into the eo-called “soluble starch ”; when heated with very dilute hydrochloric acid for several hours, dextrose is formed. The latter process has been applied very widely rn a means of astimat- ing starch, although the fact that a considerable quantity of dex- trose is destroyed renders such a method useless when any degree of. accuracy is required (Davis and Daish, J , .4yric. Sci., 1914, 6, 152). Early workers generally regarded the dextrose as formed directly from starch, and therefore looked upon the action of acids as essentially different from that of the enzyme diastase, the pro- longed action of which on starch gives mainly maltose. Flourens, for instance (C’ompt. rend., 1890, 90, 1204), and Lintner and Dull (Bey., 1895, 28, 12) denied that m a l h is formed at all by the View Article Online View Article Online DAISH: THE ACTION OF COLD CONCENTRATED 2054 action of acids on starch. Oc the other hand, Weber and Mac- phemon (J. Amer. Chem. * Xluyver (Biochonischc Stcikeerbepalingen, Leiden, 1914) has made a series of analyses of commercial glucose syrups, prepared from starch, by the use of discriminating yeasts and finds froin 15 to 20 per cent. of maltose to be present in such products. By ARTHUR JOHN DAISH As dextrose is formed, the specific rotatory power of the product falls continuously, until finally the valu0 is the same as that of dextrose in acid of the same concentra- tion. A t the same time the reducing power gradually increases until it is the 6arne as that of dextrose under the same conditions. * Xluyver (Biochonischc Stcikeerbepalingen, Leiden, 1914) has made a series of analyses of commercial glucose syrups, prepared from starch, by the use of discriminating yeasts and finds froin 15 to 20 per cent. of maltose to be present in such products. View Article Online 2055 HYDROCHLORIC ACID ON STARCH AND MALTOSE. When ordinary malt diastase is used to hydrolyse starch paste the dextrin stages are passed through relatively slowly; the amount of maltose formed progressively increases, but no dextrose is pro- duced. With takadiastase, holwever, dextrin disappears very rapidly, and even with small quantities of the enzyme (0.1 gram) after about three hours in the case of a 1 per cent. solution of starch, the product consists of maltose and dextrose only. As the dextrose increases in amount the maltose proportionately dimin- ishes, so that there is little doubt that the former is produced at the expense of the latter. There is no evidence for the view that the dextrose is formed in these circumstances directly from the starch (compare Davis, J . SOC. Dyprs, 1914, 30, 249). I n the same way the data obtained for the velocity of the action of fuming hydrochloric acid (p. 2065) are best interpreted by the view that the dextrose is formed from maltose produced as an intermediate product in the action. on 01 January 1914. Downloaded by test 3 on 05/03/2016 04:44:50. Willstatter and Zechmeister (Zoc. cit.) have called attention to the extraordinarily high values of the specific rotatory power of dextrose obtained in fuming hydrochloric acid solutions. Thus when dextrose is dissolved in acid of D 1.210 after about twenty minutes, = 1 16*1° (c= 1-11>, the ordinary value for an aqueous solution of dextrose being [a]E 5 2 . 7 O . It is probable (Davis, Toc. By ARTHUR JOHN DAISH cit.) that this great change of rotation, which takes place with extreme rapidity, a nearly constant value being obtained after a few minutes, is due to the transformation by the fuming acid of the whole, or nearly the whole, of the dextrose into the a-form, the specific rotatory power of which in aqueous solution is generally taken as about l l O o . It has been shown recently that even in dilute aqueous solution the presence of neutral saltcr and of substances such as the alcohols, causes very considerable changes in the equili- brium existing between the two stereoisomeric forms of a hexose sugar (Walker, Proc. Roy. Soc., 1913, A , 88, 246; Worley, ibid., 439). The effect of the fuming hydrochloric acid is apparently to convert the fl-dextrose, with [a], + 20°, existing in the equilibrium inixture of a- and &dextrose which is present in an aqueous solu- tion of dextrose ([aI1, 52.7O), largely into the a-form, having a high rotation. Worley (T., 1911, 99, 349) has drawn attention to one of the difficulties which arises in following exactly by means of the polari- mebr the course of hydrolysis of polysaccharides by acids, owing t o the dilute acid causing an alteration in the polarimetric end-point after the actual hydrolysis is complete. An example is given of a solution containing 1 molecular proportion of sucrose, 1 of hydro- gen chloride, and 40 of water (approximately 50 per cent. summe View Article Online View Article Online DAISH: THE ACTJON OF COLD CONCENTRATED 2056 solution and 5 per cent. hydrochloric acid); the reading was found to rise after the lowest value was reacheld from 161'20O to 161.335O during about fifteen hours. With invert-sugar it might be thought that the rise of the reading is due to a destruction of the lzxulose present, as the latter is known to be readily destroyed by hydro- chloric acid (compare Davis and Daish, J. Agric. Sci., 1913, 5, 437). The experiments nolw recordeld, however, show that a similar change takes place in dextrose even in a 1-11 per cent. solution of the sugar in the presence of concentrated or fuming hydrochloric acid. I n spite of the low concentration of the sugar, the change is far greater than when dilute acid is used. By ARTHUR JOHN DAISH Thus in acid of D 1.163, which gave a value for dextrose after ten minutes of [u]g 63*61°, and after forty minutes [a]hO 63'73O, a value 65*84O was obtained after seventy-two hours. This change of rotation must be distin- guished from the ordinary mutarotation change, which in concen- trated acid is complete after it few seconds. As the rotation rises the reducing power of the solution falls, so that with ordinary hydrochloric acid after ninety-six hours it is 92.5 per cent. that of dextrose. A similar phenomenon is observed in the case of the fuming acid (D l.ZOl), but it is more difficult to follow, as in this case actual destruction of dextrose soon occurs (after about six hours), which masks the rise of rotatoiy power. The destruction becomes evident by the solution turning more or less yellow. ed on 01 January 1914. Downloaded by test 3 on 05/03/2016 04:44:50. The rise in the specific rotatory power and the simultaneous diminution of reducing power of dextrose in the presence of hydro- chloric acid is probably due to a synthetic action occurring, accom- panied by the formation of a di-(or poly-)saccharide. Emil Fischer (Ber., 1890, 23, 3687) obtained by the action of hydrochloric acid on a concentrated solution of dextrose a new glucobiose, to which he gave the name isomaltose. This was obtained when dextrose was dissolved in four times its weight of concentrated hydrochloric acid, and the mixture left for fifteen hours at 10-15O. The yield was 2-5 per cent. of the theoretical. More recently von Friedrichs (Arkiv. Kern. Mi?&. Geol., 1913, 5, No. 4), working under somewhat similar conditions, states that the product after twenty-f our hours consists of 68 per cent. of dextrose, 18 per cent. of isomaltose, 8 per cent. of maltose, and 6 per cent. of unknown polysaccharides. I n these experiments the sugar solutions were relatively concen- trated. In those recorded in the present paper it is a striking fact that synthetic action still takes place, at the ordinary temperature, when the concentration of dextrose is so low as 1 per cent. The gradual formation from dextrose under the influence of fuming or concentrated hydrochloric acid of a disaccharide having a higher rotatory pw0r and a lower reducing power than dextrose View Article Online HYDROCHLORIC ACID ON STARCH AKD MALTOSE. 2057 explains the fact that the hydrolysis of maltose or starch, when complete, calculated from the rotation, always seeme greater by about 5 to 7 per cent. than when calculated from the reducing power. A similar fact was observed in the case of cellulose by Wllstatter and Zechmeister, who, however, considered that in 1 per cent. solution of dextrose in fuming hydrochloric acid no isomaltose is formed, on finding that in such acid dextrose appeared to retain €or more than forty hours the same specific rotatory power.* This apparent constancy of the specific rotatory power is, however, due to the fact that the gradual destruction of dextrose (after twenty-five hours the solution has become decidedly yellow) masks the rise of the rotatory power which undoubtedly occurs (see p. 2058). ed on 01 January 1914. Downloaded by test 3 on 05/03/2016 04:44:50. The values given (below and pp.2058, 2059) show very clearly that both with ordinary and fuming hydrochloric acid a rise of specific rotatory power of dextrose occurs, accompanied by a falling off of the copper reducing power. A certain amount of synthesis therefore occurs even in so low a concentration of dextrose as 1 per cent. Published on 01 January 1914. Downloaded by test 3 on 05/03/2016 04 p The fact that small quantities of a carbohydrate other than dextrose are formed by the action of fuming hydrochloric acid on cellulose and starch militates against the use of this acid as a means of quantitatively estimatiiig cellulose even if actual destruc- tion of dextrose were avoided. * “ Ueherraschend ist es, dass die Ausbeute an Glucose bei unserer Salzsaure-Methode nicht durch Bildung von Isomaltose herabgedriickt wird. Wir finden nun dass ihre Bildung nur in der von E. Fischer angewandten konzentrierten Glucose- losung erfolgt ” (Ber., 1913, 46, 2403). Ost (Ber., 1913, 46, 2995) has suggested that with 3 per cent. or more of dextrose “ reversion” to isomaltose mizht be expected in the presence of fuming hydrochloric acid ; the results here given show that it actually occurs even in 1 per cent. solutions of dextrose. EXPERIMENT Specific Rotatory Power of Dextrose in Furriiitg Hydrochloric Acid (Dl34 1.210). The fuming acid was prepared by saturating the ordinary con- centrated hydrochloric acid with gaseous hydrogen chloride at 13O. Experimeizt 1.-1.1100 Grams of anhydrous dextrose, dried in a vacuum at 1 0 5 O , were dissolved in slightly less than 100 C.C. of the fuming acid, and the volume was made up to 100 C.C. at 15O. The sugar was completely dissolved in nine minutes. The solution was examined in a 2-dcm. jacketted tube at 16*3* to 1 7 O . The tube was closed with an indiarubber stopper to avoid loss of hydrogen chloride : * “ Ueherraschend ist es, dass die Ausbeute an Glucose bei unserer Salzsaure-Methode nicht durch Bildung von Isomaltose herabgedriickt wird. Wir finden nun dass ihre Bildung nur in der von E. Fischer angewandten konzentrierten Glucose- losung erfolgt ” (Ber., 1913, 46, 2403). Ost (Ber., 1913, 46, 2995) has suggested that with 3 per cent. or more of dextrose “ reversion” to isomaltose mizht be expected in the presence of fuming hydrochloric acid ; the results here given show that it actually occurs even in 1 per cent. solutions of dextrose. View Article Online View Article Online DAISH: THE ACTION OF COLD CONCENTRATED DAISH: THE ACTION OF COLD CONCENTRATED 2058 Time after solution started, in minutes. ?J* 3-17 23 ............... 2.578" 116.1" 360 ............... 2.584 116-4 The reducing power of the solution was observed at intervals by diluting 10 C.C. portions of the solution with water, neutralising exactly with solid sodium carbonate, and treating with Fehling's solution under Brown, Morris, and Millar's conditions (T., 1897, 71, 72): on 01 January 1914. Downloaded by test 3 on 05/03/2016 04:44:50. Published on 01 January 1914. Downloaded by test 3 on 05/03/201 Time after Dextrose Dextrose solution started. Mean CuO, calculated, found, 29 minutes .................. 0.2747 0.1086 97.85 5 hours .................. 0.2710 0.1070 96.4 gram. gram. per cent. 234 3, .................. 0-2667 0.1052 94.7 After twenty-three and a-half hours the solution had become quite yellow, showing that clecompxition of the dextrose had occurred. Experiment 2.-1*9451 Grams of pure dextrose, dried in a vacuum at 105O, were dissolved in the fuming acid (D 1*210), and the volume was made up to 100 C.C. at 15O. Ths sugar was com- pletely dissolved in fifteen mirutes. The solution was examined in a 2-dcm. tube at 16-16.5O: Time after solution started, in hours. a,. [a]:-16'5. 14 ............... 4.459" 114.65" 4& ............... 4-453 114.44 Ten C.C. portions were withdrawn as before: Time after Dextrose Dextrose in hours. gram. gram. per cent. solution started, Mean CuO, calculated, found, l$ ........................... 0.4457 0.1886 96.99 25& (solution yellow) ...... 0,4326 0.1812 93-2 39t (solution quite yellow) 0.4304 0.1801 92.6 Care must be taken in the above experiments in neutralising the hydrochloric acid with sodium carbonatre to avoid any considerable rise in temperature. If sodium hydroxide is used, the local development of heat generally brings about marked decomposition of the sugar. Experiment 3.-A slightly less concentrated fuming hydrochloric acid was used (D15 1.201); 1.1111 grams of anhydrous dextrose were dissolved in the acid, and made up to 50 C.C. at 20°. The solution was examined in a 220-mm. tube at 20°: Time from start. a,. [aJF'O. 15 minutes ......... 4.660' 95-3" 3 hours ......... 4.688 95.9 6& hours ......... 4-698 96.1 View Article Online 2059 HYDROCHLORIC AClD ON STARCH AND MALTOSE. After 6ix and a-quarter hours readings were not taken, as the decomposition of the sugar masked any rise in the specific rotatory power. DAISH: THE ACTION OF COLD CONCENTRATED 2060 Time from start. UD Eal? 10 minutes ...... 3.110' 83-61' 40 ........... 3.116 63-73 2 hours ......... 3.118 63.77 48 ........... 3.217 65.80 72 y y ......... 3.219 65.84 on 01 January 1914. Downloaded by test 3 on 05/03/2016 04:44:50. Se&s 2.-5*0286 Grams of anhydrous dextrose were dissolved in concentrated hydrochloric acid (D 1*163), and the volume made up to 200 C.C. at 15O. The solution was examined in a 220-mm. tube at 15O. Portions of 25 C.C. each were withdrawn at intervals, neutralised with solid sodium carbonate, and made up to 200 C.C. at 15O, 50 C.C. portions being then taken for the reducing-power determinations ( = 0.1571 gram of dextrose) : Published on 01 January 1914. Downloaded by test 3 on 05/03/201 CuO from Dextrose 50 c.c., found, Dextrose, Time from start. a, [a]L5'0 grams. grams. per cent. 34 minutes ......... 3.482" 62.96' 0.3793 0.1553 98.85 234 hours ......... 3.612 65.31 0.3686 0.1506 95-85 474 ,¶ ......... 3.615 65.37 0.3619 0.1473 93.77 95i ,, ......... 3.630 65.64 0.3580 0.1453 92.5 714 ,, ......... 3.627 65.58 - - - Even after ninety-six hours the solution had only just begun to show signs of decomposition, a faint yellow coloration being pro- With the fuming acid this occurs after twelve hours to a very marked degree. duced. DAISH: THE ACTION OF COLD CONCENTRATED It was a t first thought that the low results obtained for the dextrose calculated from the values for the reducing power were due to an influence exerted on the latter by the large amount of sodium chloride present in the solution after neutralising the hydro- chloric acid. Direct experiments were therefore made with a SO~U- tion of dextrose, to which the same proportion of sodium chloride was added as was present in the actual solutions worked with (6'6 grams of sodium chloride in 100 C.C. during the reduction). It was found that the presence of the sodium chloride made no perceptible difference. Thus, for instance, when 0.1513 gram of dextrose was taken, 0*1502 gram of dextrose was found, or 99.3 per cent., a result almost within the limit of experimental error of the method. on 01 January 1914. Downloaded by test 3 on 05/03/2016 04:44:50. From the above tables the extraordinary influence on the specific rotatory power of dextrose of a slight increase in the concentration of the fuming hydrochloric acid becomes apparent. Using acid of D 1.201 (39.3 per cent. HCl), the specific rotatory power of freshly dissolved dextrose is about 95.5O. With acid of D 1.210 (41.0 per cent. HCl) for a 1-2 per cent. solution, the specific rotatory power of dextrw may be taken as [a]k6-17 115O. It is very nearly constant during the short periods of one to two hours which are necessary to bring about complete hydrolysis of starch or maltose to dextrose, but even after one and a-quarter hours the values given above for the reducing powers show that marked synthetic action on the dextrose has actually occurred, and after three hours the rise of specific rotatory power shows that this change is still taking place. The following figures obtained with the ordinary concen- trated hydrochloric acid (D15 1.163) show this action even more distinctly; with this strength of acid it is possible to follow the action for longer periods without marked decomposition of the dextrose occurring, such as masks the change in the case of the fuming acid. Action of Or&mry Conce&ru,ted Hydrochloric Acid (D 1.163) on Dextrose. Series 1.-1.1111 Grams of dextrose, dried in a vacuum a t 105O, were dissolved in concentrated hydrochloric acid (D 1*163), and the volume made to' 50 C.C. at ZOO. The solution was examined in a 220-mm. DAISH: THE ACTION OF COLD CONCENTRATED tubs at ZOO: View Article Online DAISH: THE ACTION OF COLD CONCENTRATED Action! of Fuming HyCErochZoric Acid on Starch. Experiment 1.4.9276 Gram of purified potato starch, dried in a vacuum a t 130° over phosphoric oxide, were dissolved in the fuming acid (D 1.210) and the volume made up to 100 C.C. a t 15O. The starch very rapidly passed into solution, being first gelatinised and then dissolved. The solution was somewhat cloudy at first, but this soon cleared. The above weight of starch should yield 1.031 grams of dextrose. g The solution was examined in a 2-dcm. tube at 15.8-16*1°: Time after solution started. a,. Lag6 Remarks. 17 hours ..................... 4.330" 113.00" Solution yellow. The reducing power of 10 C.C. was ascertained after eighteen hours : Dextrose Dextrose Mean CuO, found, found, gram. gram. per cent. 0.2467 0.0970 94.1 Experiment 2.-1*9172 Grams of anhydrous starch were dissolved in slightly less than 200 C.C. of fuming acid a t 15O, and the volume View Article Online View Article Online HYDROCHLORIC ACID ON STARCH ANb MALTOSE. 2061 was made up to exactly 200 C.C. at that temperature. was completely dissolved in eighty minutes. starch should yield 2.130 grams of dextrose. examined in a 2-dcm. tube at 15-16.3O: The starch The above weight of The solution was Time after solution start,ed, in minutes. au. 85 .................. 3.104" 114 .................. 2.872 196 .................. 2.580 319 .................. 2.497 454 .................. 2.473-solution becoming yellow, n 01 January 1914. Downloaded by test 3 on 05/03/2016 04:44:50. Taking the value observed when the solution is first becoming yellow, namely, 2'473O, and calculating on the theoretical weight of dextrose, 2.130 grams, we have [~zlr-'~'~ 116'1°, which shows a practically complete conversion of the starch to dextrose. Published on 01 January 1914. Downloaded by test 3 on 05/ Experimerrt 3.-2.4147 Grams of anhydrous starch were dissolved in fuming acid (D 1.210), and the volume was made up to 200 C.C. at 15O. The starch was completely dissolved in two hours. The above weight of starch should give 2.6835 grams of dextrme. The solution was examined at intervals in a 220-mm. tube at 16-17': Time after solution started, in minutes. a,. 125 .................. 3.861" 265 .................. 3.459 400 605 .................. 3-424 .................. 3.430 --solution turning yellow. Taking the value observed of 3'430°, we have [u]~~-'' 116'2O. Portions of 10 C.C. each were withdrawn at intervals, neutralised with solid sodium carbonate, and the reducing po,wer was deter- mined : Time after solution started, Mean CuO, in minutes. gram. 135 .............................. Action of Fuming Hydrochloric Acid on Maltose. Action of Fuming Hydrochloric Acid on Maltose 1.0363 Grams of maltose dried at 100-105° in a vacuum over phosphoric oxide were dissolved in fuming acid (D15 1*210), and the volume was made up to 100 C.C. at 15O. The sugar was com- pletely dissolved in thirteen minutes. The above weight of maltose should give 1.094 grams of dextrose. on 01 January 1914. Downloaded by test 3 on 05/03/2016 04:44:50. g g The solution was examined in a 2-dcm. tube at 15*5-16*5O: Published on 01 January 1914. Downloaded by test 3 on 05/03/20 Time after solution started, in minutes. aD. 22 .................. 3 ~ 5 6 1 ~ 77 .................. 2.819 192 .................. 2.641 357 .................. 2.504 552 .................. 2.484 -solution turning yellow. Taking the last value, we have [a]k6'5-16'5 113'55O. Taking the last value, we have [a]k6'5-16'5 113'55O. Portions of 10 C.C. each were taken as before, and the reduction was estimated : g , [ ] Portions of 10 C.C. each were taken as before, and the reduction was estimated : ime after Dextrose tion started, Mean CuO, found, Dextrose, minutes. gram. gram. per cent. 573 ........................... 0-2635 0.1039 94.9 49 ........................... 0.2069 Maltose still present. This experiment shows that maltose in 1 per cent. solution is almost as resistant to hydrolysis by fuming hydrochloric acid as starch itself under similar conditions, the action being complete after about six or seven hours at 15O. Exactly the same relation- ship between the specific rotatory power and reducing power of the product is observed as in the case of starch and dextrose. Action! of Fuming HyCErochZoric Acid on Starch. 0.2770 270 .............................. 0.3107 410 .............................. 0-3135 600 .............................. 0.3132 1895 .............................. 0.3108 Dextrose found, Dextrose, gram. per cent. 0.1095 85.6 0.1240 92.44 0.1252 93.3 0.1251 93.23 0.1240 92.44 The above experiments show that whereas the specific rotatory power of the product is practically identical ([a], 116O) with that of pure dextrose in hydrochloric acid of the same concentration, so that the conversion is practically 100 per cent., the value found for the latter from the reducing power of the product, calculated by the ordinary tables, is about 7 per cent. low. This is un- doubtedly due, as explained above (p. 2057), to the action of the hydrochloric acid on the dextrm itself, giving rise to a di- or poly- saccharide (isamaltose). 6 s View Article Online View Article Online View Article Online DBISH: THE ACTION OF COLD CONCENTRATED 2062 Action of Ordinary Concentrated Hydrochloric Acid on Starch. Pure hydrochlo'ric acid (D16 1,163) was used (=32.1 per cent. HCI). for dextrose (1.0401 grams in 100 C.C. of this acid) was found to be 63.55O; after forty-eight hours it was 65.8O. The initial value of Cali5 Experiment 1.-3.5448 Grams of potato starch, dried in a vacuum at 130° over phosphoric oxide, were dissolved in concen- trated hydrochloric acid (D16 1'163), and the volume wits made up to 250 C.C. a t that temperature. The greater part quite readily dissolved, but some starch waa converted into a horny mas, which only dissolved slowly. All the starch was, however, dissolved in two hours. The above weight of starch should give 3-9390 grams of dextrose. The solution was examined in a 2-dcm. tube at 15.5-16-5O. The solution was quite clear: View Article Online HYDROCHLOKlC AClB ON STARCH AND MALTOSE. 2063 Time after Time after solution started, solution started, in hours. in hours. a,. 17i .................. 3.137' 41 .................. 2.147' 19k .................. 2.933 47 .................. 2-119 229 .................. 2.671 49 .................. 2.091 30 .................. 2.344 90 .................. 2.090 on 01 January 1914. Downloaded by test 3 on 05/03/2016 04:44:50. ry 1914. Downloaded by test 3 on 05/03/2016 04:44:50. Taking the value 2.090° and calculating on 3.939 grams of dissolved solid (as dextrose), we have 66'3O. Published on 01 January 1914. Downloaded by test 3 on 05/03/2016 04 Portions of 10 C.C. each were withdrawn at intervals, neutralised with solid sodium carbonate, and the reducing power was deter- mined : Time after solution started, Mean CuO, in hours. gram. 174 ........................... 0,2865 23 ........................... 0.3204 414 ........................... 0,3561 663 ........................... 0.3642 114 ........................... 0.3645 Dextrose found, Dextrose, gram. Per cent. 0.1135 72.04 0.1283 81.4 0.1445 91.7 0.1486 94-3 0.1488 94.4 Experiment 3.-2*0480 Grams of dry potato starch were dibsolved in concentrated acid (D 1*163), and the voluine was made up to 200 C.C. at 15O. The starch was slowly added to the acid so as t o f aditate the solution, and wits completely dissolved in sixty-five minutes. The above weight of starch should yield 2.2755 grams of dextrose. The solution w a examined in a 220-mm. tube at 15'5-16'5O: Time after 65 minutes ...... 4.354" solution started. a,. 44 horns ......... 3.896 12 ,, ......... 2.685 23 ), ......... 2.000 29 ,, ......... 1,842 Time after solution started, a,. 31 hours ......... 1.800" 47 ,) ......... 1.677 954 ,) ......... Action of Ordinary Concentrated Hydrochloric Acid on Starch. 1.664 734 ,, ......... 1.682 120a ........... 1.646 Calculating for the reading after one hundred and twenty hours, we have [u]: 65-7O. Portions of 10 C.C. each were taken as before, and the reducing power was determined: Dextrose Time after Mean CuO, found, solution started. gram. gram. 86 minutes .................. 0.0360 0.0140 42 hours .................. 0.0984 0.0382 23 ), .................. 0.2371 0-0930 48 0.1071 .................... 0-27 11 96 ,, .................. 0.2791 0.1104 122 ,, .................. 0.2772 0.1097 Dextrose, per cent. 12.3 33.6 81.7 94.1 97-0 96.4 These two experiments show that after about fifty hours hydro- lysis of the starch is complete (100 per cent.), the value obtained for the polarisation being the same as for dextrose in acid of the same concentration. The difference between the results by polari- e s 2 View Article Online 2064 64 ACTION OF COLD CONCENTRATED HYDROCHLORIC ACID, ETC. sation and reduction (about 6 per cent.) is again due to the forma- tion of isomaltose. I n experiment 2 the rotatory power remained constant between €he forty-seventh and seventy-third hour, but sub- sequently dwtruction of the dextrose by the acid took place, and the solution became decidedly yellow (compare Ost, Ghem. Zeit., 1911, 35, 1125). on 01 January 1914. Downloaded by test 3 on 05/03/2016 04:44:50. , , ) Fuming hydrochloric acid (41 per cent. HCI) is seen to hydrolyse the starch more than ten times as rapidly as the ordinary concen- trated acid. Published on 01 January 1914. Downloaded by test 3 on 05/03/201 L4 ction of more Dilute Hydrochloric Acid (D16 1.083; =16*7 per cent. HCI) on Starch. Experiment 1.-2.0564 Grams of dry potato starch were slowly added t o about 200 C.C. of the acid at 15O. The starch was first gelatinised, and was dissolved in two and a-half hours. The above weight of starch should give 2.2849 grams of dextrose. The solution was too opalescent at first to be examined in the polarimeter, but afterwards the following readings were taken in a 2-dcm. tube at 15'5-16*5°: Time after solution started, in hours. OD. 22Q .................. 4.117 46a .................. 4.092 724 .................. 4.012 Time after solution started, in hours. an- 11SQ .................. 3.930 173% .................. 3.785 192 .................. 3.742 Portions of 10 C.C. were taken as before: Time after Dextrose solution started, Mean CuO, found, Dextrose, in hours. gram. gram. per cent. ........................... - - 3 0.0028 22% ........................... Action of Ordinary Concentrated Hydrochloric Acid on Starch. 0.0149 0-0058 5.0 47 ........................... 0.0163 0.0063 5.5 119 ........................... 0.0358 0-0139 12.1 191 ........................... 0.1171 0.0454 15.9 (from 25 c.c.) Although the starch dissolves readily in hydrochloric acid of D 1.083, the conversion into dextrose takes place extremely slowly, so that after forty-eight hours only aljout 5 per cent. of dextrose has been formed. The value of [a],, calculated as starch from the reading after twenty-two and three-quarter hours, is 200'2O. E'xperiment 2.-2.2708 Grams of dry starch were added to 200 C.C. of hydrochloric acid (D15 1-049=10 per cent. HCl), and the whole was kept at 1 5 O . There appeared to be very little action on the starch, the latter not even being gelatinised. After four days the solution was filtered from the starch, and examined in a 4-dcm. tube at 15'5-16'5O. The reading obtained waa a, 0'412O, View Article Online View Article Online DAISH : VELOCITY OF HYDROT,YSIS OF STARCH Ah'D MALTOSE. f"365 showing that very little starch had dissolved or been hydrolysed to dextrose. showing that very little starch had dissolved or been hydrolysed to dextrose. Hence the limiting concentration of hydrochloric acid in which potato starch will readily dissolve at the ordinary temperature lies between D 1.083 and D 1.049. n 01 January 1914. Downloaded by test 3 on 05/03/2016 04:44:50.
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Thermosensitive heparin‐poloxamer hydrogel encapsulated bFGF and NGF to treat spinal cord injury
Journal of Cellular and Molecular Medicine
2,020
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Xiaoli Hu1,2 | Rui Li1,2,3 | Yanqing Wu4  | Yi Li1 | Xingfeng Zhong5 | Guanyinsheng Zhang1 | Yanmin Kang1 | Shuhua Liu1 | Ling Xie2  | Junming Ye1 | Jian Xiao2,4 Xiaoli Hu1,2 | Rui Li1,2,3 | Yanqing Wu4  | Yi Li1 | Xingfeng Zhong5 | Guanyinsheng Zhang1 | Yanmin Kang1 | Shuhua Liu1 | Ling Xie2  | Junming Ye1 | Jian Xiao2,4 1Department of Anesthesia, The First Affiliated Hospital, Gannan Medical University, Ganzhou, China 2Molecular Pharmacology Research Center, School of Pharmaceutical Science, Wenzhou Medical University, Wenzhou, China 3School of Chemistry, Sun Yat-sen University, Guangzhou, China 4The Institute of Life Sciences, Engineering Laboratory of Zhejiang Province for Pharmaceutical Development of Growth Factors, Biomedical Collaborative Innovation Center of Wenzhou, Wenzhou University, Wenzhou, China 5 Abstract The application of growth factors (GFs) for treating chronic spinal cord injury (SCI) has been shown to promote axonal regeneration and functional recovery. However, direct administration of GFs is limited by their rapid degradation and dilution at the injured sites. Moreover, SCI recovery is a multifactorial process that requires multiple GFs to participate in tissue regeneration. Based on these facts, controlled delivery of multiple growth factors (GFs) to lesion areas is becoming an attractive strategy for repairing SCI. Presently, we developed a GFs-based delivery system (called GFs-HP) that consisted of basic fibroblast growth factor (bFGF), nerve growth factor (NGF) and heparin-poloxamer (HP) hydrogel through self-assembly mode. This GFs-HP was a kind of thermosensitive hydrogel that was suitable for orthotopic administra- tion in vivo. Meanwhile, a 3D porous structure of this hydrogel is commonly used to load large amounts of GFs. After single injection of GFs-HP into the lesioned spinal cord, the sustained release of NGF and bFGF from HP could significantly improve neuronal survival, axon regeneration, reactive astrogliosis suppression and locomo- tor recovery, when compared with the treatment of free GFs or HP. Moreover, we also revealed that these neuroprotective and neuroregenerative effects of GFs-HP were likely through activating the phosphatidylinositol 3 kinase and protein kinase B (PI3K/Akt) and mitogen-activated protein kinase/extracellular signal-regulated ki- nase (MAPK/ERK) signalling pathways. Overall, our work will provide an effective therapeutic strategy for SCI repair. Correspondence Junming Ye, Department of Anesthesia, The First Affiliated Hospital, Gannan Medical University, Ganzhou, Jiangxi, China. Email: yjm7798@sina.com Jian Xiao, School of Pharmaceutical Science, Wenzhou Medical University, Wenzhou, Zhejiang, China. Email: xfxj2000@126.com O R I G I N A L A R T I C L E O R I G I N A L A R T I C L E Funding information This work was supported by grants from The National Natural Science Funding of China (81801233, 81802238, 81760230, 81760230, 81722028, 81972150), Zhejiang Provincial Natural Science Foundation of China (LQ18H090008, LR18H50001), Jiangxi Provincial Natural Science Foundation (20171BAB20503) and Gannan Medical College Graduate Innovation Project (YC2018-X0014). Received: 7 October 2019  |  Revised: 18 April 2020  |  Accepted: 24 May 2020 Received: 7 October 2019  |  Revised: 18 April 2020  |  Accepted: 24 May 2020 Received: 7 October 2019  |  Revised: 18 April 2020  |  Accepted: 24 May 2020 DOI: 10.1111/jcmm.15478 J Cell Mol Med. 2020;24:8166–8178. Thermosensitive heparin-poloxamer hydrogel encapsulated bFGF and NGF to treat spinal cord injury Xiaoli Hu1,2 | Rui Li1,2,3 | Yanqing Wu4  | Yi Li1 | Xingfeng Zhong5 | Guanyinsheng Zhang1 | Yanmin Kang1 | Shuhua Liu1 | Ling Xie2  | Junming Ye1 | Jian Xiao2,4 basic fibroblast growth factor (bFGF), heparin-poloxamer (HP) hydrogel, nerve growth factor (NGF), neuroprotection, spinal cord injury 1 | INTRODUCTION at the injectable site. Thus, after incorporating bFGF and NGF into HP vehicle, this GFs-HP system not only reduces the frequency of administration, but also sustains NGF and bFGF release for a suffi- cient period of time to persistently treat SCI. 1 Spinal cord injury (SCI) is one of the most serious traumatic diseases that affects half a million people each year, especially for young adults. After suffering from contusion, compression or traumatic accidents, the epicentre region of spinal cord undergoes a complex pathological change, including primary injury and secondary injury.1,2 The former directly results in tissue damage and neural cell death. The latter cascade reaction frequently generates the formation of free radical and triggers chronic inflammatory response, leading to cystic cavities and scar tissue forms.3 These two pathological pro- gressions of SCI greatly intensify the failure of axonal regeneration, which seriously affects a patient's quality of life and life expectancy. Unfortunately, up to now, researchers have not created an available approach for effectively stimulating and guiding axonal growth to ensure functional recovery after SCI. It is well known that different GFs have different biological ef- fects via interacting their corresponding receptors. NGF usually bind two receptors, namely high-affinity receptor tyrosine kinase A (TrkA) and low-affinity receptor p75NTR. TrkA possesses tyrosine protease activity to trigger the activation of diverse downstream signalling mechanisms, including MAPK, phosphatidylinositol 3 kinase and protein kinase B (PI3K/Akt) and PLCγ pathways.19 The p75NTR receptor is a transmembrane glycoprotein that generally activates the NF-κB signalling to exert distinct roles on regulating neuronal survival, development and maturation.20 The specific role of NGF in repairing SCI depends on which receptor to bind. Perhaps an exact technique is to examine the expression of NGF and its receptors in different tissues. bFGF is the widely identified GF that can induce angiogenesis and neurogenesis through two known re- ceptors, the high-affinity fibroblast growth factor FGF receptor (FGFR) and the low-affinity heparan sulphate proteoglycan (HSPG), respectively. Among them, FGFR1 was studied frequently and elic- ited the activation of Ras-Raf-MAPK, JNK and PI3K/Akt signalling cascades to promote cellular survival, growth and proliferation via forming bFGF-FGFR1 complex.21 However, whether these two GFs in this study act on their receptors alone or together to activate the PI3K/Akt and/or MAPK/ERK pathways remains to be further studied. 1 | INTRODUCTION Over the last decades, numerous strategies have been at- tempted to locally apply growth factors (GFs) to improve morpho- logical and behavioural outcomes after SCI. Moreover, these GFs have been demonstrated to modulate the survival of damaged neu- rons, facilitate axonal sprouting and regeneration, as well as block inhibitory molecules.4,5 As two typical GFs, basic fibroblast growth factor (bFGF) and nerve growth factor (NGF) are capable of stimu- lating neurogenesis, axonal growth and angiogenesis in the central nervous system.6-9 Treatment of exogenous bFGF shifted astroglial population towards neurogenic radial/progenitor bipolar glia cells, which contributed to decrease astrocyte reactivity and glial scar formation at later stage of SCI.7 NGF-loaded gelatin nanostructured lipid carriers showed significant therapeutic effects on improving locomotion recovery of SCI through inhibiting endoplasmic retic- ulum (ER) stress-induced apoptosis.10 However, during SCI, some GFs expression, such as bFGF and NGF, are greatly reduced within the lesion site.11 These declining GFs production has been shown to cause protracted neuronal loss and neurological dysfunction. Thus, an optimal spinal cord regeneration need supplement of ex- ogenous GFs. Considering administration of exogenous GFs exists some drawbacks, such as their short half-life and poor penetrability of the blood spinal cord barrier (BSCB).12 Therefore, it is necessary for developing a drug delivery strategy that can effectively deliver bFGF and NGF into the spinal cord injury site to enhance neuronal development and axonal regeneration.13,14 In the present study, we hypothesized that the sustained release of bFGF and NGF from GFs-HP could interact with cell membrane receptors, including FGFR1 and Trk A, to activate the downstream transduction pathways of PI3K/Akt and mitogen-activated protein kinase/extracellular signal-regulated kinase (MAPK/ERK). Activation of these two signalling cascades was able to further increase the survival of neurons, upregulate intrinsic protein expression and en- hance axon regrowth, as well as improve the functional recovery after acute SCI in rats. We firstly observed the micromorphology of HP containing with/without GFs using scanning electron microscopy (SEM), In addition, the repair and regeneration of injured spinal cord by in situ injection of GFs-HP hydrogel was comprehensively evalu- ated through immunohistochemistry, immunofluorescence staining and Western blotting. This approach may provide GFs-HP as a po- tential agent for repairing acute SCI. Hydrogels are networks of polymer chains that possess ex- cellent biocompatibility, biodegradability, permeability and bio- mechanical properties. 1 | INTRODUCTION Several studies have confirmed that these water-swollen cross-linked hydrogels are suitable for injecting into the cystic cavity to re-establish a favourable microenvironment for facilitating the repair and reconstruction of damaged or defected tissues.15-17 In order to effectively improve growth factor (GF) ther- apy on SCI, we developed a novel thermosensitive heparin-polox- amer (HP) hydrogel. This thermosensitive hydrogel has several advantages18: (a) a high affinity for various GFs; (b) controlling these GFs release in a steady fashion; (c) protecting them from en- zymolysis, and (d) avoiding side effects of high GF concentrations K E Y W O R D S 8166  |   J Cell Mol Med. 2020;24:8166–8178. wileyonlinelibrary.com/journal/jcmm This is an open access article under the terms of the Creative Commons Attribution License, which permits use, distribution and reproduction in any medium, provided the original work is properly cited. © 2020 The Authors. Journal of Cellular and Molecular Medicine published by Foundation for Cellular and Molecular Medicine and John Wiley & Sons Ltd. Xiaoli Hu and Rui Li contribute equally to this work. China (81801233, 81802238, 81760230, 81760230, 81722028, 81972150), Zhejiang Provincial Natural Science Foundation of China (LQ18H090008, LR18H50001), Jiangxi Provincial Natural Science Foundation (20171BAB20503) and Gannan Medical College Graduate Innovation Project (YC2018-X0014). K E Y W O R D S basic fibroblast growth factor (bFGF), heparin-poloxamer (HP) hydrogel, nerve growth factor (NGF), neuroprotection, spinal cord injury basic fibroblast growth factor (bFGF), heparin-poloxamer (HP) hydrogel, nerve growth factor (NGF), neuroprotection, spinal cord injury basic fibroblast growth factor (bFGF), heparin-poloxamer (HP) hydrogel, nerve growth factor (NGF), neuroprotection, spinal cord injury 8166  |   J Cell Mol Med. 2020;24:8166–8178. wileyonlinelibrary.com/journal/jcmm This is an open access article under the terms of the Creative Commons Attribution License, which permits use, distribution and reproduction in any medium, provided the original work is properly cited. © 2020 The Authors. Journal of Cellular and Molecular Medicine published by Foundation for Cellular and Molecular Medicine and John Wiley & Sons Ltd. Xiaoli Hu and Rui Li contribute equally to this work. p y Cellular and Molecular Medicine published by Foundation for Cellular and Molecular Medicine and John Wiley & Sons Ltd. HU et al. 8167 HU et al. 2.4 | Locomotion recovery evaluation coupled with heparin salt by EDC and NHS in 2-(N-morpholine) sul- phonic acid (MES) buffer for 1 day at 25°C. The reactive mixture was dialysed for 3 days and lyophilized to obtain HP powder. GFs-HP hy- drogel, consisted of HP hydrogel, bFGF and NGF, was prepared using the cold method. Briefly, HP powders were dissolved in fresh saline and gentle stirred at 4°C for a period of 24 hours to obtain a clear solution. Then, bFGF and NGF organic solution (2.00 and 1.42 mg/ mL, respectively, obtained from Key Laboratory of Biotechnology and Pharmaceutical Engineering, Wenzhou Medical University) were immediately added to the HP solution under vigorous mag- netic agitation to obtain their final concentration with 17% (w/w), 1 and 1 mg/mL, respectively. The final mixture was stored at 4°C for subsequent experiments. The whole process was carried out under aseptic conditions. Basso-Beattie-Bresnahan (BBB) score and footprint analysis were conducted to evaluate the restoration of hindlimb locomo- tor function. In brief, at predetermined time points (0, 3, 7, 14, 21 and 28 days), the movement of rats’ hind limbs were recorded by trained investigators who were blind to the experimental condi- tions. The BBB score ranged from 0 to 21 points, where 0 points indicated complete paralysis and 21 points represented normal locomotion. At the time point of 28 day post-surgery, a footprint analysis was performed by dipping the animal's hindpaws in dye. All of the rats are tested in a confined walkway (an 8.2 cm wide by 42-cm-long white paper) with a dark shelter at the end. Each experiment/group was ran- domly selected at least 5 rats to evaluate motor function recovery. 2.6 The prepared transverse sections were implemented HE Staining and Nissl following the manufacturer's instructions. It should be emphasized that the sections were dyed with haematoxy- lin for 5 minutes, with eosin for 2 minutes and with cresyl violet for 8  minutes in our experimental condition. Then, the images were captured using an optical microscope (Nikon ECLIPSE Ti-S, Ruikezhongyi Company). 2.5 | Preparation of spinal cord tissue Rats in each group were sacrificed at 28 day after SCI. The animals were anesthetized with 10% chloral hydrate (3.5 mL/kg, i.p.). Then, the hearts were perfused with normal saline. After the saline infu- sion, the spinal segment of the injury centre (0.5  cm length) was harvested and stored at −80°C immediately for immunoblotting. For other experiments, such as haematoxylin and eosin (HE) staining, Nissl staining, immunohistochemistry and immunofluorescence, the prepared process was described previously.24 Briefly, after washing away the blood, the epicentre sections of injured spinal cord (0.5 cm) were extracted and fixed in 4% paraformaldehyde overnight. Next, the samples were sequentially underwent rinsing, dehydration, per- meabilization and embedding. Lastly, longitudinal or transverse sec- tions were then cut into 5  µm on a cryostat (Leica Microsystems Wetzlar GmbH). The micromorphology of the dehydrated HP and GFs-HP hydrogels was characterized using scanning electron microscopy (SEM, Hitachi H-7500). Briefly, after freezing with l liquid nitrogen, the frozen HP hydrogels were dried in a freeze dryer for 24 hours. Subsequently, they were carefully crosscut and placed into the conductive glue for gold-plating. Lastly, HP morphology was observed by SEM. 2.3 | SCI model and orthotopic injection Adult female Sprague Dawley (SD) rats (220-250  g) were pur- chased from the Laboratory Animal Center. The animal use and care protocol were conformed to the Guide for the Chinese National Institutes of Health (NIH) and approved by the Animal Care and Use Committee of Wenzhou Medical University. Before the production model of SCI, animals were maintained for at least 7 days to adjust to the standardized laboratory tem- perature (23 ± 2°C), humidity (35%-60%) and a light-dark cycle (12:12  hours). The surgical procedures to construct the impact SCI model were performed as previously described.23 In short, after anesthetizing by 10% (w/v) chloral hydrate (3.5 mL/kg, i.p.), the animals were exposed T9-T10 lamina using rongeur. Then, the 2.5-mm stainless steel impactor tip was positioned over the midpoint of T9-T10 and dropped from a height of 12.5 mm (150 kdyn force) to strike the exposed spinal cord. Afterwards, dis- sected muscle, fascial and skin were sutured layer by layer with 4-0 absorbable lines. The sham group only exposed spinal cord without SCI. 2.1 | Preparation of HP and GFs-HP hydrogels Based on the previous description, heparin-poloxamer (HP) was prepared according to the EDC/NHS method.22 Briefly, poloxamer 407 (Badische Anilin Soda Fabrik Ga) reacted with 1.3 mmol/L 4-ni- trophenyl chloroformate and diamino ethylene to obtain a mono amine-terminated Poloxamer (MATP). Then, this intermediate was 8168 HU et al. HU et al. 2.8 | Western blotting Total protein from the spinal cord tissue was purified using protein extraction reagents containing 1% protease and phosphatase in- hibitors. The protein concentration of each sample was quantified with Carmassi Bradford reagents (Thermo). An equivalent amount of protein (60 µg) was separated by 10% SDS-PAGE and transferred onto PVDF membranes (Bio-Rad). After blocking with 5% (w/v) non- fat milk, the membranes were further incubated with primary anti- body solutions overnight at 4°C. The following primary antibodies were including: TrkA (ab-76291, Abcam, 1:5000), FGFR1 (ab-58516, Abcam, 1:1000), P-AKT (sc-514032, Santa Cruz, 1:1000), AKT (sc- 81434, Santa Cruz, 1:1000), P-ERK (sc-16982, Santa Cruz, 1:1000), ERK (sc-514302, Santa Cruz, 1:1000), Bcl-2 (60178-1-Ig, proteintech, 1:3000), Bax (60267-1-Ig, proteintech, 1:2000), cleaved caspase-3 (sc-373730, Santa Cruz, 1:500), GAP43 (ab75810, Abcam, 1:10 000), GFAP (ab7260, Abcam, 1:2000), NF-200 (ab8135, Abcam, 1:5000) and GAPDH (K200057M, Solarbio, 1:5000). After three washed with TBST, the membranes were incubated with a 1:10  000 dilu- tion of horseradish peroxidase-conjugated secondary antibodies for 60 minutes at room temperature. Finally, signals were visualized by Chemi DocXRS + Imaging System (Bio-Rad). All experiments were repeated three times. 2.9 | Statistical analysis All data were presented as the mean  ±  standard error of the mean (SEM). For unpairwise comparisons, the Student's t test was used. For multiple comparisons, the one-way analysis of variance (ANOVA) with Bonferroni's multiple comparisons for post hoc analysis was used. All statistical analyses were performed with sta- tistical software GraphPad Prism software Version 5 (GraphPad Software, Inc), and P values  <  .05 were considered statistically significance. 3.1 | HP hydrogel loaded with GFs retain the 3D porous structure and thermal-sensitive characteristic Previously, we confirmed that the HP solution with 17% (w/w) concentration had a controlled phase alteration temperature.25 Thus, this concentration of HP was also be adopted to investi- gate the microstructure and gelation properties. According to the SEM observation, HP presented a sponge-like 3D porous structure that interconnected into a mesh shape (Figure  1A). Moreover, this liquid HP solution at 4°C could quickly transi- tioned to the hydrogel (gel) state upon heating to a body tem- perature of 37°C (Figure 1B). Similarly, the 3D porous structure and thermosensitive characteristic were still retained after add- ing bFGF and NGF to the HP (Figure  1A and B). Collectively, this 3D network structure of HP is suitable for loading various GFs and the temperature sensitivity of GFs-HP is beneficial for orthotopic administration. 3.2 | GFs-HP promotes the motor functional recovery after SCI To evaluate whether in situ GFs-hydrogel injection therapy could effectively promote the recovery of motor function, footprint analysis and BBB locomotion scores were performed according to the method reported previously.18 As shown in Figure 2A, the footprint test could intuitively reflect the restoration of hind leg movement in each group at 28 days post-injury (dpi). In the SCI and HP groups, injured rats still dragged their hind legs, leaving un- ambiguous footprint. In contrast, in the GFs and GFs-HP groups, the footprint recordings exhibited coordinated crawling with very little toe dragging. Moreover, compared to the GFs group, GFs-HP group exhibited better coordination. BBB evaluation showed that the hindlimb motion was lost immediately after SCI and subsequently manifested modest time-dependent recovery. Surprisingly, BBB score between the GFs-HP group and SCI group exhibited a statistical difference as early as 3 days post-surgery. At subsequent time (7-28 days), the BBB scores in the GFs-HP group were markedly higher than that in the GFs solution group, which almost reached to sham group at day 28 (Figure 2B). All these data indicate that the GFs-HP hydrogel (OI) group showed the best motor functional recovery compared with other treated groups, which is suitable for SCI repair. 3 | RESULTS 3 | RESULTS primary antibodies: NeuN (ab-177487, Abcam, 1:500), GFAP (ab7260, Abcam, 1:1000) and NF-200 (ab-8135, Abcam, 1:1000). The next day, redundant antibodies on the tissue sections were washed with PBST for 15  minutes. The following procedures for immunofluorescence and immunohistochemistry were dif- ferent. For the former, the sections were incubated with Alexa Fluor 488 donkey anti-rabbit secondary antibody (ab-150073, Abcam, 1:1000) at 37°C for 1  hour. After incubating with DAPI for 7 minutes, the samples were imaged using a confocal fluores- cence microscope (Nikon). For immunohistochemistry, followed by incubated with horseradish peroxidase-conjugated secondary antibodies at 37°C for 1 hour, the sections were stopped with 3, 3-diaminobenzidine (DAB) and stained with haematoxylin. The images were captured using a confocal fluorescence microscope (Nikon, Japan). The quantification of each density was performed using the ImageJ software. 2.7 | Immunofluorescence and immunohistochemistry labelling Following SCI, the injured rats were further divided into 4 groups (n = 10 for each): SCI, HP hydrogel, free GFs and GFs-HP hydrogel. Each animal was orthotopic injection of HP, free GFs or GFs-HP solution with the volume of 20 µL using microsyringe. The rats were administered with penicillin for consecutive 7 days. The bladder was massaged triple daily until the bladder function returned to normal. After dewaxing and hydration, the transverse or longitudinal par- affin sections were incubated in 3% H2O2 for 15 minutes and then in blocking solution for 1 hour at room temperature. Subsequently, the sections were incubated at 4°C over-night with the following 8169 HU et al. HU et al. 3.3 | GFs-HP improves morphologic degeneration in SCI rats In order to verify GFs-HP hydrogel could improve tissue damage and reduce neuronal loss, HE and Nissl staining in each group were de- tected at 28 days after injury, As shown in Figure 3A, sham group 8170  | | 8170 HU et al. FI G U R E 1 Characterization of HP and GFs-HP hydrogel. A, SEM images and the thermosensitive property of HP hydrogel. B, SEM images and the thermosensitive property of GFs-HP hydrogels. The SEM images of both hydrogels were photographed at low magnification (left, scale bar: 200 µm) and high magnification (right, scale bar: 100 µm), respectively. Meanwhile, the temperature-sensitive characteristic of both hydrogels was tested at 4 and 37°C condition FI G U R E 1 Characterization of HP and GFs-HP hydrogel. A, SEM images and the thermosensitive property of HP hydrogel. B, SEM images and the thermosensitive property of GFs-HP hydrogels. The SEM images of both hydrogels were photographed at low magnification (left, scale bar: 200 µm) and high magnification (right, scale bar: 100 µm), respectively. Meanwhile, the temperature-sensitive characteristic of both hydrogels was tested at 4 and 37°C condition showed integral structure, manifesting in the clear grey and white outline and intensive ventral motor neurons (VMNs) filling in the grey matter. However, the dorsal white matter in SCI and HP groups was severely damaged and formed a huge cavity area, accompany- ing by scale VMNs survival. Compared with SCI and HP groups, GFs treatment showed large improvement of tissue morphology with less neuronal necrosis and more VMNs existence. Furthermore, the GFs-HP group almost achieved the healing degree to the sham group. Nissl staining also exhibited a similar trend with HE staining. Specifically, there were a large number of Nissl bodies existed in the sham group, while only few Nissl bodies were observed in SCI and HP groups. Treatment of GFs and GFs-HP, especially for the latter FI G U R E 2 GFs-HP improves the motor function recovery in SCI model rats. A, Footprint analyses of the sham, SCI, HP, GFs and GFs-HP groups at 28 d post- injury. B, BBB locomotion assessments of different groups at 1, 3, 7, 14, 21, 28 d post-SCI. Values were expressed as the mean ± SEM, n = 10 per group. &P < .05, &&P < .01 vs the SCI group.*P < .05, **P < .01 vs the SCI group. 3.3 | GFs-HP improves morphologic degeneration in SCI rats #P < .05, ##P < .01 vs the GFs group FI G U R E 2 G function recove Footprint analys GFs and GFs-HP injury. B, BBB lo of different gro post-SCI. Values mean ± SEM, n  &&P < .01 vs the **P < .01 vs the S ##P < .01 vs the FI G U R E 2 GFs-HP improves the motor function recovery in SCI model rats. A, Footprint analyses of the sham, SCI, HP, GFs and GFs-HP groups at 28 d post- injury. B, BBB locomotion assessments of different groups at 1, 3, 7, 14, 21, 28 d post-SCI. Values were expressed as the mean ± SEM, n = 10 per group. &P < .05, &&P < .01 vs the SCI group.*P < .05, **P < .01 vs the SCI group. #P < .05, ##P < .01 vs the GFs group showed integral structure, manifesting in the clear grey and white outline and intensive ventral motor neurons (VMNs) filling in the grey matter. However, the dorsal white matter in SCI and HP groups was severely damaged and formed a huge cavity area, accompany- ing by scale VMNs survival. Compared with SCI and HP groups, GFs treatment showed large improvement of tissue morphology with less neuronal necrosis and more VMNs existence. Furthermore, the GFs-HP group almost achieved the healing degree to the sham group. Nissl staining also exhibited a similar trend with HE staining. Specifically, there were a large number of Nissl bodies existed in the sham group, while only few Nissl bodies were observed in SCI and HP groups. Treatment of GFs and GFs-HP, especially for the latter less neuronal necrosis and more VMNs existence. Furthermore, the GFs-HP group almost achieved the healing degree to the sham group. Nissl staining also exhibited a similar trend with HE staining. Specifically, there were a large number of Nissl bodies existed in the sham group, while only few Nissl bodies were observed in SCI and HP groups. Treatment of GFs and GFs-HP, especially for the latter less neuronal necrosis and more VMNs existence. Furthermore, the GFs-HP group almost achieved the healing degree to the sham group. Nissl staining also exhibited a similar trend with HE staining. Specifically, there were a large number of Nissl bodies existed in the sham group, while only few Nissl bodies were observed in SCI and HP groups. 3.3 | GFs-HP improves morphologic degeneration in SCI rats Treatment of GFs and GFs-HP, especially for the latter HU et al. 8171 | FI G U R E 3 GFs-HP decreases the damage of tissue structure and the loss of neurons at 28 d after SCI. A, Representative images from HE staining (40× and 200×) and Nissl staining (200×) on transverse sections in sham, SCI, HP, GFs and GFs-HP groups at 28 dpi. Scale bar: 500 µm for low magnification images and 100 µm for high magnification ones. B, Counting analysis of the number of VMNs from (A) of HE staining. C, Quantitative analysis of the Nissl bodies numbers from Nissl staining. Values were expressed as the mean ± SEM, n = 4 per group. &&&P < .001 vs the SCI group. *P < .05, **P < .01 vs the SCI group. #P < .05, ##P < .01 vs the GFs group FI G U R E 3 GFs-HP decreases the damage of tissue structure and the loss of neurons at 28 d after SCI. A, Representative images from HE staining (40× and 200×) and Nissl staining (200×) on transverse sections in sham, SCI, HP, GFs and GFs-HP groups at 28 dpi. Scale bar: 500 µm for low magnification images and 100 µm for high magnification ones. B, Counting analysis of the number of VMNs from (A) of HE staining. C, Quantitative analysis of the Nissl bodies numbers from Nissl staining. Values were expressed as the mean ± SEM, n = 4 per group. &&&P < .001 vs the SCI group. *P < .05, **P < .01 vs the SCI group. #P < .05, ##P < .01 vs the GFs group drug, significantly increases the numbers of Nissl bodies (Figure 3A). The ranking of the numbers of VMNs and Nissl bodies from high to low was as follows: sham group > GFs-HP hydrogel group > GFs group > HP hydrogel group > SCI group (Figure 3B and C). All of these findings indicate that GFs-HP hydrogel can exert a best thera- peutic effect on protecting neuronal survival and ameliorating the pathological morphology in the injured spinal cord. BAX and cleaved caspase-3 was performed in the tested five groups at 28 dpi. 3.3 | GFs-HP improves morphologic degeneration in SCI rats As shown in Figure 4A and B, the number of NeuN-positive cells in the SCI and HP groups was few, whereas the GFs treatment significantly increased the number of NeuN-positive cells, but this trend was inferior to the GFs-HP hydrogel (GFs-HP group vs GFs group: P < .05). Next, the expressing level of typical apoptotic proteins (BAX and cleaved caspase 3) and anti-apoptotic protein (Bcl-2) was fur- ther tested by Western blotting (Figure  5A). The results revealed that, compared to the sham group, the expression of apoptotic pro- teins was significantly upregulated but anti-apoptotic protein was presented more lower in SCI and HP groups. GFs-HP substantially reversed this trend, and this inhibiting degree was better than GFs treatment (Figure 5B-D, GFs-HP group vs GFs group: all P < .05). All of the above data indicate that HP hydrogel combination of NGF and bFGF plays a significant beneficial role in promoting neuronal survival and reducing their apoptosis after SCI. 3.4 | GFs-HP hydrogel enhances neuronal survival and suppresses its apoptosis in vivo Traumatic SCI often initiates neurological dysfunction, apoptosis and even necrosis, which severely impedes nerve regeneration and function recovery.26 To further evaluate the effects of GFs-HP on promoting neuronal survival and reducing its apoptosis after SCI, im- munofluorescence staining for NeuN and Western blotting for Bcl-2, 8172  | HU et al. 8172 FI G U R E 4 GFs-HP hydrogel enhances neuronal survival at 28 d after SCI. A, Fluorescence images of transverse sections show the expressions of NeuN in the sham, SCI, HP, GFs and GFs-HP groups. Scale bar = 100 µm. B, Quantifying the number of NeuN+-positive cells from (A). Results were expressed as the mean ± SEM, n = 4 per group. &&&P < .001 vs the SCI group, *P < .05 vs the SCI group, #P < .05 vs the GFs group FI G U R E 4 GFs-HP hydrogel enhances neuronal survival at 28 d after SCI. A, Fluorescence images of transverse sections show the expressions of NeuN in the sham, SCI, HP, GFs and GFs-HP groups. Scale bar = 100 µm. B, Quantifying the number of NeuN+-positive cells from (A). Results were expressed as the mean ± SEM, n = 4 per group. &&&P < .001 vs the SCI group, *P < .05 vs the SCI group, #P < .05 vs the GFs group 3.5 | GFs-HP hydrogel promotes axonal rehabilitation and plasticity A, Representative immunoblotting bands of Bcl-2, BAX, cleaved caspase-3 in the sham, SCI, HP, GFs and GFs-HP groups. GAPDH was used as was used as the loading control and for band density normalization. B-D, The optical density analysis of Bcl-2, BAX, cleaved caspase-3 proteins in five groups. Values were expressed as the mean ± SEM, n = 4 per group. &&&P < .001 vs the SCI group. *P < .05, **P < .01, ***P < .001 vs the SCI group. #P < .05 vs the GFs group FI G U R E 5 GFs-HP hydrogel reduces neuronal apoptosis at 28 d after SCI. A, Representative immunoblotting bands of Bcl-2, BAX, cleaved caspase-3 in the sham, SCI, HP, GFs and GFs-HP groups. GAPDH was used as was used as the loading control and for band density normalization. B-D, The optical density analysis of Bcl-2, BAX, cleaved caspase-3 proteins in five groups. Values were expressed as the mean ± SEM, n = 4 per group. &&&P < .001 vs the SCI group. *P < .05, **P < .01, ***P < .001 vs the SCI group. #P < .05 vs the GFs group FI G U R E 6 GFs-HP hydrogel promotes axonal growth at 28 d after SCI. A, Representative fluorescence images for GAP43 of transverse sections from the injured spinal cord in each group. Scale bar = 50 µm. B, Protein expressions of GAP43 in each group via Western blotting detection. C, Densitometric analyses of GAP43 from (B). GAPDH was used for band density normalization. Values were expressed as the mean ± SEM, n = 4 per group. &&&P < .001 vs the SCI group. ***P < .001 vs the SCI group. ###P < .001 vs the GFs group FI G U R E 7 GFs-HP hydrogel promotes axonal regeneration and attenuates the reactive astrogliosis at 28 d after SCI. A, Immunohistochemical staining of NF-200 and GFAP of longitudinal sections in the sham, SCI, HP, GFs and GFs-HP groups at 28 d after SCI. Scale bar = 50 µm. B-C, Quantitative analysis of GFAP and NF-200-positive area from A. D, Western blotting detected the protein levels of GFAP and NF-200 in each group, GAPDH served as a protein loading control. E-F, Quantification of GFAP and NF-200 from D. Values were expressed as the mean ± SEM, n = 4 per group. &&&P < .001 vs the SCI group. 3.5 | GFs-HP hydrogel promotes axonal rehabilitation and plasticity SCI leads to astrocyte's activation to form a glial scar around the injury site, which severely hinders neural regeneration and axonal regrowth.30 To investigate whether GFs-HP could reduce glial scar formation to guide axon growth, the spinal cord sections in all ex- perimental animals were stained for glial fibrillary acidic protein (GFAP, a marker of astrocyte activation) and neurofilament-200 (NF-200, marking for axon). Immunohistochemistry result showed that GFAP was presented abundance and dense at 28 dpi in the SCI and HP groups. In contrast, in the other two treating groups, especially for the GFs-HP group, the GFAP staining showed an tre- mendous decrease, which was nearly closed to the sham group (Figure 7A and B), whereas NF-200 staining intensity was exhib- ited an opposite tendency; that is, the ranking of NF-200-positive areas was as follows: sham group > GFs-HP hydrogel group > GFs group  >  HP hydrogel group  >  SCI group (Figure  7A and C). Similarly, Western blotting detection of GFAP and NF-200 expres- sion in each group was consistent with the immunohistochemistry analysis (Figure 7D-F). these results suggest that GFs-HP hydrogel The growth-associated protein 43 (GAP43) is an axon growth-related protein that regulates neurite growth, synaptic development and nerve cell regeneration.27 Upon maturation of the spinal cord, GAP43 is downregulated by mostly neurons. After nerve damage, the regenera- tive neurons can secrete a certain amount of GAP43 to mediate axonal extension and plasticity.28 Thereby, the detection of GAP43 expression can indirectly reflects the circumstances of axon outgrowth and syn- apse formation.29 In this study, we tested GAP43 expression in each group using Western blotting and immunofluorescence staining. As shown in Figure 6A, compared to the SCI and HP groups, the GAP43+ signals were largely enhanced in GFs and GFs-HP groups. Western blotting also showed that the level of GAP43 expression was pretty low in the sham, while in the SCI and HP groups, this protein level was evidently increased. Moreover, this trend of GAP43 expression was further increased in GFs and GFs-HP groups, especially for the latter group (Figure 6B and C, GFs-HP group vs GFs group: P < .001). These results proved that co-delivery of bFGF and NGF with HP was favour- able for axon outgrowth and plasticity. 8173 HU et al. FI G U R E 5 GFs-HP hydrogel reduces neuronal apoptosis at 28 d after SCI. 3.5 | GFs-HP hydrogel promotes axonal rehabilitation and plasticity *P < .05, ***P < .001 vs the SCI group. #P < .05, ##P < .01 vs the GFs group 4 Trk A and FGFR1 are high-affinity receptors for interacting with NGF and bFGF, respectively.31 Both NGF/Trk A and bFGF/FGFR1 com- plexes can activate some downstream signalling cascades, such as PI3K/Akt and MAPK/ERK, to trigger several biological effects in- cluding neuronal survival, axonal outgrowth and synaptic plasticity.32 To explore whether GFs-HP ameliorated SCI recovery was related to Trk A and/or FGFR1-induced PI3K/Akt and MAPK/ERK activation, we first measured the expression levels of Trk A and FGFR1 in each group at 28 dpi by Western blotting. As expected, the expression of both receptors in GFs was higher than that of the SCI and HP groups, while the expression of Trk A and FGFR1 in the GFs-HP hydrogel group was the highest in all treatment groups (Figure 8A-C). Our previous studies have utilized HP hydrogel with encapsulated single GF, such as acidic fibroblast growth factor (aFGF), bFGF, NGF or glial cell–derived neurotrophic factor (GDNF) for local injection into the SCI site.33-37 The results showed that these single GF-loaded injectable HP hydrogel achieved a certain improvement in promot- ing neuronal survival, axonal regeneration and functional recovery. However, nerve regeneration after SCI is a dynamic process that in- volves multiple GFs to modulate this process. Individual GF supple- ment is not sufficient to achieve successful axon regrowth across the lesion region. To overcome this difficulty, we encapsulated bFGF and NGF into HP hydrogel. Our results had revealed that this GFs-HP hy- drogel possessed robust effects on promoting the recovery of motor function, enhancing axon regeneration and reducing neurons apop- tosis and glial scar formation. Furthermore, we also explored that the molecular mechanism of this GFs-HP on repairing SCI was related to activate the MAPK/ERK and PI3K/Akt signalling pathways. To further reveal whether initiated GF-receptor expression was contributed to activate the downstream signalling pathways of PI3K/ Akt and MAPK/ERK, the expression levels of P-AKT, AKT, P-ERK and ERK in five groups at the 28 days post-surgery were tested by Western blotting. The results showed that the ratio of P-AKT/AKT and P-ERK/ ERK in the free GFs and GFs-HP hydrogel groups exhibited a marked FI G U R E 8 GFs-HP hydrogel treatment through receptor-medicated PI3K/AKT and MAPK/ERK activation. A, Immunoblotting for TrkA and FGFR1 in each group. B-C, The optical density analysis of TrkA and FGFR1 from A. D, Immunoblotting for P-AKT, AKT, P-ERK and ERK in the spinal cord segment at the contusion epicentre. FI G U R E 6 GFs-HP hydrogel promotes axonal growth at 28 d after SCI. A, FI G U R E 6 GFs-HP hydrogel promotes axonal growth at 28 d after SCI. A, g , Representative fluorescence images for GAP43 of transverse sections from the injured spinal cord in each group. Scale bar = 50 µm. B, Protein expressions of GAP43 in each group via Western blotting detection. C, Densitometric analyses of GAP43 from (B). GAPDH was used for band density normalization. Values were expressed as the mean ± SEM, n = 4 per group. &&&P < .001 vs the SCI group. ***P < .001 vs the SCI group. ###P < .001 vs the GFs group drogel promotes axonal regeneration and attenuates the reactive astrogliosis at 28 d after SCI. A, FI G U R E 7 GFs-HP hydrogel promotes axonal regeneration and attenuates the reactive astrogliosis at 28 d after SCI. A, Immunohistochemical staining of NF-200 and GFAP of longitudinal sections in the sham, SCI, HP, GFs and GFs-HP groups at 28 d after SCI. Scale bar = 50 µm. B-C, Quantitative analysis of GFAP and NF-200-positive area from A. D, Western blotting detected the protein levels of GFAP and NF-200 in each group, GAPDH served as a protein loading control. E-F, Quantification of GFAP and NF-200 from D. Values were expressed as the mean ± SEM, n = 4 per group. &&&P < .001 vs the SCI group. *P < .05, ***P < .001 vs the SCI group. #P < .05, ##P < .01 vs the GFs group HU et al. 8174 | 8175 HU et al. group has the best therapies for preventing glial scar formation to guide axon growth. increase, compared with the SCI and HP hydrogel groups. Furthermore, the GFs-HP hydrogel group showed the highest ration among the five groups (Figure 8D-F). These data indicate that the underlying mecha- nism of GFs-HP hydrogel increasing neurological and functional recov- ery after SCI may be involve in binding Trk A and FGFR1 receptors to activate the MAPK/ERK and PI3K/Akt signalling pathways. Based on the fact that different GFs exert distinctive activities and different neuronal subpopulations in the injured region of spinal cord need to apply different GFs, we consider that multiple GFs combinational treatment may be optimal as a feasible and effec- tive therapeutic strategy for repairing SCI. In the present study, the reason of selecting NGF and bFGF together to treat SCI was considered as follows: (a) bFGF was regarded as a strong inducer for angiogenesis that was favour for supplying the nerve with ox- ygen and nutrients43-46; (b) NGF promoted axonal regrowth and sprouting, remyelination and synaptic plasticity47; (c) their distinc- tive biological effects on angiogenesis and neurogenesis were able to enhance vessel-nerve interaction, leading to synergistically fa- cilitate functional recovery following SCI.48-51 However, free ap- plication of both NGF and bFGF to repair SCI was hard to achieve an effective concentration at injured site, especially for the late stage of spinal cord repair. The reasons were including: both of them were biomacromolecules that possessed hard to penetrate the BSCB and easy degradation by proteolytic enzymes plus rapid diffusion in body fluids.52-54 Accumulated evidence shows that MAPK/ERK and PI3K/Akt signalling pathways are particularly important for regulating neu- ronal survival and axonal regrowth under a wide variety of circum- stance.55-57 Recent studies have implied the benefit effects of NGF on exerting neurogenesis and neuroprotection after acute SCI is related to bind Trk A receptor-mediated activation of MAPK/ERK and PI3K/Akt axes.47,50 Furthermore, the protective effects of bFGF on angiogenesis and functional recovery in contusive SCI rats were involved in bFGF interacting with its FGFR1 to activate MAPK/ERK and PI3K/Akt signalling cascades.58,59 To verify whether GFs-HP improves SCI structure and function was related to GFs-HP con- stantly releasing NGF and bFGF to activate MAPK/ERK and PI3K/ Akt signalling pathways via binding its corresponding receptors, we detected the protein expression of Trk A and FGFR1 receptors, and two signalling cascades-related proteins using Western blotting. Results showed that the expression of Trk A and FGFR1, and the ratio of P-Akt/Akt and P-ERK/ERK were pretty low in SCI group. After administration of free GFs, this trend was significant reversed, but inferior to the GFs-HP group (Figure 8). The reason might be explained that the sustained release of NGF and bFGF from GFs-HP could invariably bind their corresponding receptors at a certain amount to persistently activate MAPK/ERK and PI3K/Akt signalling caspases, leading to continually repair SCI. first week, and a slow sustained release for prolonged time, with total release of bFGF and NGF from HP, was estimated to be 35% and 48%, respectively, over the 35-day duration.18 Moreover, pre- vious literatures had confirmed that HP hydrogel delivery of aFGF, bFGF, keratinocyte growth factor (KGF) or 17β-estradiol exhibited remarkable therapeutic outcomes in various diseases, including SCI repair, wound healing or endometrial regeneration. During the regeneration and development of the central nerve system, axon regeneration and synaptic connections are essential to achieve optimal functional recovery after SCI. Over the last few decades, numerous therapeutic strategies including trans- plantation of stem cells and/or biomaterials38-40 were aimed to improve neuroprotective and neuroregenerative capacity of dam- aged spinal cord, but positive clinical outcomes remained to be seen. The reasons that leaded to the failure of SCI repair should be attributed to the following reasons41,42: (a) the weak growth capacity of damaged neurons; (b) the deterioration of regenera- tive microenvironment due to excessive inflammatory activation and myelin debris accumulation; and (c) glial scar, cystic cavity and inhibitory molecules formation. Therefore, how to ameliorate the intrinsic capacity of damaged neurons, how to create an optimal microenvironment for axonal regeneration and how to suppress the formation of glial scar and cystic cavities are critical issues for restoring SCI. In the present study, we observed that the thermo-sensi- tivity property and three-dimensional network structure were not changed after incorporating NGF and bFGF into HP hydrogel (Figure 1). Moreover, compare with the orthotopic injection of free GFs or HP only, using this GFs-HP hydrogel to repair chronic SCI contusion model provided more stronger and robust therapeutic efficacy and efficiency for inducing neuronal survival and axonal re- growth/plasticity, improving motor functional recovery, as well as reducing glial scar and cell apoptosis (Figures 2-8). These superior neuroprotective and neuroregenerative capacity indicate GFs-HP is a safe and effective therapeutic drug for the treatment of chronic SCI. However, the related molecular mechanism of this superior ef- fects is still unknown. GFs belong to polypeptide therapeutic agents, which shows to exert multiple functions on neurogenesis, axonal growth, neuro- protection and revascularization. These attractive properties are considered for optimizing application of GFs in spinal cord repair. 8176  | 8176 HU et al. HU et al. 4 GAPDH was used for band density normalization. E-F, Quantifying the ratio of p-AKT/ AKT, p-ERK/ERK from (D). Values were expressed as the mean ± SEM, n = 4 per group. &&&P < .001 vs the SCI group. *P < .05, **P < .01, ***P < .001 vs the SCI group, #P < .05, ##P < .01, ###P < .001 vs the GFs group FI G U R E 8 GFs-HP hydrogel treatment through receptor-medicated PI3K/AKT and MAPK/ERK activation. A, Immunoblotting for TrkA and FGFR1 in each group. B-C, The optical density analysis of TrkA and FGFR1 from A. D, Immunoblotting for P-AKT, AKT, P-ERK and ERK in the spinal cord segment at the contusion epicentre. GAPDH was used for band density normalization. E-F, Quantifying the ratio of p-AKT/ AKT, p-ERK/ERK from (D). Values were expressed as the mean ± SEM, n = 4 per group. &&&P < .001 vs the SCI group. *P < .05, **P < .01, ***P < .001 vs the SCI group, #P < .05, ##P < .01, ###P < .001 vs the GFs group REFERENCES 1. Witiw CD, Fehlings MG. Acute spinal cord injury. J Spinal Disord Tech. 2015;28:202-210. 1. Witiw CD, Fehlings MG. Acute spinal cord injury. J Spinal Disord Tech. 2015;28:202-210. 21. Xu L, Tang YY, Ben XL, et al. Ginsenoside Rg1-induced activa- tion of astrocytes promotes functional recovery via the PI3K/ Akt signaling pathway following spinal cord injury. Life Sci. 2020;252:117642. 2. Chen Y, Tang Y, Vogel LC, et al. Causes of spinal cord injury. Top Spinal Cord Inj Rehabil. 2013;19:1-8. 3. Orr MB, Gensel JC. Spinal cord injury scarring and inflamma- tion: therapies targeting glial and inflammatory responses. Neurotherapeutics. 2018;15:541-553. 22. Yoo MK, Cho KY, Song HH, et al. Release of ciprofloxacin from chondroitin 6-sulfate-graft-poloxamer hydrogel in vitro for oph- thalmic drug delivery. Drug Dev Ind Pharm. 2005;31:455-463. 4. Li R, Li D, Wu C, et al. Nerve growth factor activates autophagy in Schwann cells to enhance myelin debris clearance and to expedite nerve regeneration. Theranostics. 2020;10:1649-1677. 23. Ye LB, Yu XC, Xia QH, et al. Regulation of Caveolin-1 and Junction Proteins by bFGF Contributes to the Integrity of Blood- Spinal Cord Barrier and Functional Recovery. Neurotherapeutics. 2016;13:844-858. 5. Li R, Li DH, Zhang HY, et al. Growth factors-based therapeutic strategies and their underlying signaling mechanisms for periph- eral nerve regeneration. Acta Pharmacol Sin. 2020. https://doi. org/10.1038/s4140​1-019-0338-1 24. Li R, Wu J, Lin Z, et al. Single injection of a novel nerve growth factor coacervate improves structural and functional regeneration after sciatic nerve injury in adult rats. Exp Neurol. 2017;288:1-10. 6. Matsumine H, Sasaki R, Tabata Y, et al. Facial nerve regeneration using basic fibroblast growth factor-impregnated gelatin micro- spheres in a rat model. J Tissue Eng Regen Med. 2016;10:E559-E567. 25. Zhao YZ, Lv HF, Lu CT, et al. Evaluation of a novel thermosensitive heparin-poloxamer hydrogel for improving vascular anastomosis quality and safety in a rabbit model. PLoS One. 2013;8:e73178. 7. Goldshmit Y, Frisca F, Pinto AR, et al. Fgf2 improves functional re- covery-decreasing gliosis and increasing radial glia and neural pro- genitor cells after spinal cord injury. Brain Behav. 2014;4:187-200. 26. Dolbow DR, Credeur DP, Lemacks JL, et al. The effect of electri- cally induced cycling and nutritional counseling on cardiometabolic health in upper and lower motor neuron chronic spinal cord injury: dual case report. Int J Neurorehabil. 2019;6(1):336. 8. Chen ZW, Wang HP, Yuan FM, et al. AUTHOR CONTRIBUTIONS YJM and HXL designed the experiment and interpreted results. HXL performed experiments and drafted manuscript. LR made critical re- vision to manuscript. All authors have read and approved the final manuscript. YJM and XJ are co-corresponding authors. 16. Ishihara M, Obara K, Ishizuka T, et al. Controlled release of fibro- blast growth factors and heparin from photocrosslinked chitosan hydrogels and subsequent effect on in vivo vascularization. J Biomed Mater Res A. 2003;64:551-559. 17. Perale G, Rossi F, Santoro M, et al. Multiple drug delivery hydro- gel system for spinal cord injury repair strategies. J Control Release. 2012;159:271-280. CONFLICT OF INTEREST 14. Huang DW, McKerracher L, Braun PE, et al. A therapeutic vaccine approach to stimulate axon regeneration in the adult mammalian spinal cord. Neuron. 1999;24:639-647. The authors confirm that this article has no conflicts of interest. 15. Yoon JJ, Chung HJ, Lee HJ, et al. Heparin-immobilized biodegrad- able scaffolds for local and sustained release of angiogenic growth factor. J Biomed Mater Res A. 2006;79:934-942. Yanqing Wu  https://orcid.org/0000-0001-6535-6655 Ling Xie  https://orcid.org/0000-0003-2943-3080 Jian Xiao  https://orcid.org/0000-0001-7374-6506 19. Liu Y, Lu JB, Chen Q, et al. Involvement of MAPK/ERK kinase-ERK pathway in exogenous bFGF-induced Egr-1 binding activity en- hancement in anoxia-reoxygenation injured astrocytes. Neurosci Bull. 2007;23:221-228. 20. Ahmad I, Yue WY, Fernando A, et al. p75NTR is highly expressed in vestibular schwannomas and promotes cell survival by activating nuclear transcription factor κB. Glia. 2014;62:1699-1712. ORCID Yanqing Wu  https://orcid.org/0000-0001-6535-6655 Ling Xie  https://orcid.org/0000-0003-2943-3080 Jian Xiao  https://orcid.org/0000-0001-7374-6506 In order to maintain their long-term bioactivity, we employed the previous preparative heparin-poloxamer (HP) hydrogel which con- sisted of Poloxamer 407 and heparin for delivering NGF and bFGF directly to the lesion area of damaged spinal cord. Poloxamer 407 possesses high biocompatibility that has been approved by US Food and Drug Administration (FDA) for biomedical application, such as vascular anastomosis.25 The ingredient of heparin has been demon- strated to combine multiple GFs with a high affinity. Thus, after embedding both GFs into HP, this GFs-based delivery system not only released NGF and bFGF in a temporally and spatially controlled manner, but also protected them from proteolytic degradation. We have previously reported that the release characteristic of NGF and bFGF from this GFs-HP exhibited an initial rapid phase during the In conclusion, we describe here that a high affinity–binding hy- drogel biomaterial with sustained release of bFGF/NGFF has the promising to serve as an effective therapeutic agent drug for im- proving SCI damage. This GFs-HP has great biocompatibility and thermosensitive property, which is favourable for in situ adminis- tration. In the treatment of SCI, a single injection of this GFs-HP manifests a great beneficial effect on the recovery of motor func- tion. More importantly, GFs-HP exhibited superior effects on neu- roprotection and neuroregeneration, manifesting in promoting neuronal survival, enhancing axonal regeneration and plasticity, HU et al. 8177 DATA AVAILABILITY STATEMENT The authors confirm that this article has no conflicts of interest. The authors confirm that this article has no conflicts of interest. 18. Li R, Li Y, Wu Y, et al. Heparin-poloxamer thermosensitive hydrogel loaded with bFGF and NGF enhances peripheral nerve regenera- tion in diabetic rats. Biomaterials. 2018;168:24-37. be measured in blood samples and correspond to neurological re- mission in a 12-week follow-up. J Neurotrauma. 2017;34:607-614. be measured in blood samples and correspond to neurological re- mission in a 12-week follow-up. J Neurotrauma. 2017;34:607-614. and attenuating neuronal apoptosis, as well as inhibiting glial scar former. Finally, we verify that the above therapeutic effects are probably achieved by activations of the MAPK/ERK and PI3K/Akt signalling pathways. Therefore, single injection of thermosensitive GFs-HP hydrogel in situ may be a very promising strategy for the repair of SCI. 12. Pacelli S, Acosta F, Chakravarti AR, et al. Nanodiamond- based injectable hydrogel for sustained growth factor release: Preparation, characterization and in vitro analysis. Acta Biomater. 2017;58:479-491. 13. Ohri SS, Hetman M, Whittemore SR. Restoring endoplasmic retic- ulum homeostasis improves functional recovery after spinal cord injury. Neurobiol Dis. 2013;58:29-37. 2018;9:3147. 54. Kang CE, Tator CH, Shoichet MS. Poly(ethylene glycol) modification enhances penetration of fibroblast growth factor 2 to injured spinal cord tissue from an intrathecal delivery system. J Control Release. 2010;144:25-31. 39. Papa S, Caron I, Erba E, et al. Early modulation of pro-inflammatory microglia by minocycline loaded nanoparticles confers long lasting protection after spinal cord injury. Biomaterials. 2016;75:13-24. 55. Mar FM, Simoes AR, Rodrigo IS, et al. Inhibitory injury signaling re- presses axon regeneration after dorsal root injury. Mol Neurobiol. 2016;53:4596-4605. 40. Tsintou M, Dalamagkas K, Seifalian AM. Advances in regenerative therapies for spinal cord injury: a biomaterials approach. Neural Regen Res. 2015;10:726-742. 41. Cui X, Chen L, Ren Y, et al. Genetic modification of mesenchy- mal stem cells in spinal cord injury repair strategies. Biosci Trends. 2013;7:202-208. 56. Glenn TD, Talbot WS. Signals regulating myelination in peripheral nerves and the Schwann cell response to injury. Curr Opin Neurobiol. 2013;23:1041-1048. 57. Calvo M, Zhu N, Grist J, et al. Following nerve injury neuregulin-1 drives microglial proliferation and neuropathic pain via the MEK/ ERK pathway. Glia. 2011;59:554-568. 42. Jakovcevski I, Djogo N, Holters LS, et al. Transgenic overexpres- sion of the cell adhesion molecule L1 in neurons facilitates recovery after mouse spinal cord injury. Neuroscience. 2013;252:1-12. 58. Zhou Y, Wang Z, Li J, et al. Fibroblast growth factors in the manage- ment of spinal cord injury. J Cell Mol Med. 2018;22:25-37. 43. Lan L, Tian FR, ZhuGe DL, et al. Implantable porous gelatin micro- spheres sustained release of bFGF and improved its neuroprotective effect on rats after spinal cord injury. PLoS One. 2017;12:e0173814. 59. Zhang HY, Wang ZG, Wu FZ, et al. Regulation of autophagy and ubiquitinated protein accumulation by bFGF promotes functional recovery and neural protection in a rat model of spinal cord injury. Mol Neurobiol. 2013;48:452-464. 44. Soto I, Marie B, Baro DJ, et al. FGF-2 modulates expression and dis- tribution of GAP-43 in frog retinal ganglion cells after optic nerve injury. J Neurosci Res. 2003;73:507-517. 45. Rabchevsky AG, Fugaccia I, Turner AF, et al. Basic fibroblast growth factor (bFGF) enhances functional recovery following severe spinal cord injury to the rat. Exp Neurol. 2000;164:280-291. How to cite this article: Hu X, Li R, Wu Y, et al. Thermosensitive heparin-poloxamer hydrogel encapsulated bFGF and NGF to treat spinal cord injury. J Cell Mol Med. 2020;24:8166–8178. https://doi.org/10.1111/jcmm.15478 46. Zhang HY, Zhang X, Wang ZG, et al. neuronal apoptosis in rats with spinal cord injury. J Transl Med. 2014;12:130. 31. Widenfalk J, Lundstromer K, Jubran M, et al. Neurotrophic factors and receptors in the immature and adult spinal cord after mechani- cal injury or kainic acid. J Neurosci. 2001;21:3457-3475. 48. Hao W, Han J, Chu Y, et al. Collagen/Heparin bi-affinity multilayer modified collagen scaffolds for controlled bFGF release to improve angiogenesis in vivo. Macromol Biosci. 2018;18:e1800086. 32. Guillemot F, Zimmer C. From cradle to grave: the multiple roles of fibroblast growth factors in neural development. Neuron. 2011;71:574-588. 49. Pang Q, Zhang H, Chen Z, et al. Role of caveolin-1/vascular en- dothelial growth factor pathway in basic fibroblast growth fac- tor-induced angiogenesis and neurogenesis after treadmill training following focal cerebral ischemia in rats. Brain Res. 2017;1663:9-19. 33. Xu HL, Tian FR, Lu CT, et al. Thermo-sensitive hydrogels combined with decellularised matrix deliver bFGF for the functional recovery of rats after a spinal cord injury. Sci Rep. 2016;6:38332. 34. Ko CC, Tu TH, Wu JC, et al. Acidic fibroblast growth factor in spinal cord injury. Neurospine. 2019;16:728-738. 50. Salis MB, Graiani G, Desortes E, et al. Nerve growth factor sup- plementation reverses the impairment, induced by Type 1 diabe- tes, of hindlimb post-ischaemic recovery in mice. Diabetologia. 2004;47:1055-1063. 35. Wang Q, Zhang H, Xu H, et al. Novel multi-drug delivery hydro- gel using scar-homing liposomes improves spinal cord injury repair. Theranostics. 2018;8:4429-4446. 51. Emanueli C, Salis MB, Pinna A, et al. Nerve growth factor promotes angiogenesis and arteriogenesis in ischemic hindlimbs. Circulation. 2002;106:2257-2262. 36. Kojima A, Tator CH. Intrathecal administration of epidermal growth factor and fibroblast growth factor 2 promotes ependymal prolifer- ation and functional recovery after spinal cord injury in adult rats. J Neurotrauma. 2002;19:223-238. 52. Liu L, Lu B, Tu CQ, et al. Effect of basic fibroblast growth factor on the expression of glial fibrillary acidic protein after tractive spinal cord injury in rats. Chin J Traumatol. 2005;8:117-120. 37. Chen G, Zhang Z, Wang S, et al. Combined treatment with FK506 and nerve growth factor for spinal cord injury in rats. Exp Ther Med. 2013;6:868-872. 53. Epstein SE, Fuchs S, Zhou YF, et al. Therapeutic interventions for enhancing collateral development by administration of growth fac- tors: basic principles, early results and potential hazards. Cardiovasc Res. 2001;49:532-542. 38. Yang L, Chueng SD, Li Y, et al. A biodegradable hybrid inorganic nanoscaffold for advanced stem cell therapy. Nat Commun. REFERENCES Releasing of herpes sim- plex virus carrying NGF in subarachnoid space promotes the functional repair in spinal cord injured rats. Curr Gene Ther. 2016;16:263-270. 27. Zhang F, Ying L, Jin J, et al. GAP43, a novel metastasis promoter in non-small cell lung cancer. J Transl Med. 2018;16:310. 28. Gerin CG, Madueke IC, Perkins T, et al. Combination strategies for repair, plasticity, and regeneration using regulation of gene ex- pression during the chronic phase after spinal cord injury. Synapse. 2011;65:1255-1281. 9. Zhao YZ, Jiang X, Xiao J, et al. Using NGF heparin-poloxamer ther- mosensitive hydrogels to enhance the nerve regeneration for spinal cord injury. Acta Biomater. 2016;29:71-80. 10. Zhu SP, Wang ZG, Zhao YZ, et al. Gelatin nanostructured lipid car- riers incorporating nerve growth factor inhibit endoplasmic reticu- lum stress-induced apoptosis and improve recovery in spinal cord injury. Mol Neurobiol. 2016;53:4375-4386. 29. Benowitz LI, Routtenberg A. GAP-43: an intrinsic determi- nant of neuronal development and plasticity. Trends Neurosci. 1997;20:84-91. 30. Silver J, Miller JH. Regeneration beyond the glial scar. Nat Rev Neurosci. 2004;5:146-156. 11. Ferbert T, Child C, Graeser V, et al. Tracking spinal cord injury: dif- ferences in cytokine expression of IGF-1, TGF- B1, and sCD95l can 8178 HU et al. HU et al. Exogenous basic fibroblast growth factor inhibits ER stress-induced apoptosis and improves recovery from spinal cord injury. CNS Neurosci Ther. 2013;19:20-29. 47. Zhang H, Wu F, Kong X, et al. Nerve growth factor improves func- tional recovery by inhibiting endoplasmic reticulum stress-induced
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https://aacr.figshare.com/articles/journal_contribution/Supplementary_documents_from_Stress-Response_Protein_RBM3_Attenuates_the_Stem-like_Properties_of_Prostate_Cancer_Cells_by_Interfering_with_CD44_Variant_Splicing/22397060/1/files/39842765.pdf
English
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Stress-Response Protein RBM3 Attenuates the Stem-like Properties of Prostate Cancer Cells by Interfering with CD44 Variant Splicing
Cancer research
2,013
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1,551
Supplementary Materals and Methods Cell culture and reagents PC3, DU145 and LNCaP cells were obtained from the American Type Culture Collection and cultured under standard conditions. Normal prostate epithelial cells (PrECs, Lonza,) were cultured in Prostate Epithelial Cell Basal Medium (PrEGM, Lonza) in supplement with BulletKit (Lonza). Mouse anti-CD44 (8E2, #5640), and mouse anti-β3 tubulin (TU-20, #4466) were purchased from Cell Signaling. Rabbit anti-RBM3 (AP7397c) was purchased from Abgent. Human MMP9 inhibitor SB3CT was purchased from Sigma-Aldrich. Recombinant human MMP9 (catalytic domain) were purchased from AnaSpec. In one experiment, cells were heated in an incubator at 43ºC for 4 hr or treated with Paclitaxel at 100 nM for 48 hr, and then recovered under normal culture conditions for a time periods as described previously (25). From the surviving clones, cells were collected and RNA was extracted for RT-PCR. In a hypothermic experiment, cells were incubated at 37 ºC for 24 hr, and then moved to an incubator at 32 ºC for the indicated time. Cells were collected and subjected to RNA isolation and RT-PCR. Immunohistochemistry and immunofluorescence staining Immunohistochemical staining was conducted using an EnVision™ FLEX System (Dako) following the manufactory’s protocol with a minor modification. Briefly, the section was blocked in 5% skim milk for 1 hr and then treated with rabbit anti-RBM3 polyclonal antibody at 1:100 or with mouse anti-β3-Tubulin at 1:50 for 1hr at room temperature. Separately, 25 thousand cells were seeded in chamber slides. Twenty- four hours later, cells were washed with PBS and fixed in 4% paraformaldehyde, and then incubated with CD44 antibody (8E2) at room temperature for 1 hr followed by PE-conjugated secondary antibodies. Slides were observed with a Nikon Eclipse TE2000E using the GFP-BP filter (Ex 460–500, DM 5005, DA:510–560) and analyzed with NIS Elements AR 3.00 Software. Western blot Twenty-five micrograms of protein were separated on a 4–15% SDS–PAGE and transferred onto PVD filters (Millipore). Membranes were incubated with primary antibodies overnight at 4ºC followed by horseradish peroxidase-conjugated secondary antibody and developed with the Super Signal West Dura Extended Duration Substrate kit (Pierce). RNA isolation and semi-quantitative reverse transcription (RT)–PCR Total RNA was isolated using the RNeasy mini kit (Qiagen) following the suppliers protocol. RNA samples were treated with DNase I (Invitrogen), and cDNA was synthesized using the iScript cDNA synthesis kit (BioRad). Real-time PCR was performed in triplicate using an iCycler iQ Multicolor Real-time PCR Detection system (BioRad). Target gene expression was compared to TATA box binding protein (TBP) for normalization. PCR primers sequences for TBP, RBM3 and CIRBP were described previously (28). Primers that are specific to CD44 variant and standard are as below: for CD44s, forward 5’-CATCTACCCCAGCAACCCTA-3’, reverse 5’- TCCCTGCTACCAATATGGACTC-3’, reverse 5’-ACTCTGCTGCGTTGTCATTG- 3’. siRNA transfection siRNAs specific for CD44 exon v8-v10 were designed using web-based software siDESIGN Center (http://www.dharmacon.com/designcenter) and synthesized from Thermo Fisher Scientific. Twenty-five nM of siRNA was transfected into 2×105 cells that were pre-plated in each well of 6-well plates, using 1 µl DharmaFECT-2 transfection reagent (Thermo Fisher Scientific). Forty-eight hours after transfection, cells were collected and subjected to RNA isolation and RT-PCR or lysed directly for Western blot. The siRNA sequences specific for CD44 v8-v10 are as below: siRNA- 1, sense, 5'-GGAAGAAGAUAAAGACCAUUU-3', antisense, 3'- UUCCUUCUUCUAUUUCUGGUA-5'; siRNA-2, sense, 5'- CUACUUUACUGGAAGGUUAUU-3', antisense, 3'- UUGAUGAAAUGACCUUCCAAU-5'. RBM3 ON-TARGETplus SMARTpool siRNA were obtained from Dharmacon (sequences available on request). siRNAs specific for CD44 exon v8-v10 were designed using web-based software siDESIGN Center (http://www.dharmacon.com/designcenter) and synthesized from Thermo Fisher Scientific. Twenty-five nM of siRNA was transfected into 2×105 cells that were pre-plated in each well of 6-well plates, using 1 µl DharmaFECT-2 UUCCUUCUUCUAUUUCUGGUA-5'; siRNA-2, sense, 5'- CUACUUUACUGGAAGGUUAUU-3', antisense, 3'- UUGAUGAAAUGACCUUCCAAU-5'. RBM3 ON-TARGETplus SMARTpool siRNA were obtained from Dharmacon (sequences available on request). Plasmid construction The entry vector containing RBM3 open reading frame, pCMV6-Entry, and the destination vector pCMV6-AC-GFP were purchased from Origene. The expression vector pCMV6-RBM3-GFP was generated following the providers’ protocol. The constructs were expressed in PC3 cells by transfection with FuGENE HD (Roche), and single clones that express GFP (PC3-GFP) or RBM3-GFP (PC3-RBM3) were selected. CD44 variant and standard DNA was amplified using PCR from PC3 cDNA and then subcloned into pLenti-III expression system (Abm Good, Richmond, Canada). The lentiviral particles containing CD44 construct were packaged using HEK293T cells and collected for cell infection. constructs were expressed in PC3 cells by transfection with FuGENE HD (Roche), and single clones that express GFP (PC3-GFP) or RBM3-GFP (PC3-RBM3) were selected. CD44 variant and standard DNA was amplified using PCR from PC3 cDNA and then subcloned into pLenti-III expression system (Abm Good, Richmond, Canada). The lentiviral particles containing CD44 construct were packaged using HEK293T cells and collected for cell infection. Supplementary Figures Legends Figure S1. (A), expression of RBM3 in different human tissues. Data are mean ± s.d. (n = 3). (B), expression of CIRBP in CD133+ and CD133- PrEC cells. mRNA levels of RBM3 and CIRBP was determined by RT-PCR. Data are mean ± s.d. (n = 4). (C), mRNA levels of RBM3 were detected in the PC3-GFP and PC3-RBM3 clones by RT- PCR. Data are mean ± s.d. (n = 3), *P < 0.05. (D), RBM3 protein was detected in both cytoplasmic (Cyto) and nuclear (Nu) components of PC3-GFP and PC3-RBM3 clones. Tubulin and Lammn A/C were used as loading controls for cytoplasmic and nuclear fractions, respectively. In all panels: G#1, PC3-GFP-clone #1; G#2, PC3- GFP-clone #2; R#1, PC3-RBM3-clone #1; R#6, PC3-RBM3-clone #6. Figure S2. (A), expression of cancer-related miRNAs was detected in the PC3-RBM3 and PC3-GFP clones using a cancer-specific miRNA PCR array. Left panel, selected miRNAs whose expression levels differed more than 1.5 fold in the clone R#1 compared to G#1. Red bars, differentiation-related miRNAs; black bars, other cancer- related miRNAs. Right panel, the up-regulation of miR-9 in PC3-RBM3 clones was validated by RT-PCR. Values are mean ± s.d. (n = 3), *P < 0.05. (B), left panel, β3- tubulin expression was detected by Western blot in PC3-GFP and PC3-RBM3 clones. Right panel, quantitative evaluation of protein levels of β3-tubulin. Values are mean ± s.d. (n = 3), *P < 0.05. (C), the immunohistochemical staining of RBM3 and β3- tubulin in the nerve fibers observed in human prostate tissue. Upper panels, low magnification; lower panels, high magnification. Scale bars, 100 µm. In all panels: G#1, PC3-GFP-clone #1; G#2, PC3-GFP-clone #2; R#1, PC3-RBM3-clone #1; R#6, PC3-RBM3-clone #6.expression of CDH2 in PC3-GFP and PC3-RBM3 clones. Figure S3. (A), CD44 variant mRNAs were amplified by PCR using the general primers c13 and hs3’. The PCR products at size of 650 bp and 250 bp were cut and subjected to direct DNA sequencing. The numbers in the block are exons number of CD44. N, negative control; G#1, PC3-GFP-clone #1. (B), schematic diagram of designing siRNAs specific to CD 44 variant exons v8-v10 (siC1, siC2) and primers specific to CD44v8-v10 (CD44v) or standard CD44 (CD44s). Primers c13 and hs3’ can amplify both CD44s and CD44v. Primers p1 and p2 can only amplify CD44v8- v10, while primers p3 and p4 are specific to standard CD44s. Primer hs5’ is the outside primer of the nest PCR. Supplementary Figures Legends (C), the specificity of siRNAs targeting for CD44v8- v10. Variant exon-specific PCR was performed using primer p1 and p2. CD44s was amplified using CD44 standard-specific primer p3 and p4. siN, non-target siRNA. Data are mean ± s.d. (n = 3), *P < 0.05. (D), the efficiency of siRNA pool targeting RBM3. Cells were treated with siRBM3 or non-targeting siRNA (siN) for 48 hr. The expression of mRNA and protein of CD44 were detected by RT-PCR and Western blot, respectively. R#1, PC3-RBM3-clone #1; R#6, PC3-RBM3-clone #6. Data are mean ± s.d. (n = 3), *P < 0.05. Figure S4. mRNA expression of Cyclin D1 was evaluated in PC3 cells (A) and DU145 cells (B) that formed colonies in soft agar or those grew in the regular 2D culture condition by qRT-PCR. Values are mean ± s.d. (n = 4). (C), PC3 cells were cultured under 32˚C for 0 hr to 144 hr, and mRNA level of cyclin D1 was detected by qRT-PCR. Values are mean ± s.d. (n = 4). (D) Over-expression of CD44 variant and standard construct. LNCaP cells were transfected with pLenti-III-CD44s (CD44s), pLenti-III-CD44v8-v10 (CD44v8-10) or empty vector. After 48 hr of transfection, cells were collected and the expression of mRNA and protein of CD44 were detected by RT-PCR and Western blot, respectively. Data are mean ± s.d. (n = 3), *P < 0.05. Figure S5. (A), mRNA levels of CD44v8-v10 (CD44v) were determined in human normal and prostate cancer tissues by RT-PCR. Normal, normal prostate tissue (n = 19); OC-PCa, organ-confined prostate cancer (n = 79); Met-PCa, metastatic prostate cancer (n = 23). (B), mRNA levels of CD44v were compared between patients with recurrent PCa (Rec, n = 44) and those without recurrent disease (Non-rec, n = 30). (C) and (D), mRNA levels of standard CD44 (CD44s) (C) or CD44v (D) were compared between patients with low grade PCa (Gleason score ≤ 6, n = 21) and those with high grade disease (Gleason score > 6, n = 53). All experiments were repeated three times. Bars indicate median values. between patients with low grade PCa (Gleason score ≤ 6, n = 21) and those with high grade disease (Gleason score > 6, n = 53). All experiments were repeated three times. Bars indicate median values.
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https://europepmc.org/articles/pmc6424461?pdf=render
English
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Estimating the number of genetic mutations (hits) required for carcinogenesis based on the distribution of somatic mutations
PLOS computational biology/PLoS computational biology
2,019
cc-by
10,759
Editor: Natalia L. Komarova, University of California Irvine, UNITED STATES Editor: Natalia L. Komarova, University of California Irvine, UNITED STATES Copyright: © 2019 Anandakrishnan 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. Ramu AnandakrishnanID1,2*, Robin T. Varghese1,2, Nicholas A. KinneyID1,2, Harold R. Garner1,2 Ramu AnandakrishnanID1,2*, Robin T. Varghese1,2, Nicholas A. KinneyID1,2, Harold R. Garner1,2 1 Gibbs Cancer Center and Research Institute, Spartanburg, SC, United States of America, 2 Department of Biomedical Sciences, Edward Via College of Osteopathic Medicine, Blacksburg, VA, United States of America * ramu@vt.edu a1111111111 a1111111111 a1111111111 a1111111111 a1111111111 Abstract Individual instances of cancer are primarily a result of a combination of a small number of genetic mutations (hits). Knowing the number of such mutations is a prerequisite for identify- ing specific combinations of carcinogenic mutations and understanding the etiology of can- cer. We present a mathematical model for estimating the number of hits based on the distribution of somatic mutations. The model is fundamentally different from previous approaches, which are based on cancer incidence by age. Our somatic mutation based model is likely to be more robust than age-based models since it does not require knowing or accounting for the highly variable mutation rate, which can vary by over three orders of magnitude. In fact, we find that the number of somatic mutations at diagnosis is weakly cor- related with age at cancer diagnosis, most likely due to the extreme variability in mutation rates between individuals. Comparing the distribution of somatic mutations predicted by our model to the actual distribution from 6904 tumor samples we estimate the number of hits required for carcinogenesis for 17 cancer types. We find that different cancer types exhibit distinct somatic mutational profiles corresponding to different numbers of hits. Why might different cancer types require different numbers of hits for carcinogenesis? The answer may provide insight into the unique etiology of different cancer types. OPEN ACCESS Citation: Anandakrishnan R, Varghese RT, Kinney NA, Garner HR (2019) Estimating the number of genetic mutations (hits) required for carcinogenesis based on the distribution of somatic mutations. PLoS Comput Biol 15(3): e1006881. https://doi.org/10.1371/journal. pcbi.1006881 Introduction Cancer is known to result primarily from genetic mutations [1–3]. Moreover, models of carci- nogenesis–the multi-stage and multi-hit models–suggest that cancer results from a small num- ber of (two–seven) mutations [4–11]. Yet the availability of extensive genomic data [12, 13] and decades of investigation have failed to reveal, for the vast majority of cancers, the specific muta- tions that result in carcinogenesis. One reason for the inability to identify these carcinogenic mutations is that there is no single combination of mutations (hits) responsible for all instances of cancer, even within a cancer subtype. Instead, carcinogenesis is a result of one of many possi- ble combinations of a small number of hits. A reliable estimate for the number of such hits will help us understand how cancers originate, and to find the specific combination of mutations responsible for individual instances of cancer [14]. However, estimates from current mathemat- ical models are questionable because they are based on simple assumptions about mutation rate, which can vary by over three orders of magnitude as discussed below [4, 15–19]. The goal of this work is to estimate the number of genetic mutations that may be required for carcinogenesis, without making assumption about the mutation rate. We derived, from first principles, a multi-combination multi-hit mathematical model to estimate the average number of hits required for carcinogenesis. Unlike current models, our estimate is based on the distribution of somatic mutations instead of age (which requires knowing or assuming a mutation rate). In fact, we find that somatic mutations at diagnosis are weakly correlated with age at cancer diagnosis, most likely due to a large variation in mutation rates across individu- als, relative to each individual’s intrinsic mutation rate. Comparing the distribution of somatic mutations calculated by the model, to the actual distribution for seventeen different cancer types, we estimate that the average number of hits varies from two to eight, depending on can- cer type. Sensitivity analysis shows that, for sample size greater than 200, the distribution of somatic mutations and the corresponding estimated number of hits are robust. Some cancer types show a multimodal distribution indicating a mix of different number of hits. A key find- ing is that each cancer type has a distinct distribution. We discuss how the corresponding dif- ferences in the estimate for the number of hits may suggest differences in the etiology of the different cancer types. Author summary Cancer is primarily a result of genetic mutations. Each individual instance of cancer is ini- tiated by a specific combination of a small number of mutations (hits). In trying to iden- tify these combinations of mutations, it is important to know how many hits to look for. However, there are conflicting estimates for the number of hits. We present a fundamen- tally different model for estimating the number of hits. We found that the number hits ranges from two-eight depending on cancer type. These findings may provide insight into the unique characteristics of different cancer types. Data Availability Statement: All relevant data are within the paper and its Supporting Information files. Funding: This work was supported by a Bradley Foundation grant to Edward Via College of Osteopathic Medicine and HRG.The funders had no role in study design, data collection and analysis, decision to publish, or preparation of the manuscript. 1 / 19 PLOS Computational Biology | https://doi.org/10.1371/journal.pcbi.1006881 March 7, 2019 Introduction yp Several factors, other than genetic mutations, may also affect carcinogenesis, such as epige- netic modifications [20], tumor environment [21], and adaptive evolution [22]. However, car- cinogenesis is primarily a result of genetic mutations [23, 24]. Somatic mutations in particular are a critical driver of carcinogenesis, as exemplified by the occurrence of cancer in Caenor- habditis elegans and Drosophila melanogaster. Cancers in C. elegans are only found in the inde- terminately differentiating germ-line cells and not in somatic tissues, which are terminally differentiated at birth [25]. Cancers in D. melanogaster are only found in larvae or in the gut and germline cells of adults, and not in other adult tissues with little or no cell turnover after adulthood [26, 27]. Retinoblastoma is the classic example where the disease is known to be caused by mutations to both copies of the RB1 gene, with 55–65% being non-hereditary, indi- cating that somatic mutations are the primary cause in these cases [28]. The causal relationship between somatic mutations and cancer is further supported by the mutagenic effects of carcin- ogens [29]. Multi-combination multi-hit model of carcinogenesis Competing interests: The authors have declared that no competing interests exist. Results and discussion We present a mathematical model for predicting the distribution of somatic mutations as a function of the number of hits and combination, the multi-combination multi-hit model of carcinogenesis. The model does not make assumptions about mutation rate, which can be highly variable as suggested by the weak correlation between somatic mutations and age at 2 / 19 PLOS Computational Biology | https://doi.org/10.1371/journal.pcbi.1006881 March 7, 2019 Multi-combination multi-hit model of carcinogenesis Fig 1. Illustration of the multi-hit model. A short genome with three (k = 3) possible 2-hit (h = 2) combinations of carcinogenic mutations. The 2-hit combinations are shown with yellow/green/purple shaded background. Somatic mutations are outlined in red. One (purple) of the three combinations occurs with five (m = 5) somatic mutations, resulting in carcinogenesis. Fig 1. Illustration of the multi-hit model. A short genome with three (k = 3) possible 2-hit (h = 2) combinations of carcinogenic mutations. The 2-hit combinations are shown with yellow/green/purple shaded background. Somatic mutations are outlined in red. One (purple) of the three combinations occurs with five (m = 5) somatic mutations, resulting in carcinogenesis. https://doi.org/10.1371/journal.pcbi.1006881.g001 https://doi.org/10.1371/journal.pcbi.1006881.g001 cancer diagnosis. We compare the distribution calculated by the model to the actual distribu- tion in somatic mutations to estimate the number of hits required for carcinogenesis. The esti- mates were robust to sample size when sample size is greater than 200. We discuss possible reasons for differences in number of hits for different cancer types. We also discuss the effect of possible deviations from model assumptions on the estimated number of hits. cancer diagnosis. We compare the distribution calculated by the model to the actual distribu- tion in somatic mutations to estimate the number of hits required for carcinogenesis. The esti- mates were robust to sample size when sample size is greater than 200. We discuss possible reasons for differences in number of hits for different cancer types. We also discuss the effect of possible deviations from model assumptions on the estimated number of hits. Multi-combination multi-hit model of carcinogenesis PhðmÞ ¼ 1 X h i¼1 ð1Þ iþ1 h i ! G i G  m ðm  hÞ ð3Þ ð3Þ where Pk is the cumulative probability of hitting one or more of k multi-hit combinations with m or less accumulated mutations, Ph is the probability of hitting one combination of h muta- tions, and G is the number of all possible somatic mutations that can become fixed, i.e. do not cause cell death. Here k is the number of possible carcinogenic multi-hit combinations, e.g. for 2-hit combinations it would include a set of genetic mutations [g11, g12], [g21, g22], . . . [gk1, gk2], where gij represents a genetic mutation. In this model, mutations are counted separately for each copy of a gene. The derivation for the above equations use basic principles from prob- ability theory, as detailed in Materials and Methods. Although this model does not make assumptions regarding mutation rate, as current models do, we do make two other simplifying assumptions that are similar to the other assumptions made by current models [4–10]. One, mutations at any one of the loci are equally likely. This assumption does not imply that muta- tion rate (variants per year) is fixed. It only implies that the distribution of mutations across the genome is approximately uniform subject to random variations. Two, carcinogenesis is primarily the result of somatic mutations. We discuss below the potential effect of deviations from these assumptions, on our results. Our model, which is based on accumulated somatic mutations, does not make any assump- tions regarding mutation rate, which can be highly variable [15–19]. Whereas current models are based on incidence by age, which requires knowing or making assumptions about muta- tion rate, which limits the robustness of these models [4–9]. For example, the multi-stage mod- els by Armitage and Dole, Ashley, Luebeck and Moolgavkar, Little and Wright, and Zhang and Simon, assume a fixed probability of cellular change (rate-limiting carcinogenic mutations) for each stage, and subjective explanations are provided for differences in this probability between stages [5–9]. Knudson’s 1971 study of retinoblastoma and Frank’s 2005 study of colon cancer compare incidence by age for cases with and without inherited mutations, assuming a constant mutation rate [28, 30]. Tomasetti et. al. found that mutation rates vary by a factor of three between smokers and never-smokers, and by a factor ten between those with and without a mismatch repair deficiency. They partially mitigate the effect of these variable mutation rates, by partitioning tumor samples into two subsets based on an estimated constant mutation rate for each subset [4]. Current models use age as an indirect measure of somatic mutations, which are the primary cause of cancer, i.e. age-at-carcinogenesis = somatic-mutations-at-carci- nogenesis / mutation-rate, which requires making assumptions about the mutation rate. By directly estimating the probability of carcinogenesis as a function of somatic mutations instead of age, our model eliminates the need for making assumptions about mutation rates. First-principles based multi-combination multi-hit model We derived, from first-principles (see Materials and Methods), a mathematical model for carci- nogenesis resulting from multiple different combinations of carcinogenic mutations (hits). The probability of carcinogenesis is formulated as a function of accumulated somatic muta- tions, the number of hits, and the number of possible multi-hit combinations. Fig 1 illustrates the process of carcinogenesis represented by the model. The probability P that the mth somatic mutation results in “hitting” one of k possible combinations of h carcinogenic mutations, can be approximated as PðmÞ  PkðmÞ Pkðm 1Þ ð1Þ PkðmÞ  1 ½1 Phðmފ k ð2Þ PðmÞ  PkðmÞ Pkðm 1Þ ð1Þ ð1Þ PkðmÞ  1 ½1 Phðmފ k ð2Þ ð2Þ 3 / 19 PLOS Computational Biology | https://doi.org/10.1371/journal.pcbi.1006881 March 7, 2019 Multi-combination multi-hit model of carcinogenesis Fig 2. Somatic mutations at diagnosis are weakly correlated with age at cancer diagnosis. Pearson’s linear correlation between somatic mutations and age at diagnosis ranges from -0.2 to +0.2, except for kidney chromophobe for which there were only nine matched tumor and blood derived normal samples. https://doi.org/10.1371/journal.pcbi.1006881.g002 Fig 2. Somatic mutations at diagnosis are weakly correlated with age at cancer diagnosis. Pearson’s linear correlation between somatic mutations and age at diagnosis ranges from -0.2 to +0.2, except for kidney chromophobe for which there were only nine matched tumor and blood derived normal samples. https://doi.org/10.1371/journal.pcbi.1006881.g002 https://doi.org/10.1371/journal.pcbi.1006881.g002 described in the SI. Longitudinal studies show that for any given individual the number of accumulated somatic mutations increase with age [15]. However, this relationship can be obscured by the extensive variation in the rate of mutations between individuals. For a given individual accumulated mutations will of course increase with age. However, we find that for a population of individuals diagnosed with cancer, the correlation is weak at best. Consider for example, a smoker who is likely to get cancer at a much younger age than a nonsmoker is. It is possible that, due to the mutagenic activity of cigarette smoke, the younger smoker will have accumulated more mutations than the older nonsmoker. Some of the factors that contribute to this variation include age itself, exposure to mutagens, and mutations in DNA repair genes [4, 15–19]. Tomasetti et. al. show that the average mutation rate for smokers is 3 times higher than for never-smokers, and over ten times higher for individuals with a mismatch repair defi- ciency compared to those without the deficiency [4]. Tomlinson et. al. suggest that mismatch repair deficiency can increase mutation rate by up to four orders of magnitude [19]. Bavarva et. al. report that the nonsynonymous mutation rate varies by age from 9.6E-7 to 8.4E-6 per base pair per year. Somatic mutations are weakly correlated with age at cancer diagnosis The number of accumulated somatic mutations in tumor samples is weakly correlated with age at cancer diagnosis, as shown in Fig 2. The Pearson’s correlation coefficient ranges from -0.2 to +0.2 for whole exome sequencing data for 31 of 32 cancer types in The Cancer Genome Atlas (TCGA) with matched tumor and blood derived normal samples. For kidney chromo- phobe, with correlation coefficient of -0.4, only nine samples were available. The associated p- values are greater than 0.05 for all but four of the 32 cancer types, also suggesting a lack of cor- relation. For breast invasive carcinoma, rectum adenocarcinoma, stomach adenocarcinoma, and uterine endometrial carcinoma, the p-values were 0.02, 0.02, 7E-4 and 4E-6 respectively, with correlation coefficients of 0.07, -0.20, 0.18, and -0.21. The calculation of p-value is 4 / 19 PLOS Computational Biology | https://doi.org/10.1371/journal.pcbi.1006881 March 7, 2019 Multi-combination multi-hit model of carcinogenesis Fig 3. Number of hits estimated by the multi-combination multi-hit model depends on the distribution of somatic mutations. (a)-(c) Examples of three cancer types exhibiting distinct distributions and the predicted probability distribution for the optimal model, showing a corresponding difference in the number of hits. S1–S3 Figs show the distributions for the 17 cancer types with at least 200 samples. Fig 3. Number of hits estimated by the multi-combination multi-hit model depends on the distribution of somatic mutations. (a)-(c) Examples of three cancer types exhibiting distinct distributions and the predicted probability distribution for the optimal model, showing a corresponding difference in the number of hits. S1–S3 Figs show the distributions for the 17 cancer types with at least 200 samples. https://doi.org/10.1371/journal.pcbi.1006881.g003 https://doi.org/10.1371/journal.pcbi.1006881.g003 number of hits were determined by minimizing root mean squared difference (RMSD) between the actual distribution of somatic mutation and the distribution calculated by the multi-combination multi-hit model (Figs 3 and S1–S3). See Materials and Methods. Table 1 shows that the calculated distributions closely match the actual distribution with root mean squared difference (RMSD) less than 2.2%. These results are based on whole exome sequenc- ing data from 6904 matched tumor and blood derived normal samples for 17 of the 33 cancer types in TCGA for which there were at least 200 matched tumor and blood derived normal samples. Sensitivity analysis (next section) shows that the distribution of somatic mutations are robust for sample size greater than 200. Fig 3 shows three examples of the distribution of somatic mutations and the probability distribution calculated by the multi-combination multi-hit model. Figures for all 17 cancer types are shown in S1–S3 Figs. We compared our results to those of other mathematical models (Table 1). These mathe- matical models include both probabilistic [4, 7–9] and mechanistic models [5, 6]. The probabi- listic models assume a constant mutation rate for each driver gene, which results in an exponential relationship between the probability of cancer incidence and age. The mechanistic models explicitly represent each stage of cancer progression, and the processes of cell growth, death and mutation, with a constant mutation rate for each stage. As shown in Table 1, the number of hits estimated by our model (two–eight) is approximately in the same range as pre- vious estimates (two–seven) [4–9, 11] based on fundamentally different methodologies. The number of carcinogenic mutations (hits) varies from two to eight depending on cancer type Comparing the actual distribution of somatic mutations for different cancer types, to the dis- tribution of somatic mutations estimated by our model (Figs 3 and S1–S3), suggests that the average number of hits varies from two to eight depending on cancer type (Table 1, Fig 4). The 5 / 19 PLOS Computational Biology | https://doi.org/10.1371/journal.pcbi.1006881 March 7, 2019 Multi-combination multi-hit model of carcinogenesis Table 1. Number of hits estimated by the multi-combination multi-hit model range from two-eight depending on cancer type. For the 17 cancer types with at least 200 samples, the RMSD between the distribution of somatic mutations and the probability distribution for the optimal model is less than 2.2% (top section of the table). Number of hits estimated by this somatic mutations based model is in the same range as those estimated by previous models based on incidence by age (middle section). Calculation of 95% confidence interval is described in the SI. These averages may consist of a mix of different number of hits (hi and hj) as illustrated in the bottom section of the table. Cancer Type Glioblastoma Multiforme Ovarian Serous Cystadenocarcinoma Uterine Corpus Endometrial Carcinoma Breast Invasive Carcinoma Colon Adenocarcinoma Lung Adenocarcinoma Bladder Urothelial Carcinoma Head and Neck Squamous Cell Carcinoma Cervical Squamous Cell Carcinoma and Endocervical Adenocarcinoma Lung Squamous Cell Carcinoma Stomach Adenocarcinoma Thyroid Carcinoma Brain Lower Grade Glioma Prostate Adenocarcinoma Kidney Renal Papillary Cell Carcinoma Liver Hepatocellular Carcinoma Sarcoma No. of samples 362 332 504 929 399 428 374 475 282 316 389 425 490 439 228 313 219 Optimal multi-comb multi-hit model No. of hits 2 2 2 3 3 3 4 4 5 5 5 5 6 7 8 8 8 No. of comb 2x 109 3x 109 6x 109 9x 1014 3x 1014 4x 1014 1x 1020 8x 1019 8x 1024 5x 1024 2x 1025 2x 1025 4x 1030 1x 1036 1x 1040 8x 1039 9x 1039 RMSD (%) 1.7 1.2 1.7 1.1 1.5 1.3 1.4 2.0 1.3 1.3 2.1 1.7 1.4 1.6 2.2 1.5 1.2 Estimated 95% CI 1–3 2–3 2–3 2–3 2–4 2–4 3–5 2–7 4–7 4–6 3–6 4–7 5–7 5–8 5–10 7–10 7–10 No. of hits from previous studies Tomasetti et. al. 2015 [4] 3 3 Zhang & Simon 2005 [5] 2–3 Luebeck & Moolgavkar 2002 [6] 4 Little & Wright 2003 [7] 5 Ashley 1969 [8] 3 6 7 5 5 7 6 3 5 Armitage & Doll 1954 [9] 6–7 6–7 6–7 6 6–7 6–7 6–7 6–7 6–7 Mix of two different number of hits No. of hits: hi 2 2 3 3 2 3 3 3 4 4 2 3 8 6 1 3 3 No. More importantly the most recent, and arguably the most accurate, estimates by Tomasetti et. al. in 2015 for colon and lung cancers exactly match our estimates, lending support for the multi- combination multi-hit model, the reasonableness of the assumptions used, and the estimated number of hits. As a further test of the robustness of our probabilistic model, we implemented and com- pared our results to a mechanistic model. The mechanistic model incorporates characteristics of newer mechanistic models [31–35], not included in the older mechanistic models [5, 6] con- sidered in the comparisons shown in Table 1. The model is general enough that it can be PLOS Computational Biology | https://doi.org/10.1371/journal.pcbi.1006881 March 7, 2019 6 / 19 Multi-combination multi-hit model of carcinogenesis applied to different cancer types by using an appropriate set of parameters. The details of the model are included in the SI, S5 Fig. To summarize, the model includes (a) multi-compart- ment spatial cellular hierarchy represented by stem cells, progenitor cells and differentiated cells, (b) initial cellular homeostasis transforming into growing tumors based on different rates of cell division, cell differentiation and cell death, and (c) selection for, and accumulation of, multiple driver mutations resulting in cancer precursor cells and then malignant cancer cells. The parameters for the model include the numbers of stem cells, progenitor cells, and differen- tiated cells, the rates of cell division, differentiation, and death, and the oncogenic mutation rates. We identified four cancer types (colon, lung, and stomach adenocarcinoma, and thyroid carcinoma) for which values for key model parameters were found in the literature [11, 36– 39], as listed in the SI, S3 Table. When compared to the incidence of these cancer types by age from a 2013–2015 UK population study [40], the three-hit mechanistic model best fits the pop- ulation study for all four cancer types (SI, S6 Fig). The estimated number of hits for the mecha- nistic model matches the number of hits for the probabilistic model for colon and lung adenocarcinoma and is within the 95% confidence interval for stomach adenocarcinoma (Table 1). However, the model is sensitive to the parameters used. In particular, estimates for oncogenic mutation rate vary from 10−8 to 10−3 [8, 11, 28, 41]. The number of hits estimated by the mechanistic model can exactly match our probabilistic model (Table 1) depending on the value used for this parameter (SI, S3 Table and S7 Fig). These findings provide further sup- port for the robustness of our probabilistic model, and may give insight into, and help narrow, the range estimates for oncogenic mutation rate. In our probabilistic model, the number of multi-hit combinations that minimize RMSD range from 2x109 to 1x1040 depending on cancer type. This number may seem large, but is rea- sonable considering the much larger number of all possible combinations of mutations. The average length of a protein in human cells is estimated to be approximately 500 amino acids (1500 DNA base pairs). The Catalog of Somatic Mutations in Cancer (COSMIC) has identified over 700 confirmed cancer genes, with many more genes that have been experimentally impli- cated in cancer [42]. Results are robust for sample size greater than 200 To determine the sensitivity of our results to sample size, we estimated the number of hits using a randomly selected 80% subset of the samples. The number of matched tumor and blood derived normal samples in TCGA vary from nine for kidney chromophobe to 929 for breast invasive carcinoma. We found that for sample size greater than 200, the estimated num- ber of hits did not change in any of the 17 cancer types, the estimated number of combinations did not change in 14 of 17 cancer types, and the change in RMSD was less than 0.11% in 16 of 17 cancer types. Results for all 32 cancer types with all samples and 80% of the samples are shown in S1 Table. If we assume that mutations in 1000 of the 1500 loci within a gene alters the function or activity of the gene, and that altering the function or activity of any combina- tion of h (number of hits) out of just 50 different genes is carcinogenic. Then, for the diploid human genome, there are approximately 1010 possible carcinogenic 2-hit combinations ((1000x2x50)2) and approximately 1040 possible carcinogenic 8-hit combinations. of hits: hj 9 4 5 4 5 8 6 9 6 8 9 8 9 8 9 9 9 hi % 80 50 50 60 50 80 50 50 20 60 50 40 70 30 20 20 20 RMSD (%) 1.1 0.8 0.7 0.8 1.1 0.9 0.8 1.1 0.7 0.8 1.1 0.9 0.8 1.2 1.7 1.1 0.7 https://doi.org/10.1371/journal.pcbi.1006881.t001 omputational Biology | https://doi.org/10.1371/journal.pcbi.1006881 March 7, 2019 ber of hits estimated by the multi-combination multi-hit model range from two-eight depending on cancer type. For the 17 cancer types with at least 200 samples, the RMSD stribution of somatic mutations and the probability distribution for the optimal model is less than 2.2% (top section of the table). Number of hits estimated by this somatic mutations in the same range as those estimated by previous models based on incidence by age (middle section). Calculation of 95% confidence interval is described in the SI. These averages may x of different number of hits (hi and hj) as illustrated in the bottom section of the table. 7 / 19 Average number of hits may comprise a mix of different number of hits Some of the cancer types exhibit multi-modal distributions, suggesting a mix of different num- ber of hits, such as thyroid carcinoma (THCA) and prostate adenocarcinoma (PRAD) as seen in Fig 3(B) and 3(C). In addition, in some cases there is little difference in the RMSD between adjacent numbers of hits, also indicating a mix of different number of hits. For example, for Computational Biology | https://doi.org/10.1371/journal.pcbi.1006881 March 7, 2019 8 / 19 Multi-combination multi-hit model of carcinogenesis Fig 4. Graphical summary of estimated number of hits by cancer type. Derived from the public domain image by M Haggstrom (2014). Fig 4. Graphical summary of estimated number of hits by cancer type. Derived from the public domain image by M Haggstrom (2014). https://doi.org/10.1371/journal.pcbi.1006881.g004 https://doi.org/10.1371/journal.pcbi.1006881.g004 head and neck squamous cell carcinoma (HNSC) the minimum RMSD for the 4-hit model is 2.03 compared to 2.06 for the 5-hit model. To assess the effect of a mix of different number of hits, we identified the optimal pairwise combination of hits from two to nine for each cancer type. The combined probability for a mix of a% hi-hits and (100-a)% hj-hits was calculated as Phihj = (a.Phi + (100 −a).Phj)/100. The RMSD between the actual and calculated distributions were lower in all cases with the maximum RMSD being reduced from 2.1 to 1.7 (Table 1). For THCA, for example, a mix of 40% 3-hit combinations and 60% 8-hit combinations fit the dis- tribution with RMSD of 0.85 compared to the 5-hit combination with RMSD 1.69. For PRAD, a mix of 30% 6-hit combinations and 70% 8-hit combinations fit the distribution with RMSD head and neck squamous cell carcinoma (HNSC) the minimum RMSD for the 4-hit model is 2.03 compared to 2.06 for the 5-hit model. To assess the effect of a mix of different number of hits, we identified the optimal pairwise combination of hits from two to nine for each cancer type. The combined probability for a mix of a% hi-hits and (100-a)% hj-hits was calculated as Phihj = (a.Phi + (100 −a).Phj)/100. The RMSD between the actual and calculated distributions were lower in all cases with the maximum RMSD being reduced from 2.1 to 1.7 (Table 1). For THCA, for example, a mix of 40% 3-hit combinations and 60% 8-hit combinations fit the dis- tribution with RMSD of 0.85 compared to the 5-hit combination with RMSD 1.69. Multi-combination multi-hit model of carcinogenesis of 1.2 compared to 1.6 for the 7-hit combination alone. For HNSC, a mix of 50% 3-hit and 9-hit combinations reduced the RMSD from 2.0 to 1.1. We speculate that the mix of different number of hits may represent a mix of different cancer subtypes. Determining the number of hits associated with different subtypes will require a statistically significant number of samples for each subtype, more than what is currently available in TCGA. The number of hits may depend on tissue specific cellular growth characteristics Different cancer types exhibit distinct distributions for somatic mutations, as seen in Figs 3 and S1–S3. In addition, these distributions are robust for sample sizes greater than 200 (S1 Table). Corresponding to these different distributions, the number of hits estimated by our model are also different (Table 1). We speculate that there may be a relationship between the number of hits and the cellular growth characteristics of the tissue of origin for the different cancers. Previous studies have also identified tissue and cell specific differences in carcinogen- esis [21, 36, 43, 44]. Tomasetti & Vogelstein linked the tissue specific variation to lifetime stem cell divisions [36, 43]. Nunney suggests that tissue specific variations may be a result of adap- tive evolution, and that these adaptations may be a function of the number of tissue specific cell divisions [44]. Schneider et. al. have attributed tissue-specific difference in cancer to differ- ences in cellular environment and signaling networks [21]. Tomasetti and Vogelstein [43], for example, found a strong correlation (Pearson’s linear correlation = 0.804) between the incidence of different cancer types and the lifetime stem cell divisions in the corresponding tissue, highlighting the importance of tissue specific cellular growth characteristics on cancer incidence. We also found a moderate correlation (Pearson’s linear correlation = 0.52) between the estimated number of hits and lifetime stem cell division for eight cancer types that match the Tomasetti and Vogelstein classification (Fig 5). However, this relationship may be coincidental (95% confidence interval = -0.29 to 0.90) due to the small number of data point. Fig 5. Estimated number of hits are moderately correlated to lifetime stem cell division. Pearson’s linear coefficient = 0.522, suggesting that number of hits may depend on cellular growth characteristics of individual tissues. However, the 95% confidence interval = -0.29–0.90, indicating that the relationship may be coincidental. Estimates for lifetime stem cell divisions were from S1 Table of Ref. (29). https://doi.org/10.1371/journal.pcbi.1006881.g005 Fig 5. Estimated number of hits are moderately correlated to lifetime stem cell division. Pearson’s linear coefficient = 0.522, suggesting that number of hits may depend on cellular growth characteristics of individual tissu However, the 95% confidence interval = -0.29–0.90, indicating that the relationship may be coincidental. Estimates lifetime stem cell divisions were from S1 Table of Ref. (29). Fig 5. Estimated number of hits are moderately correlated to lifetime stem cell division. Average number of hits may comprise a mix of different number of hits For PRAD, a mix of 30% 6-hit combinations and 70% 8-hit combinations fit the distribution with RMSD head and neck squamous cell carcinoma (HNSC) the minimum RMSD for the 4-hit model is 2.03 compared to 2.06 for the 5-hit model. To assess the effect of a mix of different number of hits, we identified the optimal pairwise combination of hits from two to nine for each cancer type. The combined probability for a mix of a% hi-hits and (100-a)% hj-hits was calculated as Phihj = (a.Phi + (100 −a).Phj)/100. The RMSD between the actual and calculated distributions were lower in all cases with the maximum RMSD being reduced from 2.1 to 1.7 (Table 1). For THCA, for example, a mix of 40% 3-hit combinations and 60% 8-hit combinations fit the dis- tribution with RMSD of 0.85 compared to the 5-hit combination with RMSD 1.69. For PRAD, a mix of 30% 6-hit combinations and 70% 8-hit combinations fit the distribution with RMSD PLOS Computational Biology | https://doi.org/10.1371/journal.pcbi.1006881 March 7, 2019 9 / 19 Multi-combination multi-hit model of carcinogenesis An analysis of breast invasive carcinoma (BRCA) subtypes shows that the distribution of somatic mutations are similar across subtypes (Fig 6(A)), resulting in identical optimal multi- combination multi-hit models. This again suggests that the number of hits may depend on the cellular growth characteristics of the tissue. The 709 BRCA samples, for which subtype infor- mation was available in TCGA, contain 62% hormone receptor positive (HR+) / tyrosine kinase-type cell surface receptor negative (HER2-), 17% HR-/HER2- (triple negative), 17% HR +/HER2+, and 4% HR-/HER2+ subtypes (roughly comparable to a recent study showing 73%, 12%, 10%, and 5% respectively) [45]. We subdivided the samples into four subsets correspond- ing to these subtypes. The estimated number of hits, and the number of multi-hit combina- tions was identical for all four subtypes. One possible explanation is that the number of hits may be determined by the growth characteristics of the tissue. Although the different subtypes may result from different combinations of mutations, the estimated number of hits are the same. Another example of a possible link between the number of hits and tissue specific cellular growth characteristics are the tissues whose growth is regulated by female sex hormones: breast, ovarian and uterine epithelia [46]. These three cancers require on average only two- three hits. We speculate that since these tissues are actively growing for a relatively short time (from puberty to menopause), the associated cells may not require a more robust cell prolifera- tion control mechanism, i.e. larger number of hits. Which may explain why continued expo- sure to female sex hormones past menopause increases the risk of breast, uterine and ovarian cancers [47–49]. For BRCA, the distribution of somatic mutations is also similar across the four cancers stages, corresponding to the same number of hits (Fig 6(B)), suggesting that there is no signifi- cant increase in somatic mutations with cancer stage. One possible explanation is that tumor growth originates from a relatively small number of cancer stem cells with limited subsequent differentiation [50]. A second possible explanation is that the variance in somatic mutations across individuals may obscure the relatively smaller increase in somatic mutations with Fig 6. Distribution of somatic mutations for breast invasive carcinoma (BRCA) is similar by subtype and stage. The estimated number of hits is identical for subsets of BRCA samples by (a) subtype and (b) stage. https://doi.org/10.1371/journal.pcbi.1006881.g006 Fig 6. The number of hits may depend on tissue specific cellular growth characteristics Pearson’s linear coefficient = 0.522, suggesting that number of hits may depend on cellular growth characteristics of individual tissues. However, the 95% confidence interval = -0.29–0.90, indicating that the relationship may be coincidental. Estimates for lifetime stem cell divisions were from S1 Table of Ref. (29). https://doi.org/10.1371/journal.pcbi.1006881.g005 PLOS Computational Biology | https://doi.org/10.1371/journal.pcbi.1006881 March 7, 2019 10 / 19 Potential effect of deviations from model assumptions As noted above, unlike current models, we do not make assumptions about mutation rate. However. to derive a closed-form mathematical model (Eqs (1)–(3)) for this complex biologi- cal process, we make two simplifying assumptions. These assumptions are similar to the assumptions made by current models [4–10]. (1) Somatic mutations are equally likely at any location in the genome, and (2) carcinogenesis is driven primarily by somatic mutations. While the first assumption is unlikely to affect our results, the second assumption will likely result in the number of hits being understated, as discussed below. Contrary to assumption (1), susceptibility to mutations varies across the genome. For example, CpG sites and tandem repeat regions are known to be much more mutable than the overall average rate [51–53]. However, these regions are distributed across the genome and across genes. Therefore, although tumors may be more likely to include hits to these regions, the estimated number of hits themselves are unlikely to be affected, e.g. more of the h-hit com- binations found in the tumor samples may include mutations to tandem repeat regions, but the number of hits and number of possible combinations remain the same. In addition, our results are robust to large changes in the value of G, the number of possible somatic mutations. S1 and S2 Tables show that, when the value of G is changed by a factor of eight, the estimated number of hits for all cancers with at least 100 samples remain the same. As an extreme exam- ple, if we assume that all somatic mutations only occur in 12.5% (1/8th) of the genome, with no somatic mutations in the rest of the genome. Then, the value of G would change by a factor of eight, and as we have shown (S1 and S2 Tables), even such an extreme change does not affect the estimated number hits. It is also unclear if the variance in mutability can be incorporated into a closed form solution, such as Eqs (1)–(3). If it could be done, any potential benefit is out- weighed by the increased dimensionality and higher uncertainty due to the additional parame- ters needed. Contrary to assumption (2), in addition to somatic mutations, other changes, such as germ- line mutations and epigenetic changes are also known to be responsible for tumor initiation. Germline mutations, in particular, are known to indicate a significant predisposition to cancer. Multi-combination multi-hit model of carcinogenesis cancer stage. The average somatic mutations per sample for all cancer types in TCGA for which cancer stage information was available, was 1551, 1433, 1299 and 1429 for stages I, II, III and IV respectively, also suggesting no significant increase in somatic mutations with cancer stage. Distribution of somatic mutations for breast invasive carcinoma (BRCA) is similar by subtype and stage. The estimated number of hits is identical for subsets of BRCA samples by (a) subtype and (b) stage. https://doi.org/10.1371/journal.pcbi.1006881.g006 PLOS Computational Biology | https://doi.org/10.1371/journal.pcbi.1006881 March 7, 2019 11 / 19 Probability of carcinogenesis as a function of somatic mutations We derive here an expression for the probability of carcinogenesis for the multi-combination multi-hit model. The probability is expressed in terms of G the number of all possible somatic mutations that can become fixed in the human genome, h the number of specific mutations (hits) required for carcinogenesis, k the number of different combinations of h, and m the total number of somatic mutations. For the purpose of this model, we assume that: (1) mutations in any location within the genome is equally likely, and (2) carcinogenesis is primarily a result of somatic mutations. In the Results and Discussion section, we examine the potential effect of deviations from these assumptions. The probability of carcinogenesis is formulated as a func- tion of m, h, k and G. 1. Number of all possible permutations of m mutations in G: p(G,m) = Gm, with G as defined above. 1. Number of all possible permutations of m mutations in G: p(G,m) = Gm, with G as defined above. 2. Number of permutations of m mutations in G without (does not hit) i of h carcinogenic mutations: piðmÞ ¼ h i ! pðG i; mÞ, where h i ! is the number of combinations of i in h, and p(G−i,m) = (G−i)m. The G-i term excludes permutations that hit a combination of i carcinogenic mutations. 2. Number of permutations of m mutations in G without (does not hit) i of h carcinogenic mutations: piðmÞ ¼ h i ! pðG i; mÞ, where h i ! is the number of combinations of i in h, and p(G−i,m) = (G−i)m. The G-i term excludes permutations that hit a combination of i carcinogenic mutations. mutations: piðmÞ ¼ h i ! pðG i; mÞ, where h i ! is the number of combinations of i in pið Þ i ! pð ; Þ, i ! h, and p(G−i,m) = (G−i)m. The G-i term excludes permutations that hit a combination of i carcinogenic mutations. h, and p(G−i,m) = (G−i)m. The G-i term excludes permutations that hit a combination of i carcinogenic mutations. h, and p(G−i,m) = (G−i)m. The G-i term excludes permutations that hit a combination of i carcinogenic mutations. h, and p(G−i,m) = (G−i)m. The G-i term excludes permutations that hit a combination of i carcinogenic mutations. 3. Conclusions Carcinogenesis can result from many different combinations of a small number of hits. How- ever, identifying these specific combinations from an exponentially large number of possible combinations requires knowing with some degree of certainty the number of hits. In this study, we developed a mathematical model, from first principles, for predicting the distribu- tion of somatic mutations at carcinogenesis. The model allows us to estimate the number of hits without knowing or making assumptions about the highly variable and difficult to esti- mate mutation rate, which is a critical limitation of current models. The number of hits required for carcinogenesis, estimated by our model, varies from two to eight depending on cancer type. The distinct distribution of somatic mutations for different cancer types, suggests tissue and cell specific carcinogenic mechanisms. The number of hits corresponding to these distinct distributions may provide insight into the etiology of different cancers types. Materials and methods Described below are the derivation for the probability function for the multi-combination multi-hit model, and data and procedure used for estimating the number of hits. Multi-combination multi-hit model of carcinogenesis mutations, the variance in the distribution of protein-altering mutations is similar enough that the estimated number of hits is the same for all but one of the 17 cancers. Potential effect of deviations from model assumptions For example, potentially pathogenic germline BRCA mutations were found in approximately 5% of ovarian cancers and in 12% of young-onset breast cancer, representing 1% of all breast cancer cases [54, 55]. If we conservatively assume that 10% of hits are present in the germline, then our model underestimates the number of hits by 10%. For example, when we estimated that BRCA could consist of a mix of 80% 3-hit and 30% 4-hit combinations (Table 1), some of the 3-hit combinations could be 4-hit combinations with one germline hit and some of the 4-hit combinations could be 5-hit combinations with one germline hit, i.e. even if you are born with one strike against you, an additional 3–4 hits are required for carcinogenesis. The mathematical model itself does not exclude mutations to non-exome regions, such as mutations in RNA, regulatory, and untranslated regions [56]. However, due to the limited availability of whole genome sequencing data for matched tumor and blood derived normal samples, we used data from whole exome sequencing. The value of G in Eq(3) was set accord- ingly to correspond to the size of the exome. In general, we find that the number of hits is determined primarily by the variance in distribution around the mode, as seen in Fig 3. Incor- porating mutations to non-exome regions will increase the mode, but it is not clear if it will significantly alter the variance about the mode. For example, when we exclude silent Computational Biology | https://doi.org/10.1371/journal.pcbi.1006881 March 7, 2019 12 / 19 PLOS Computational Biology | https://doi.org/10.1371/journal.pcbi.1006881 March 7, 2019 The Cancer Genome Atlas (TCGA) data used to estimate the number of hits The TCGA data repository includes somatic mutations calculated by comparing whole exome sequencing data from matched blood derived normal and tumor tissue samples (MAF files). For this study we used the somatic mutations calculated using the MuTect2 variant caller [57]. We had access to data for 8292 samples for 32 cancer type. Of these, 6904 samples were for the 17 cancer types with over 200 samples. Multi-combination multi-hit model of carcinogenesis 5. Probability of h hits in one of k possible combinations: Pk(m)1−[1−Ph(m)]k. This relation- ship is an approximation because the individual combinations are not independent. How- ever, it is a reasonable approximation since Gm. In addition, the cumulative probability approaches 1 as m increases, providing support for the reasonableness of the approxima- tion. The term in brackets represents the probability of not hitting a given combination of h-hits. The exponential term represents the probability of not hitting any of the k possible combination. 6. wProbability of the last (hth) hit occurring on the last (mth) somatic mutation, P(m) Pk(m)−Pk(m−1), i.e. the difference between the probability of hitting after m and m-1 somatic mutations. 6. wProbability of the last (hth) hit occurring on the last (mth) somatic mutation, P(m) Pk(m)−Pk(m−1), i.e. the difference between the probability of hitting after m and m-1 somatic mutations. In the above derivation, there are several probability terms with distinct meanings. The lower case p refer to a number of permutations, while the upper case P refer to a probability. p (G, m) and p(G-i, m) are the standard function for the number of permutations of m in G and G-i respectively. pi(m) is the number of permutations where none of the m mutations hit i of the h carcinogenic mutations in a given h-hit combination. ph(m) is the number of permuta- tions where all h of the mutations in a given h-hit combination occur with m mutations. Ph(m) is the probability of all h mutations in a given h-hit combination occurring with m mutations. Pk(m) is the probability of all h mutations in any one of k h-hit combinations occurring with m mutations. PLOS Computational Biology | https://doi.org/10.1371/journal.pcbi.1006881 March 7, 2019 Probability of carcinogenesis as a function of somatic mutations Number of permutation with h hits: phðmÞ ¼ pðG; mÞ Ph i¼1 ð1Þ iþ1piðmÞ, based on the inclusion-exclusion principle. This represents the difference between all possible permuta- tions (step 1) and permutations that do not hit (step 2). The (-1)i+1 term excludes overlap- ping permutations, e.g. permutations that do not hit loci x and y for i = 2, also do not hit loci x for i = 1. 3. Number of permutation with h hits: phðmÞ ¼ pðG; mÞ Ph i¼1 ð1Þ iþ1piðmÞ, based on the inclusion-exclusion principle. This represents the difference between all possible permuta- tions (step 1) and permutations that do not hit (step 2). The (-1)i+1 term excludes overlap- ping permutations, e.g. permutations that do not hit loci x and y for i = 2, also do not hit loci x for i = 1. 4. Probability of h hits: Ph m ð Þ ¼ phðmÞ pðmÞ ¼ 1 Ph i¼1 ð1Þ iþ1 h i ! Gi G  m ðm  hÞ, representing 4. Probability of h hits: Ph m ð Þ ¼ phðmÞ pðmÞ ¼ 1 Ph i¼1 ð1Þ iþ1 h i ! Gi G  m ðm  hÞ, representing the ratio of permutations that hit and all possible permutations. ! the ratio of permutations that hit and all possible permutations. ! the ratio of permutations that hit and all possible permutations. ! the ratio of permutations that hit and all possible permutations. PLOS Computational Biology | https://doi.org/10.1371/journal.pcbi.1006881 March 7, 2019 13 / 19 Multi-combination multi-hit model of carcinogenesis were 1E3-1E6, 1E8-1E12, 1E12-1E17, 1E16-1E22, 1E20-1E27, 1E27-1E33, 1E30-1E38, were 1E3-1E6, 1E8-1E12, 1E12-1E17, 1E16-1E22, 1E20-1E27, 1E27-1E33, 1E30-1E38, 1E34-1E43, and 1E37-1E48 for 1- to 9-hits, respectively. The calculated probability was also accumulated in bins of 100 somatic mutations for comparison to the actual distribution. 1E34-1E43, and 1E37-1E48 for 1- to 9-hits, respectively. The calculated probability was also accumulated in bins of 100 somatic mutations for comparison to the actual distribution. 4. To identify the optimal multi-combination multi-hit model we minimized RMSD between the actual and calculated distributions. Identifying the optimal multi-combination multi-hit model To estimate the number of hits, we compared the actual distribution of somatic mutations in TCGA to the distribution calculated by the model for different numbers of hits and combina- tions. The estimated number of hits is the value that minimizes the root mean squared differ- ence (RMSD) between the actual and calculated distribution. The process consisted of the following steps: 1. For each cancer type, using MAF data from TCGA, we calculated the number of somatic mutations per sample. 2. The samples were grouped by the number of somatic mutations per sample into bins of size 100 somatic mutations, i.e. 0–100, 101–200, etc., to calculate the distribution. 3. The probability of carcinogenesis for somatic mutations ranging from 0 to 5000 was calcu- lated using Eq(1). The value of G was set to 3.25x109x2x1.1x1.5/100 representing ~3.25 bil- lion base-pair diploid genome consisting of ~1.5% exome loci, with on average 1.1 possible mutations that can become fixed at each location. The factor if 1.1 is based on (a) on average one of all possible mutations at each location is synonymous and (b) an additional approxi- mately 10% of mutations in TCGA samples were non-synonymous mutations. The number of hits was varied from h = 1 to 9 and the values for the number of combinations k was var- ied in the neighborhood of the local minima for each value of h. The ranges of values for k PLOS Computational Biology | https://doi.org/10.1371/journal.pcbi.1006881 March 7, 2019 14 / 19 Supporting information Supporting information S1 Text. Supporting Information Text. Description of confidence interval and p-value calcu- lation, and details of the mechanistic model. (PDF) S1 Fig. Number of hits estimated by the multi-combination multi-hit model depends on the distinct distribution of somatic mutations, Fig 1 of 3. (a)-(f) Six of seventeen cancer types with at least 200 matched tumor and blood derived normal samples, with two-three hits. (EPS) S2 Fig. Number of hits estimated by the multi-combination multi-hit model depends on the distinct distribution of somatic mutations, Fig 2 of 3. (a)-(f) Six of seventeen cancer types with at least 200 matched tumor and blood derived normal samples, with four-five hits. (EPS) S3 Fig. Number of hits estimated by the multi-combination multi-hit model depends on the distinct distribution of somatic mutations, Fig 3 of 3. (a)-(e) Five of seventeen cancer types with at least 200 matched tumor and blood derived normal samples, with six-eight hits. (EPS) S4 Fig. Calculation of 95% confidence interval (CI) for the number of hits. The range of val- ues for the 95% CI are calculated as describe in the SI. The TCGA codes for the cancer types are shown in S2 Table. (EPS) S5 Fig. Mechanistic model of tumor growth. (EPS) S6 Fig. Cancer incidence probability estimated by mechanistic model and a recent UK pop- ulation study. (a)- (d) Results for four cancer types for which key model parameters were found in the literature. (TIF) S7 Fig. Cancer incidence probability estimated by mechanistic model with alternate values for oncogenic mutation rate. (a)- (d) Results for four cancer types for which key model parameters were found in the literature. (TIF) S1 Table. Results are robust for sample size greater than 200. For sample size greater than 200, there is no difference in number of hits between results for all samples and randomly selected 80% of samples, and the number of combinations is different in only one case. Although there are no differences in the number of hits for 100–200 samples, the RMSD in many cases is large, due to significant discontinuity in the distribution. (DOCX) S1 Text. Supporting Information Text. Description of confidence interval and p-value calcu- lation, and details of the mechanistic model. (PDF) S1 Fig. Number of hits estimated by the multi-combination multi-hit model depends on the distinct distribution of somatic mutations, Fig 1 of 3. Multi-combination multi-hit model of carcinogenesis S2 Table. Results are robust for different values of G, the number of possible mutations. The estimated number of hits are the same when G is 8 times the value used for the results shown in Tables 1 and S1, except for uterine carcinosarcoma (UCS). (DOCX) Conceptualization: Ramu Anandakrishnan. Data curation: Ramu Anandakrishnan, Robin T. Varghese. Data curation: Ramu Anandakrishnan, Robin T. Varghese. Formal analysis: Ramu Anandakrishnan, Nicholas A. Kinney, Harold R. Garner. Funding acquisition: Harold R. Garner. Methodology: Ramu Anandakrishnan, Nicholas A. Kinney. Project administration: Ramu Anandakrishnan, Harold R. Garner. Resources: Ramu Anandakrishnan, Harold R. Garner. Resources: Ramu Anandakrishnan, Harold R. Garner. Software: Ramu Anandakrishnan, Nicholas A. Kinney. Software: Ramu Anandakrishnan, Nicholas A. Kinney. Supervision: Ramu Anandakrishnan, Harold R. Garner. Supervision: Ramu Anandakrishnan, Harold R. Garner. Validation: Ramu Anandakrishnan, Robin T. Varghese, Nicholas A. Kinney, Harold R. Garner. Visualization: Ramu Anandakrishnan. Writing – original draft: Ramu Anandakrishnan. Writing – original draft: Ramu Anandakrishnan. Writing – review & editing: Ramu Anandakrishnan, Robin T. Varghese, Nicholas A. Kinney, Harold R. Garner. Author Contributions Conceptualization: Ramu Anandakrishnan. Supporting information (a)-(f) Six of seventeen cancer types with at least 200 matched tumor and blood derived normal samples, with two-three hits. (EPS) S1 Fig. Number of hits estimated by the multi-combination multi-hit model depends on the distinct distribution of somatic mutations, Fig 1 of 3. (a)-(f) Six of seventeen cancer types with at least 200 matched tumor and blood derived normal samples, with two-three hits. (EPS) S2 Fig. Number of hits estimated by the multi-combination multi-hit model depends on the distinct distribution of somatic mutations, Fig 2 of 3. (a)-(f) Six of seventeen cancer types with at least 200 matched tumor and blood derived normal samples, with four-five hits. (EPS) S3 Fig. Number of hits estimated by the multi-combination multi-hit model depends on the distinct distribution of somatic mutations, Fig 3 of 3. (a)-(e) Five of seventeen cancer types with at least 200 matched tumor and blood derived normal samples, with six-eight hits. (EPS) S4 Fig. Calculation of 95% confidence interval (CI) for the number of hits. The range of val- ues for the 95% CI are calculated as describe in the SI. The TCGA codes for the cancer types are shown in S2 Table. (EPS) S4 Fig. Calculation of 95% confidence interval (CI) for the number of hits. The range of val- ues for the 95% CI are calculated as describe in the SI. The TCGA codes for the cancer types are shown in S2 Table. (EPS) S5 Fig. Mechanistic model of tumor growth. (EPS) S6 Fig. Cancer incidence probability estimated by mechanistic model and a recent UK pop- ulation study. (a)- (d) Results for four cancer types for which key model parameters were found in the literature. (TIF) S7 Fig. Cancer incidence probability estimated by mechanistic model with alternate values for oncogenic mutation rate. (a)- (d) Results for four cancer types for which key model parameters were found in the literature. (TIF) S1 Table. Results are robust for sample size greater than 200. 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Hyperspectral Anomaly Detection With Morphological Random Walker
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Received June 8, 2021, accepted July 5, 2021, date of publication July 16, 2021, date of current version July 26, 2021. Received June 8, 2021, accepted July 5, 2021, date of publication July 16, 2021, date of current version July 26, 2021. Digital Object Identifier 10.1109/ACCESS.2021.3097902 ZHIHONG HUANG , (Student Member, IEEE), KEREN ZHANG, JIAN XIAO, JUNXINGXU CHEN, GUANGMING ZHU, AND SHENG WU State Grid Hunan Electric Power Corporation Limited Research Institute, Changsha 410007, China Corresponding author: Zhihong Huang (zhih_huang@hnu.edu.cn) This work was supported in part by the National Natural Science Fund of China for International Cooperation and Exchanges under Grant 61520106001, in part by the Science and Technology Talents Program of Hunan Association for Science and Technology under Grant 2017TJ-Q09, in part by the Fund of Hunan Province for the Science and Technology Plan Project under Grant 2017RS3024, in part by the Science and Technology Plan Project Fund of Hunan Province under Grant CX2018B171, and in part by the Hunan Electric Power Company Ltd., Scientific Project under Grant B316A5200010 and Grant 5216A520000R. ABSTRACT This work proposes a new morphological random walker (MRW) method for hyperspectral anomaly detection. The proposed method introduces a morphology-based objective function into a random walker (RW) algorithm, sufficiently exploiting spatial morphological property and spatial similarity of HSIs for detection. The MRW method comprises two major stages. Firstly, we employ the extended morphological profiles (EMPs) and different operations to extract the spatial morphological property of HSIs. Second, according to the morphological property, we construct a morphology-based objective function. This function is incorporated into the RW-based optimization model, encoding the spatial similarity of HSIs in a weighted graph. Two factors determine the class of test pixels, including the spatial morphological information learned by EMPs, and the spatial correlation among adjoining pixels modeled by the weighted graph. Since the two factors are well considered in the MRW method, the proposed method illustrates outstanding detection performances for several widely used real HSIs. INDEX TERMS Hyperspectral images, anomaly detection, random walker, extended morphological pro- files, morphological property. under a Creative Commons Attribution 4.0 License. For more information, see https://creativecommons.org/licenses/by/4.0/ VOLUME 9, 20 Hyperspectral Anomaly Detection With Morphological Random Walker ZHIHONG HUANG , (Student Member, IEEE), KEREN ZHANG, JIAN XIAO, JUNXINGXU CHEN, GUANGMING ZHU, AND SHENG WU State Grid Hunan Electric Power Corporation Limited Research Institute, Changsha 410007, China Corresponding author: Zhihong Huang (zhih_huang@hnu.edu.cn) This work is licensed under a Creative Commons Attribution 4.0 License. For more information, see https://creativecommons.org/licenses/by/4.0 The associate editor coordinating the review of this manuscript and approving it for publication was Shuihua Wang . I. INTRODUCTION multivariate Gaussian model to characterize the background information. Anomaly targets are detected by estimating the Mahalanobis distance of a pixel vector to the back- ground. Furthermore, several improved RX-based methods have been proposed [20]–[25], such as weighted-RX [21], kernel-RX [22], and cluster kernel-RX (CKRX) [24]. These methods usually can generate outstanding detection results. Moreover, several robust statistical modeling techniques have been proposed, including robust no-linear learning-based detection method [26], and random-selection-based detection method [27]. Hyperspectral images (HSIs) can identify spectrum differ- ences of different ground objects [1]–[4]. Based on this advantage, HSIs have been employed in many applications, including scene classification, change detection, and anomaly detection [2], [5]–[8]. Among these applications, hyperspec- tral anomaly detection has attracted lots of attention [9] due to its significance in precision agriculture [10], mineral dis- covery [11], and military defense [12]–[14]. Over the past decades, numerous methods have been developed for anomaly detection in HSIs [15]–[18]. In gen- eral, we can divide these detection approaches into three major categories. One category of approaches is based on statistical modeling [19]. Statistical modeling techniques have a close relationship with the Gaussian distribution. The well-known Reed-Xiaoli (RX) method [19] employs a Instead of estimating statistical models, many researchers pay attention to geometrical modeling methods [30] for hyperspectral anomaly detection. These methods judge that background pixels can be constructed by some main pixels, whereas anomalies cannot. The sparse representation-based [31]–[33], collaborative representation-based [34], [35], and the low-rank representation-based detectors [36]–[38] have been developed in recent years. The collaborative The associate editor coordinating the review of this manuscript and approving it for publication was Shuihua Wang . 102114 102114 VOLUME 9, 2021 Z. Huang et al.: Hyperspectral Anomaly Detection With MRW representation detector (CRD) [34] captures the differ- ence between a test pixel and its surrounding pixels. The background joint sparse representation detection (BJSRD) method [31] is proposed to utilize the redundant back- ground information and deal with the complicated mul- tiple background classes. Moreover, a spectral unmixing and dictionary-based low-rank decomposition method [37] explores the low-rank prior information of background, and distinguishes the sparse anomalies from the low-rank background. Moreover, some deep learning-based detectors [39]–[41] are also employed to detect anomalies. These meth- ods can separate targets from the background, by extracting high-level features. The detection results are generated by constructing a trained convolution neural network (CNN) model [39]. II. RELATED WORKS A. I. INTRODUCTION EMP A morphological profile (MP) [49] is constructed by employ- ing a series of morphological opening and closing with struc- turing elements (SEs) on the principal components (PCs). When MPs on several PCs are integrated, the EMP can be generated. Specifically, there are two fundamental morphol- ogy operators, i.e., erosion and dilation. Opening and closing are combinations of erosion and dilation. However, two oper- ations may change some intrinsical structures in the image, which may produce some fake objects. In [51], [52], geodesic morphology and reconstruction are introduced, which make opening and closing satisfy the following assumption. If the structure of the image fails to contain the SE, it would be removed. Conversely, it would be preserved. Therefore, it is necessary to employ SEs in different sizes. A MP consists of the opening profile (OP) and the closing profile (CP). We define the OP at the pixel x of the image I as a n-dimensional vector, These methods have achieved an effective detection per- formance by exploring spectral-spatial information in HSIs. Therefore, in this paper, the motivation is that how to make more efficient use of spectral-spatial information in HSIs for hyperspectral anomaly detection. In the case of scene classification, numerous spectral-spatial feature extraction methods [1], [44] have been proposed to enhance the clas- sification performance via capturing morphological property in images, such as attribute profiles (AP) [45], [46], extinc- tion profiles (EP) [47], [48], morphological profiles (MP)- based methods [49], [50], and its extended versions (EMP) [51], [53]. Among these methods, the EMP has drawn lots of attention. Because it could fully exploit the spatial mor- phology property. In addition, the random walker (RW) algo- rithm [54], [55] has been widely used in hyperspectral image classification, since it can effectively explore spatial similar- ity information of the image. For example, Kang et al. [56], [57], and Cui et al. [58] develop RW-based methods to explore the spectral-spatial information of HSIs for classi- fication. The RX-based methods usually require the user to label some target samples. It means they may not be employed directly in the unsupervised anomaly detection field. OPi(x) = γ (i) R (x) ∀i ∈[0, n], (1) (1) where γ (i) R means the opening by the reconstruction with the SE of the size i, and n is the total number of openings. I. INTRODUCTION Similarly, the CP at the pixel x of the image I is also a n-dimensional vector, CPi(x) = φ(i) R (x) ∀i ∈[0, n], (2) (2) where φ(i) R means the closing by the reconstruction with the SE of the size i. The MP of the image I is a (2n + 1)- dimensional vector by combining the OP and the CP, MP(x) = [CPn(x), . . . ., I(x), . . . , OPn(x)]. (3) (3) Therefore, an image can generate a multiband image. We note that the MP is just constructed by employing a PC in HSIs, which may lose some spectral information. In [51], it is suggested to use several PCs of the HSI, which contains the most important spectral information in the HSI. When MPs on several PCs are integrated, the EMP feature will be generated. The EMP is a [m(2n + 1)]-dimensional vector, y p y To exploit spectral-spatial information in anomalies effectively, this paper introduces a morphological random walker (MRW) technique, jointly capturing the spatial mor- phological property and spatial similarity information in HSIs for hyperspectral anomaly detection. The MRW technique comprises two major stages. First, EMPs and different oper- ations extract the spatial morphological property in HSIs. Then, according to the morphological property, we construct a morphology-based objective function, and incorporate this function into the RW algorithm for detection. The main con- tribution of this paper is to propose an effective anomaly detection method, jointly capturing both the morphology property of anomaly objects and the spatial similarity among adjoining pixels simultaneously. EMP(x) = [MPPC1(x), . . . ., MPPCm(x)], (4) (4) where m is the number of retaining PCs. where m is the number of retaining PCs. A. EXTRACTION OF THE MORPHOLOGICAL PROPERTY OF ANOMALIES A. EXTRACTION OF THE MORPHOLOGICAL PROPERTY OF ANOMALIES First, the spectral dimension of an input HSI I is reduced by performing the principal component analysis (PCA) [61]. The EMP of the I is obtained as follows, Lij =    di, if i = j −ω(eij), if i and j are adjacent pixels. 0, otherwise (5) (5) EMP(x) = [MPPC1(x), . . . ., MPPCm(x)]. (8) (8) where m is the number of retained PCs. An example of MP is illustrated in Fig. 1 (the number of opening/closing is set as 1 and the corresponding structure size setting to 2). Given an HSI [see Fig. 2(a)], we estimate the MP of its first PC. The first PC of HSI and the resulting morphological operations are shown in Fig. 2(b)-(d). We use the opening and closing transforms to separate bright (see Fig. 2(c)) and dark (see Fig. 2(d)) structures from the image. The bright/dark is brighter/darker than the adjoining pixels features [52]. Then, let pl = [pl 1, . . . , pl n] represent the probability vector of X for class l. It is decomposed as pl = [(pl M)T , (pl U)T ]. pl M represents the seeds having a fixed value 0 or 1. pl can be obtained by minimizing the Dirichlet integral [55]: Dir[pl] = 1 2 (pl)T L(pl) = 1 2 h (pl M)T (pl U)T i  LM B B LU  pl M pl U  . (6) (6) Then, to capture the spatial morphology property of anomalies, the differential operations compute the differences between each MP and the corresponding PC [60]. In Fig. 2(e) and (f), due to the difference between anomalies and back- ground pixels on bright and dark structures, the morphology property of anomalies (such as shape, size, and location) could be explored. The differential map semp is a 2nm dimen- sional vector, We differentiate Dir[pl] with pl U, and the critical point is found as: pl U = −L−1 U BT pl M. (7) (7) With the labeled pixels pl M, we can calculate the energy function shown in (6), by solving a series of linear equa- tions [54]. semp = [smp PC1, . . . , smp PCm]. (9) smp PCs = [|CPn(PCs) −PCs|, . . . , |OPn(PCs) −PCs|] s ∈[0, m]. (10) (9) B. RW The RW algorithm is originally designed for image segmen- tation [54], [55]. This algorithm can group the pixels of the image X into various classes [56]. First, some pixels Q are labeled from X. These pixels serve as the seeds, with at least one pixel of each class. The seeds are defined as (X = [xT M, xT U], where xT M and xT U are the marked seed nodes and the unmarked nodes, respectively). The rest of this work is presented as follows. We review the EMP feature extraction method and the RW algorithm in section II. We introduce the MRW method in Section III. Experimental results are presented in Section IV. Last, con- clusions are given in Section V. Then, the RW model defines an image as a graph G = (V, E) with vertices v ∈V and edges e ∈E. Vertices are pixels in the image, and edges contact two adjoining pixels. 102115 VOLUME 9, 2021 Z. Huang et al.: Hyperspectral Anomaly Detection With MRW FIGURE 1. Flowchart of the proposed MRW detection method. FIGURE 1. Flowchart of the proposed MRW detection method. Each edge eij links the ith and jth pixels based on a weight ω(eij) = e−β(vi−vj)2, and β is a parameter. We define a n × n Laplacian matrix L as, B. MRW-BASED OPTIMIZATION To further capture spectral-spatial information in HSIs for hyperspectral anomaly detection, we construct a morphology-based objective function, and incorporate this function into the RW model. Thus, in this letter, the proposed algorithm could fully exploit the spatial morphological prop- erty in HSIs and spatial similarity information of adjoining pixels. Specifically, we construct a new morphology fitting constraint µ 2 (pl −Y)T (pl −Y), restricting the Dirichlet integral [54] to be as close to the prior anomaly distribution as possible [60]. Then, we incorporate the morphology fitting constraint into (4), and the final detection result is estimated as follows, FIGURE 2. (a) False color composite of the hyperspectral image, (b) first PC, and the MPs obtained with (c) opening profile and (d) closing profile, (e) morphological feature of the bright objects, (f) morphological feature of the dark objects, (g) fused morphological feature of anomalies class, and (h) final detection result. FIGURE 3. San Diego data set. (a) False color image of the whole scene and (b) the reference detection map. Dir[pl] = 1 2 (pl)T L(pl) + µ 2 (pl −Y)T (pl −Y), (12) (12) where µ denotes a controlling parameter. The second term is a morphology fitting constraint. Y means a pixel-wise indi- cation vector, which inherits the values of P. The proposed method is estimated in a pixel-wise manner. pl and Y are v×1 vectors. L means a v × v matrix. v is the number of pixels in the image. FIGURE 3. San Diego data set. (a) False color image of the whole scene and (b) the reference detection map. To generate the first term (spatial similarity term), we con- struct a weighted graph G = (V, E) based on the first PC of the HSI [60]. In this graph, V represents pixels in the first PC. E means edges that link the pixels. ω(eij) = e−β(vi−vj)2 is defined for each edge eij to characterize the intensity difference between the adjoining pixels in G. To generate the second term (spatial morphological term), the initial detection map P is employed to estimate the pixel-wise indication vector in (12). The morphological fitting con- straint in (12) can provide a prior morphology property of HSIs. Therefore, it could better generate detection perfor- mance. To choose seeds from the P1, a threshold thigh is defined, In Fig. 2(h), errors in the anomalies and background areas can be removed effectively. B. MRW-BASED OPTIMIZATION Moreover, the boundaries between anomalies and background areas become more accurate. The reason is that, aside from the morphological property in HSIs, the spatial correlation among adjacent pixels is also consid- ered in the MRW-based method. 1) SAN DIEGO DATA SET which are utilized to select pixels with YU > thigh as anoma- lies seeds. These seeds are defined as pl M. Thus, the matrix decomposition of (12) is as follows, This data set is captured by the Airborne Visible/Infrared Imaging Spectrometer (AVIRIS) sensor. It is over the San Diego airport area, CA, USA. This data set comprises 100 × 100 pixels with a spatial resolution of 3.5 m per pixel. It has 189 spectral channels in the wavelength range of 0.37-2.51 um. In this data set, we consider three airplanes as the anomaly targets. The test image and the corresponding reference detection map are displayed in Fig. 3. Dir[pl] = 1 2 h (pl M)T (pl U)T i  LM B B LU  pl M pl U  +µ 2 (  pl M pl U  −  Y l M Y l U  )T (  pl M pl U  −  Y l M Y l U  ). (14) (14) Since the seeds are generated from the initial detection map automatically, MRW needn’t user interaction, which has more practicability in hyperspectral anomaly detection. l l A. DATA SETS Some real hyperspectral data sets, including the San Diego, ABU-Beach, and ABU-Urban data sets [18], are employed to assess the performance of the MRW detector. These images can be download on this website.1 thigh = mean(I) + max(I) 2 , (13) (13) III. PROPOSED MRW APPROACH (10) Fig.1 displays the flowchart of the MRW method. It consists of two major stages. First, EMP and differential operations capture the spatial morphological property of HSIs. Then, according to the spatial morphological property, we construct a morphology-based objective function and incorporated it into the RW algorithm, encoding the spatial similarity of HSIs in a weighted graph. The detection result is obtained by jointly exploiting the spatial morphological information learned by EMPs and the spatial correlation among adjoining pixels modeled by the weighted graph. where smp PCs represents the sth differential map in the sth PC. |OPn(PCs) −PCs| is the morphological feature of the bright objects (see Fig. 2(e)), and |CPn(PCs) −PCs| is the morpho- logical feature of the dark objects (see Fig. 2(e)). To obtain the fused morphology features P = (P1, P2), the differential maps are fused, in which P1 i ∈[0, 1] represents the probabil- ity that the ith pixel pertains to the anomalies. P1 = 1 2nm semp. (11) (11) 102116 102116 VOLUME 9, 2021 Z. Huang et al.: Hyperspectral Anomaly Detection With MRW FIGURE 2. (a) False color composite of the hyperspectral image, (b) first PC, and the MPs obtained with (c) opening profile and (d) closing profile, (e) morphological feature of the bright objects, (f) morphological feature of the dark objects, (g) fused morphological feature of anomalies class, and (h) final detection result. where P1 represents the initial detection map (e.g., in Fig. 2(g)), effectively reflecting the spatial morphology property in HSIs. 1http://xudongkang.weebly.com B. PARAMETERS DISCUSSION AVIRIS web site.2 In Table 1 and 2, some information of these data sets is listed. These images are obtained by the AVIRIS sensor. The test images and the corresponding ref- erence detection maps are illustrated in Figs. 4 and 5. For the MRW detector, the main parameters include the num- ber of PCs, i.e., m, and the parameters of the optimization, i.e., β and µ. The AUC score is used to evaluate the detection performances of the proposed method under different param- eter settings. To generate the EMP, four openings and closings are estimated for each PC, and the corresponding structure sizes are set to 2, 4, 6, and 8. To estimate the effectiveness of the proposed MRW detec- tor, five widely used detection methods, RX method [19], local RX (LRX) method [19], local kernel-RX (LKRX) method [22], LRaSMD-based Mahalanobis-distance anomaly detection (LSMAD) method [36], and attribute and edge-preserving filtering-based anomaly detection (AED) method [18] are used to compare. The detection results are accessed by the receiver operating characteristic (ROC) area under the curve (AUC) metric [33]. ROC curves are generated based on true positive rate (TPR) and false positive rate (FPR) with a threshold range of [0, 255]. At each possible threshold, the detection result is binarized into 1 and 0 to mean the anomaly target and background. A better detector usually lies nearer the upper leftmost corner [63]. Moreover, we also computed the AUC score to assess the performance of these detectors. Generally speaking, an outstanding detection model can obtain a high AUC value [64]. Fig. 6 shows the AUC value of the MRW detector with different values of β and µ. It can be observed that µ should be lower than 10−3 and higher than 10−5, which can generate the outstanding performance. Moreover, β should be higher than 30. It is obvious that ω(eij) = e−β(vi−vj)2 for adjacent pixels tend to be 1 if β is small. Thus, the edge weights fail to model the spatial similarity among adjoining pixels. Conversely, ω(eij) will be close to 0 when β is large. Thus, µ should be small to ensure the balance of two terms in (12). Otherwise, the morphology term will play a significant role in the detection, if µ is very large. In this situation, the final detection result would be similar to the initial detection result. 2) ABU-BEACH AND ABU-URBAN DATA SETS The second and third data sets include three test images respectively. These images are manually extracted from the Then, pl M and pl U are combined as pl. p1 represents anomaly possibility, and we reshape it to a matrix Sfinal. The same size of the input image as the final detection result. 1http://xudongkang.weebly.com 102117 VOLUME 9, 2021 Z. Huang et al.: Hyperspectral Anomaly Detection With MRW TABLE 1. Some features of the ABU-Beach data set. TABLE 2. Some features of the ABU-Urban data set. FIGURE 4. ABU-Beach data set. The images in upper row are color composites of data sets, and the images in the lower row are their corresponding reference detection maps. FIGURE 5. ABU-Urban data set. The images in upper row are color composites of data sets, and the images in the lower row are their corresponding reference detection maps. TABLE 1. Some features of the ABU-Beach data set. TABLE 1. Some features of the ABU-Beach data set. TABLE 2. Some features of the ABU-Urban data set. FIGURE 4. ABU-Beach data set. The images in upper row are color composites of data sets, and the images in the lower row are their corresponding reference detection maps. FIGURE 4. ABU-Beach data set. The images in upper row are color composites of data sets, and the images in the lower row are their corresponding reference detection maps. FIGURE 5. ABU-Urban data set. The images in upper row are color composites of data sets, and the images in the lower row are their corresponding reference detection maps. 2http://ariris.jpl.nasa.gov TABLE 3. Evaluation scores on the San Diego data set. TABLE 3. Evaluation scores on the San Diego data set. wout is [5,13]. For the LSMAD algorithm, the cardinality k is fixed to 0.005, and the rank r is changing from 1 to 20. Furthermore, for the AED algorithm, two filtering parameters σs and σr are set to 5 and 0.5 respectively. p y For the San Diego data set, the obtained detection results are displayed in Fig. 8. The proposed MRW method gives a map where the anomalies are apparent. The RX method fails to detect anomalies effectively. The LRX detector has a better detection result than the RX detector. The LKRX method can well detect the positions of anomalies, but the shape of the objects is missing. For the LSMAD method, a part of back- ground pixels are considered as anomaly targets. The MRW and AED methods both can achieve good detection results. The MRW method obtains more accurate boundaries between anomalies and background regions, since the AED method is sensitive to parameters for image smoothness. Therefore, some boundary regions may be over-smoothed when the parameters are inaccurate. Besides, the AUC scores are pro- vided in Table 3. The proposed MRW detector achieves a score that is 5.2% higher than the RX detector, which is a distinct improvement. It also confirms that the proposed method can outperform the traditional detectors. FIGURE 6. Influence of the parameters on AUC values with different values of β and µ. (The experiment is performed on the San Diego data set). FIGURE 7. Influence of the parameters on AUC values with the values of m. A main advantage of the MRW method is that its out- standing detection performance in different scenes. For the ABU-Beach image, the obtained detection results are shown in Fig. 9(a)-(c). The MRM model can provide a distinguish- able detection map, highlighting the anomalies in different scenes. The AUC scores are illustrated in Table 4. It can be concluded that MRW is a promising method for anomaly detection in complex scenes. FIGURE 7. Influence of the parameters on AUC values with the values of m. The MRW method also can achieve outstanding detec- tion performance, when HSIs contain serious noise. For the ABU-Urban data sets, which are influenced by the serious strip noise (see Fig. 5), the obtained detection maps are illus- trated in Fig. 10(a)-(c). In Fig. TABLE 3. Evaluation scores on the San Diego data set. 10(a), it is obvious that the RX and LSMAD methods obtain a better detection performance than LRX and LKRX methods. Specifically, the LRX method losses some anomaly pixels. Meanwhile, the LKRX method fails to detect anomaly targets effectively. The corresponding AUC scores are provided in Table 5. Although the AED method can achieve higher detection scores than the RX and LSMAD methods, it fails to reduce noise and suppress its disturbing effectively. Compared with the AED method, it is evident that the MRW method can perform better at noise pixel suppression. The reason is that the proposed MRW method can effectively exploit spatial correlations between adjoining pixels to reduce the interference of noise. Moreover, the number of PCs also is a significate parame- ter for the MRW detector. Fig. 7 illustrates the average detec- tion scores of the MRW method on three data sets, i.e., the San Diego, ABU-Beach, and ABU-Urban data sets. As can be observed, when PCs = 1, the accuracies of the proposed method are relatively low. The useful spectral information will be lost if the number of features PCs is small. In contrast, the detection performance will decrease if PCs is larger than 5. This is because redundancy information will be produced if the number of features PCs is large. We can find that 2 ≤PCs ≤4 can obtain satisfactory AUC value for all images. Therefore, we set PCs = 3 as the default parameter. B. PARAMETERS DISCUSSION In contrast, the spatial effect may cause the over-smoothed detection map if µ is too small. Therefore, β = 50 and µ = 10−3 are set as the default parameters for the experiments. 102118 VOLUME 9, 2021 Z. Huang et al.: Hyperspectral Anomaly Detection With MRW TABLE 3. Evaluation scores on the San Diego data set. FIGURE 6. Influence of the parameters on AUC values with different values of β and µ. (The experiment is performed on the San Diego data set). C. DETECTION PERFORMANCE Experiments are performed on the San Diego, ABU-Beach, and AUB-Urban data sets. Figs. 8-10 show the detection maps obtained by different detection methods. For the LRX and LKRX algorithm, the window size win is set to [3,19], and Then. we further discuss the influence of the MRW-optimization step in the proposed method. Specifi- cally, the LRX detector is adopted to processing the initial 102119 VOLUME 9, 2021 Z. Huang et al.: Hyperspectral Anomaly Detection With MRW FIGURE 8. Detection maps obtained by different methods for the San Diego data set. (a) RX method [19], (b) LRX method [19], (c) LKRX method [22], (d) LSMAD method [36], (e) AED method [18], (f) MRW method. FIGURE 8. Detection maps obtained by different methods for the San Diego data set. (a) RX method [19], (b) LRX method [19], (c) LKRX method [22], (d) LSMAD method [36], (e) AED method [18], (f) MRW method. FIGURE 9. Detection maps obtained by different methods for the ABU-Beach data set. TABLE 4. Evaluation scores on the AUB-beach data set. TABLE 5. Evaluation scores on the AUB-Urban data set. detection result in Section III-A. Fig. 12 displays the detec- tion maps generated by the DEMPs, LRX, MRW, and DEMPs + LRX methods, respectively. DEMPs represents the initial detection result in the proposed method. It can be observed that the MRW and DEMPs + LRX methods produce better detection performance than others without 102120 VOLUME 9, 2021 FIGURE 9. Detection maps obtained by different methods for the ABU-Beach data set. FIGURE 9. Detection maps obtained by different methods for the ABU-Beach data set. FIGURE 9. Detection maps obtained by different methods for the ABU-Beach data set. FIGURE 9. Detection maps obtained by different methods for the ABU-Beach data set. TABLE 4. Evaluation scores on the AUB-beach data set. TABLE 4. Evaluation scores on the AUB-beach data set. TABLE 5. Evaluation scores on the AUB-Urban data set. TABLE 5. Evaluation scores on the AUB-Urban data set. the initial detection result in the proposed method. It can be observed that the MRW and DEMPs + LRX methods produce better detection performance than others without the initial detection result in the proposed method. It can be observed that the MRW and DEMPs + LRX methods produce better detection performance than others without detection result in Section III-A. Fig. C. DETECTION PERFORMANCE 12 displays the detec- tion maps generated by the DEMPs, LRX, MRW, and DEMPs + LRX methods, respectively. DEMPs represents VOLUME 9, 2021 VOLUME 9, 2021 Z. Huang et al.: Hyperspectral Anomaly Detection With MRW FIGURE 10. Detection maps obtained by different methods for the ABU-Urban data set. FIGURE 11. ROC curves of different anomaly detection methods on three data sets. (From left to right: San Diego scene, ABU-Beach scene(a), ABU-Urban scene(b)). FIGURE 10. Detection maps obtained by different methods for the ABU-Urban data set. 0. Detection maps obtained by different methods for the ABU-Urban data set. FIGURE 10. Detection maps obtained by different methods for the ABU-Urban data set. FIGURE 11. ROC curves of different anomaly detection methods on three data sets. (From left to right: San Diego scene, ABU-Beach scene(a), ABU-Urban scene(b)). TABLE 6. Computing time (seconds) of various methods on the three data sets. TABLE 6. Computing time (seconds) of various methods on the three data sets. TABLE 6. Computing time (seconds) of various methods on the three data sets. relying on the spatial morphology information in HSIs. Fig. 13 illustrates that the MRW method has AUC = 0.9908, which is better than others. (2n + 1) band images. Thus, the computational complex- ity of constructing the EMP feature is o((2n + 1)m). m is the number of retaining PCs. Then, the computational complexity of differential operations is o((2n + 1)σ). σ means the differential operation for each band in the EMPs features. Last, we denote the number of pixels in HSIs is v. For the MRW optimization step, the computational complexity is based on the total input pixels v, and the time-complexity of evaluating anomaly scores is o(vτ). τ rep- resents the Dirichlet integral operation in Eq. (14). Therefore, the computational complexity of the proposed method is The corresponding ROC curves of different methods are shown in Fig. 11. We can observe that the MRW method usually has higher true positive rates. The computational complexity of the proposed method is as followed. The main running time is consumed by constructing the EMP feature, performing differential operations, and estimating the MRW optimization. Specifically, the EMP feature is constructed by integrating MPs on several PCs. Each MP feature has 102121 VOLUME 9, 2021 Z. Huang et al.: Hyperspectral Anomaly Detection With MRW FIGURE 12. Color detection maps obtained by four detectors for the San Diego data set. REFERENCES [1] L. Y. Fang, S. T. Li, X. D. Kang, and J. A. Benediktsson, ‘‘Spectral-spatial classification of hyperspectral images with a superpixel-based discrimi- native sparse model,’’ IEEE Trans. Geosci. Remote Sens., vol. 53, no. 8, pp. 4186–4201, Aug. 2015. [2] B. Palsson, J. Sigurdsson, J. R. Sveinsson, and M. O. Ulfarsson, ‘‘Hyper- spectral unmixing using a neural network autoencoder,’’ IEEE Access, vol. 6, pp. 25646–25656, 2018. FIGURE 12. 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Dai, ‘‘A tensor decomposition-based anomaly detection algorithm for hyperspectral image,’’ IEEE Trans. Geosci. Remote Sens., vol. 54, no. 10, pp. 5801–5820, Oct. 2016. [64] Y. Lu and S. Huang, ‘‘Sparse representation based hyperspectral anomaly detection via adaptive background sub-dictionaries,’’ IEEE Access, vol. 9, pp. 14735–14751, 2021. JUNXINGXU CHEN received the Ph.D. degree in electrical engineering from Xi’an Jiaotong Uni- versity, China, in 2015. He is currently a Senior Engineer with the State Grid Hunan Electric Power Corporation Ltd., Research Institute, Changsha, China. His research interests include fault diagno- sis and signal denoising. ZHIHONG HUANG (Student Member, IEEE) received the Ph.D. degree from the College of Electrical and Information Engineering, Hunan University, Changsha, China, in 2020. He is cur- rently an Engineer with the State Grid Hunan Elec- tric Power Corporation Ltd., Research Institute, Changsha. His research interests include image classification and anomaly detection. He is a Reviewer of the IEEE TRANSACTIONS ON GEOSCIENCE AND REMOTE SENSING, IEEE ACCESS, and the IEEE GEOSCIENCE AND REMOTE SENSING LETTERS. ZHIHONG HUANG (Student Member, IEEE) received the Ph.D. degree from the College of Electrical and Information Engineering, Hunan University, Changsha, China, in 2020. He is cur- rently an Engineer with the State Grid Hunan Elec- tric Power Corporation Ltd., Research Institute, Changsha. His research interests include image classification and anomaly detection. V. CONCLUSION He is a Reviewer of the IEEE TRANSACTIONS ON GEOSCIENCE AND REMOTE SENSING, IEEE ACCESS, and the IEEE GEOSCIENCE AND REMOTE SENSING LETTERS. GUANGMING ZHU received the Ph.D. degree from the Huazhong University of Science and Technology, China, in 2004. He is currently a Senior Engineer with the State Grid Hunan Elec- tric Power Corporation Ltd., Research Institute, Changsha, China. His research interests include 3D visual reconstruction and anomaly detection. KEREN ZHANG received the B.Eng. degree from Northwestern Polytechnical University, China, in 2005. He is currently a Senior Engineer with the State Grid Hunan Electric Power Corporation Ltd., Research Institute, Changsha, China. His research interests include fault diagnosis and object detection. SHENG WU received the Ph.D. degree from Chongqing University, China, in 2004. He is cur- rently a Senior Engineer with the State Grid Hunan Electric Power Corporation Ltd., Research Institute, Changsha, China. His research interests include object detection and image classification. 102124 VOLUME 9, 2021
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Choosing Electoral Rules: Theory and Evidence from US Cities
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Permanent link http://nrs.harvard.edu/urn-3:HUL.InstRepos:27760122 Terms of Use This article was downloaded from Harvard University’s DASH repository, and is made available under the terms and conditions applicable to Other Posted Material, as set forth at http:// nrs.harvard.edu/urn-3:HUL.InstRepos:dash.current.terms-of-use#LAA Citation Aghion, Philippe, Alberto Alesina, and Francesco Trebbi. 2005. Choosing electoral rules: theory and evidence from US cities. Working paper, Department of Economics, Harvard University. Share Your Story The Harvard community has made this article openly available. Please share how this access benefits you. Submit a story . The Harvard community has made this article openly available. Please share how this access benefits you. Submit a story . Accessibility ‡Harvard University, Department of Economics, National Bureau of Economic Research, and Centre for Economic Policy Research. ∗JOB MARKET PAPER. Harvard University, Department of Economics. Harvard University, Department of Economics, and Canadian Institute for Advanced Research. Choosing Electoral Rules: Theory and Evidence from US Cities. Francesco Trebbi∗, Philippe Aghion†, Alberto Alesina‡ November 2005 Abstract This paper studies the choice of electoral rules, in particular the question of minority repre- sentation. Majorities tend to disenfranchise minorities through strategic manipulation of elec- toral rules. With the aim of explaining changes in electoral rules adopted by US cities (partic- ularly in the South), we show why majorities tend to adopt ”winner-take-all” city-wide rules (at-large elections) in response to an increase in the size of the minority when the minority they are facing is relatively small. In this case, for the majority it is more effective to leverage on its sheer size instead of risking to concede representation to voters from minority-elected districts. However, as the minority becomes larger (closer to a fifty-fifty split), the possibility of losing the whole city induces the majority to prefer minority votes to be confined in minority-packed districts. Single-member district rules serve this purpose. We show empirical results consistent with these implications of the model in a novel data set covering US cities and towns from 1930 to 2000. We thank Matilde Bombardini, Gary Chamberlain, John Friedman, Edward Glaeser, Richard Holden, Caroline Hoxby, David Lucca, James Robinson, and John Wallis for useful comments and suggestions. We are grateful to participants of the CIAR meetings in Toronto and seminars at Harvard University. Dilyan Donchev, Laura Serban, and Radu Tatucu provided excellent research assistance. Trebbi acknowledges financial support from the Social Sciences Research Council. ∗JOB MARKET PAPER. Harvard University, Department of Economics. ‡Harvard University, Department of Economics, National Bureau of Economic Research, and Centre for Economic Policy Research. 1 1A classic study is Lijphart (1994). The most recent contributions on the effects of institutions (taken as exogenous or predermined) on economic policies are Persson and Tabellini (2003) for a sample of democratic countries and Baqir (2003) for a cross-section of US cities. They build upon a vast literature on the effects of alternative forms of government on policies, a literature that we do not review here. We refer the reader to Persson and Tabellini (2003) for a survey of the cross-country literature. On US states see in particular Alt and Lowry (1994), Poterba (1994), and Bohn and Inman (1996) amongst others. Mulligan and Sala I Martin (2004) offer a dissenting view, namely that policies are determined by lobbying pressure that are not much affected by institutional forms of government. 2For a survey of the literature on Constitutional Theory, see Voigt (1997). 1 Introduction One of the key questions in political economy is how different electoral laws affect policy outcomes. In order to provide an answer several authors take electoral rules as exogenous or predetermined and use them as explanatory variables for various policies1. However, the rules of government are themselves endogenous variables chosen at constitutional tables. Ideally, rules should be chosen behind a “veil of ignorance”, that is decisions should be taken as if one ignored the identity of those benefiting from the choices themselves. In reality, however, in most constitutional tables the veil of ignorance is “see-through”, in the sense that there is some knowledge of who would benefit under alternative rules and of what policy outcomes those rules would produce. Therefore the “exogeneity” of constitutions can be called into question. Our focus is on the question of minority representation, with special reference to the nature of electoral districts and alternative rules for the choice of representatives. We have two goals in mind, one more general and one more specific. The first and more general point is to make progress in modeling institutional choice as endogenous. On the first point, most of the literature is normative, i.e. it discusses how electoral laws should be chosen, starting from the work of Hayek (1960) and Buchanan and Tullock (1962)2. A normative approach usually characterizes works in Political Science, with some notable exception such as Riker (1986) and several essays in Colomer (2004). Economists have only recently begun to pay attention to the endogeneity of political institutions from a positive, as opposed to a normative perspective. Alesina and Glaeser (2004) for instance discuss how the choice of alternative electoral rules, which are themselves associated with different policy choices over the welfare state, are indeed the result of strategic constitutional choices. The present paper is a study in “positive constitutional theory”, with a special emphasis on the question of how majorities select electoral rules to partially disenfranchise minorities. The second and more specific goal of our paper is to analyze the evolution of minority repre- sentation in American cities. We examine empirical evidence drawn from US municipalities, that adopt two types of electoral rules: either a single-member district (also called single-district) or 1A classic study is Lijphart (1994). 2For a survey of the literature on Constitutional Theory, see Voigt (1997). 1 Introduction The most recent contributions on the effects of institutions (taken as exogenous or predermined) on economic policies are Persson and Tabellini (2003) for a sample of democratic countries and Baqir (2003) for a cross-section of US cities. They build upon a vast literature on the effects of alternative forms of government on policies, a literature that we do not review here. We refer the reader to Persson and Tabellini (2003) for a survey of the cross-country literature. On US states see in particular Alt and Lowry (1994), Poterba (1994), and Bohn and Inman (1996) amongst others. Mulligan and Sala I Martin (2004) offer a dissenting view, namely that policies are determined by lobbying pressure that are not much affected by institutional forms of government. 2For a survey of the literature on Constitutional Theory, see Voigt (1997). 2 at-large rules (or a combination of the two). Councilmen elected by district compete for one or, more rarely, multiple seats in each geographic subdivision (district or ward) of the city. Differ- ently, in at-large elections, officials are elected in multi-member plurality districts, voters have as many votes as there are council seats, and the only multi-member district is identified by the city itself. The basic “winner-take-all” logic holds for both rules. For given council size, the differ- ence between single-district and at-large rules is due to geographic clustering of groups of voters with homogeneous preferences3. We show why majorities at the constitutional design stage tend to adopt at-large electoral rules in response to an increase in the size of the minority when the minority they are facing is relatively small. In this case, as the size of the minority increases, for the majority it becomes more effective to leverage on its sheer size instead of risking to concede representation to voters from minority-elected districts. However, as the minority becomes larger (closer to a fifty-fifty split), the possibility of losing the whole city induces the majority to prefer minority votes to be confined in minority-packed districts. Single-member district electoral rules serve this purpose. This shift in the preferences of the (constitutional) majority, first towards an at-large electoral rule, and then towards a single-district rule as the size of the minority increases, is precisely what the data show. 4For discussion of the importance of race in American local politics, see for instance Hacker (1992), Huckfeld and Kohfeld (1989) and Wilson (1996) amongst many others. Alesina, Baqir, and Hoxby (2004) argue that even the design and number of local jurisdictions in the US depends upon race relations. City elections are for the greatest majority explicitly nonpartisan, therefore we will leave out partisan considerations in the following discussion. way consistent with our model. Manipulation of electoral rules is not a prerogative exclusive of American cities. Alexander (2005, p.211) describes in detail the 1947 Gaullist manipulations of electoral rules in France. In the Paris area where the Gaullist alliance was weak they introduced proportional representation, in rural areas where the alliance was strong, they introduced plurality rule. Krenzer (2005, p.229) describes strategic manipulation in Germany. One could go on. Our empirical results on (within-)US cities variation are quite consistent with previous findings on the cross-country evidence in Alesina, Aghion, and Trebbi (2004). In both cases constitutional choices do not seem to occur behind a veil of ignorance in the sense that, as the minority increases its size and/or its political rights, the majority tries to make constitutional changes that limit the protection of minorities, while behind a veil of ignorance exactly the opposite should happen (as one would take into account the likelihood of belonging to a minority). Finally, the construction of an extensive novel data set of US municipalities’ political institutions allows for a richer set of empirical exercises, improving upon current standards in empirical political economy. The paper is organized as follows. Section 2 develops a simple formal setup. Section 3 describes the institutional context of US city governments and introduces our data. Section 4 presents our empirical results. The last section concludes. 1 Introduction When discussing local politics in the US, one is immediately thrown into the area of race relations.4 In fact, it is quite compelling to identify the “majority” with the whites and the “minority” with racial “minorities”. The evolution of voting rights, especially in the South, allows us to test implications of the model regarding the endogenous institutional choice. Until the mid- sixties, before the civil right movement and the Voting Rights Act of 1965, racial minorities (mainly blacks) in the South were essentially disenfranchised by a battery of regulations that, although color- blind on paper, were in practice directed to severely limit black vote. In this context the choice of electoral rules and forms of governments had not much to do with a white majorities’ attempt at controlling black influence on city governments, since blacks did not vote. After the mid-sixties, due to novel federal Voting Rights legislation, black influence increased substantially in terms of their ability to elect representatives. Indeed, after the Voting Rights Act of 1965, we show that decisions about electoral rules reflected changes in the relative size of the white and black populations in a 3See Cutler, Glaeser, and Vigdor (1999) for a detailed account of racial segregation patterns in the United States. 3 way consistent with our model. 2 A model of the choice of electoral rules This section presents the simplest formalization for developing our intuition and guiding our empir- ical analysis. The structure of the model is as follows. There are two groups of voters, whites (W) and blacks (B). We denote the initial relative size of group B as π > 0, so that the size of group W is (1 −π). The whites are, initially at least, a majority (we restrict π < 1/2) and they are those who choose the electoral rule for the city (in short, we call the choice of the electoral rule the “con- stitution”). This is because either the blacks are disenfranchised at the time of the constitutional choice or they are outvoted at the constitutional table. White voters choose a constitution with an eye on maximizing their expected utility arising from a policy outcome which will be decided by an elected council. In order to make the problem interesting there is uncertainty in the relative share of the W and B voters, so that the constitutional writers cannot be sure ex ante of the composition of the council. In other words, there is a shock to the composition of the electorate between the writing of the constitution and the choice of the policy. Moreover, the composition of the council depends on the electoral rule chosen. This modeling strategy builds upon the incomplete social contracts ideas of Aghion and Bolton (2003). We now present the model more formally. 4 5One could assume that mobility across cities is affected by the nature of charter rules, electoral systems, and the identity of the mayor, an issue which we do not tackle in the model. See Epple and Romer (1991) for a classic treatment of endogenous mobility in a political economy model. However, empirical evidence of Tiebout sorting is scant. See Strumpf and Oberholzer-Gee (2002). We discuss this effect in Section 4. 2.1 Agents and expected utility We first present a basic version of the model. We discuss generalizations later. The population is equally spread over three electoral districts, numbered 1, 2, 3, and with M individuals in each. Each district chooses a seat in the council. The initial number of B and W voters in each district are given by Bi and Wi for i = 1, 2, 3. We assume that: W1 = M, W2 = W3 = µ1 2 + z ¶ M, where z is a real number between −1/4 and 1/2. In other words, the parameter z will allow us to make comparative statics on the initial number of B voters in districts 2 and 3. Note that this range of variation for z insures that 0 < π < 1/2. Thus, z parameterizes the size of the ex ante W majority. Indeed, we have: X i Wi = (2 + 2z)M = 3(1 −π)M, therefore: z = 1 −3π 2 . (1) (1) 2 Thus, initially the W voters have a majority and they can choose the electoral rule (constitu- tion). Given the electoral rule, a three-member council is elected. The council decides the policy. After the constitution is chosen, there is a shock to the composition of voters in the city, to which the electoral rule cannot be made contingent upon. More formally, we suppose that during the interim phase an exogenously given mass LN of new B voters joins the polity5, with LN = αM where α is a random variable uniformly distributed between 0 and an upper bound α ∈(1, 2). Moreover, we assume that the newcomers are not evenly distributed across the three districts, but that instead one half of them joins district 2, whereas the remaining half goes to district 3 (thus, no new B voter enters district 1). Different compositions of the council imply different policies. We assume that with no W representative and three B representatives the implemented policy is most unfavorable to the W group which obtains a low utility level r. With one W representative the W group ends up with the status quo utility level u0; with two or three representatives the W group achieves its 5One could assume that mobility across cities is affected by the nature of charter rules, electoral systems, and the identity of the mayor, an issue which we do not tackle in the model. 2.2 Electoral rules and ex ante expected utilities With an eye to the case of American cities, we now study two alternative electoral rules. The first one, referred to as representation “at-large” (AL), allocates all seats to the party that wins more than fifty percent of the votes. The second rule, referred to as “single-member district rule” (SD), requires that each candidate runs in a particular district and obtains a majority of votes within the district in order to be elected. Given our above assumptions as to the group composition of the three districts, we immediately have that p1 = 0 under the AL rule, whereas p0 = 0 under the SD rule. We now compute the expected ex ante utilities of constitution writers in the W group, respectively under these two electoral rules. 3. Payoffs realize. 3. Payoffs realize. 3. Payoffs realize. 6See Alesina and Rosenthal (1995) for an extensive discussion of this assumption and a comparison with alterna- tives. 2.1 Agents and expected utility See Epple and Romer (1991) for a classic treatment of endogenous mobility in a political economy model. However, empirical evidence of Tiebout sorting is scant. See Strumpf and Oberholzer-Gee (2002). We discuss this effect in Section 4. 5 5 maximum utility level r. (Think of r as being the result of the B group’s most favorable policy being implemented, and of r as being the outcome of the W group’s most favorable policy). The assumption implies that the size of the B majority matters for the policy outcome; a two- one B majority implies a different policy from a three-zero B majority6. The specifics of the policy outcome formulation do not affect the qualitative nature of the results, as we discuss below. The ex ante expected utility of a W constitution writer is then equal to: Uw = (1 −p0 −p1)r + p1u0 + p0r, r > u0 > r where pj denotes the probability that j council representatives belong to the W group at the interim stage. The choice of electoral rules (the constitution) chosen by the W voters will determine the value of p0 and p1. where pj denotes the probability that j council representatives belong to the W group at the interim stage. The choice of electoral rules (the constitution) chosen by the W voters will determine the value of p0 and p1. Summarizing, the timing of events is as follows: Summarizing, the timing of events is as follows: 1. The electoral rule is chosen by the W group; 1. The electoral rule is chosen by the W group; 2. New B voters join the polity and elections determine a given composition of the council; 2. New B voters join the polity and elections determine a given composition of the council; 2.2.1 Expected utility under the at-large rule Under the AL rule all council seats will go to the B group if and only if: B1 + B2 + B3 + LN > W1 + W2 + W3. B1 + B2 + B3 + LN > W1 + W2 + W3. 6See Alesina and Rosenthal (1995) for an extensive discussion of this assumption and a comparison with alterna- tives 6 Then, the ex ante expected utility of constitution writers in the W group can be simply expressed as Then, the ex ante expected utility of constitution writers in the W group can be simply expressed as as UAL W = pAL 0 r + (1 −pAL 0 )r = r −pAL 0 ∆, UAL W = pAL 0 r + (1 −pAL 0 )r = r −pAL 0 ∆, where ∆= r −r is the constitution writers’ loss from losing the majority, and pAL 0 = Pr(B1 + B2 + B3 + LN > W1 + W2 + W3) = Pr(α > 1 + 4z) is the probability of losing the majority. Substituting for z as a function of π using (1), we have: pAL 0 = max µ 1 −3 α(1 −2π), 0 ¶ , (2) (2) so that the ex ante expected loss of constitution writers (relative to the bliss point r) in the W group under the AL rule, is equal to: so that the ex ante expected loss of constitution writers (relative to the bliss point r) in the W group under the AL rule, is equal to: LAL W = pAL 0 ∆= µ 1 −3 α(1 −2π) ¶+ ∆, (3) (3) where we use the notation where we use the notation x+ = max{x, 0}. x+ = max{x, 0}. 2.2.2 Ex ante expected utility under the single-member district rule Under the SD rule council seats are allocated at the district level. The probability of the B group winning a majority of two seats is equal to the probability that districts 2 and 3 be won by the B group. Given that the same fraction of new B voters are allocated to these two districts, which already start with the same fraction of B voters ex ante, and given that there is a fixed majority of W voters in district 1, we immediately get that the B group obtains a two-seat majority with probability: pSD 1 = Pr µ B3 + 1 2αM > W3 ¶ = Pr(α > 4z) µ ¶ or, after substituting for z using (1): µ or, after substituting for z using (1): or, after substituting for z using (1): pSD 1 = µ 1 −2 α(1 −3π)+ ¶+ . (4) (4) We can then re-express the ex ante utility of constitution writers in the W group under the SD rule, as: We can then re-express the ex ante utility of constitution writers in the W group under the SD rule, as: USD W = pSD 1 u0 + (1 −pSD 1 )r = r −pSD 1 δ, USD W = pSD 1 u0 + (1 −pSD 1 )r = r −pSD 1 δ, where δ = r −u0 is the constitution writers’ loss from losing the majority, and therefore where δ = r −u0 is the constitution writers’ loss from losing the majority, and therefore LSD W = pSD 1 δ = µ 1 −2 α(1 −3π)+ ¶+ δ, is the expected loss of constitution writers in the W group under the SD rule. 7 2.3 The size of minorities and the choice of electoral rule More formally, we can state: More formally, we can state: Proposition 1 (a) Both rules AL and SD involve no utility loss to W group individuals when π ∈ ¡ 0, 1 3 −α 6 ¢ ; (b) if ∆> δ, then there exists a unique cut-offpoint bπ ∈ ¡1 3 −α 6 , 1 2 ¢ such that LAL W < LSD W if π ∈ µ1 3 −α 6 , bπ ¶ LAL W < LSD W if π ∈ µ1 3 −α 6 , bπ ¶ and LAL W > LSD W if π ∈ µ bπ, 1 2 ¶ ; LAL W > LSD W if π ∈ µ bπ, 1 2 ¶ ; (c) if ∆= δ, then for all π ∈ ¡1 3 −α 6 , 1 2 ¢ the AL rule dominates the SD rul (c) if ∆= δ, then for all π ∈ ¡1 3 −α 6 , 1 2 ¢ the AL rule dominates the SD rule. Proof. In Appendix. 2.3 The size of minorities and the choice of electoral rule Ex ante at the constitutional stage, individuals in the W group will simply choose the electoral rule that minimizes the expected loss LW. Our main theoretical prediction can be summarized intuitively as follows. If initially the W group commands a very large majority of votes, the constitution writers do not fear they can lose the majority under either rule, thus they are indifferent between the two rules. As the relative size of the B group increases, however, at some point it becomes preferable for constitution writers in the W group to move to AL in order to reduce the power of the B voters in districts 2 and 3 by confronting them with the whole pool of W voters, including those in district 1. Doing so allows the W group to preserve its majority as long as the fraction of B individuals does not become too large. Finally, when the fraction of B voters reaches the point that it becomes impossible to prevent their becoming the new majority, moving back to the SD rule allows the W group to limit their losses. Indeed, as π becomes sufficiently close to 1/2 , the risk of losing all three districts and of thereby incurring the large loss ∆makes the W group prefer a SD system which guarantees them at least 1 seat in the council - and thereby limits their loss to δ < ∆, given that in this case B voters are restricted to commanding districts 2 and 3 only. Not surprisingly, this latter motive from moving back from AL to SD disappears if the loss incurred by the minority is independent of the size of the majority, that is if ∆= δ. Proof. In Appendix. Figure 1 represents graphically the loss functions LAL W and LSD W where πAL 0 (resp. πSD 0 ) is the size of the minority at which the expected loss under AL (resp. SD) becomes positive. 8 2.4.1 The N-districts case 9 Assume the W constitutional writers’ utility u(.) to be defined over the share of seats won, where we indicate ∆= u(1) −u(0) and δ = u(1) −u(N1/N), following the notation of Proposition 1. Once again, the constitution writers will choose the electoral rule that involves the lowest expected loss relative to the bliss point, where: Assume the W constitutional writers’ utility u(.) to be defined over the share of seats won, where we indicate ∆= u(1) −u(0) and δ = u(1) −u(N1/N), following the notation of Proposition 1. Once again, the constitution writers will choose the electoral rule that involves the lowest expected loss relative to the bliss point, where: LAL W = pAL 0 ∆= µ 1 −N α (1 −2π) ¶+ ∆ LAL W = pAL 0 ∆= µ 1 −N α (1 −2π) ¶+ ∆ and and LSD W = pSD N2 δ = à 1 −N2 α µ 1 −2π N N2 ¶+!+ δ. Then for π very close to zero, both LAL W and LSD W are equal to zero, so that constitution writers are indifferent between the two electoral rules. Next, note that for all π < 1/2, we have 1 −N α (1 −2π) < 1 −N2 α µ 1 −2π N N2 ¶ , (5) (5) so that as π increases away from zero, LSD W becomes positive before LAL W does; this in turn implies that for intermediate values of π, constitution writers in the W group will prefer the AL rule to the SD rule, as the former dilutes the B votes among the whole W population. Finally, as π becomes arbitrarily close to 1 2, the expected loss LAL W under AL converges to ∆, whereas the expected loss LSD W converges to δ, therefore SD becomes the preferred electoral rule. 2.4.1 The N-districts case Suppose the polity’s population is equally spread over the electoral districts, now numbered 1, ..., N with M individuals in each, and a council of size N. We maintain the assumption that the same two types of (ex ante) districts exist: W1 = M; W2 = µ1 2 + z ¶ M; where again type-1 districts are “all-W” while W2 (type-2) districts are an ex ante identical mix of W and B. We also maintain the assumption that the district design is exogenously given as we focus on the electoral rule for given district design. There are N1 districts like W1, therefore N2 = N −N1, and N1 < N2. During the interim phase a mass αM of B newcomers arrives with α ∼U[0, α] and α < N. Now consider the possible electoral outcomes under AL and under SD respectively. Under AL only W councilmen will be elected whenever the ex post total number of W voters, NM (1 −π) , is larger than the ex post total number of B voters, αM +NMπ. Thus, nothing fundamental changes from the three-districts case, and we now have: pAL 0 = µ 1 −N α (1 −2π) ¶+ Turning to the SD rule, let us first assume that each district j of the N2 districts receives a fraction 1/N2 of new comers, all of them belonging to the B group. In this case the probability that the B group wins N2 seats on the council, is simply equal to the probability that the B voters acquire a majority of votes in any of the W2 districts, namely pSD N2 = Pr µαM N2 + µ1 2 −z ¶ M > µ1 2 + z ¶ M ¶ , that is pSD N2 = Pr(α > 2zN2), pSD N2 = Pr(α > 2zN2), where now z = 1 2 −π N N2 . We then obtain: pSD N2 = à 1 −N2 α µ 1 −2π N N2 ¶+!+ . where now where now z = 1 2 −π N N2 . z = 2 πN2 . We then obtain: pSD N2 = à 1 −N2 α µ 1 −2π N N2 ¶+!+ . We then obtain: pSD N2 = à 1 −N2 α µ 1 −2π N N2 ¶+!+ . We then obtain: pSD N2 = à 1 −N2 α µ 1 −2π N N2 ¶+!+ . 2.4.2 N districts, mixed electoral systems, and risk-aversion We now investigate the N−districts case along an important dimension: the opportunity of em- ploying mixed electoral rules for risk-averse W voters7. We now investigate the N−districts case along an important dimension: the opportunity of em- ploying mixed electoral rules for risk-averse W voters7. Consider a city with a council of size NTOT = ρN. Let us now assume ρ > 1 to allow for mixed systems: at least one representative for each single-member district and NAL > 0 at-large representatives. Assume W’s preferences to be defined over the share of seats won on the council. In a setup with risk-neutral agents, it is never optimal to have mixed systems involving both, single- district and at-large councilmen: either AL or SD offers the highest expected number of winning seats. While a risk-neutral W considers exclusively the expected seat-share and has no incentives to convexify, a risk-averse constitutional writer W may find useful to reduce the risk of running pure at-large elections when the opportunity of winning safer single-district seats is available. The following proposition presents this result more formally: Proposition 3 Consider a city of N districts, council of size NTOT, and B newcomers’ arrival αM, α ∼U[0, α], N1 < α < N. If the W constitutional writers are risk-averse with utility u(.), u0 > 0, u00 < 0, defined over the share of seats won, then there is an interval (π3, π4) , π4 < 1/2, and a mixed system with NSD > 0 single district seats and NAL > 0 at-large seats for which: UAL W < UMX W and USD W < UMX W if π ∈(π3, π4) , where UAL W is the expected utility under AL, UMX W is the expected utility under a mixed system, USD W is the expected utility under SD. where UAL W is the expected utility under AL, UMX W is the expected utility under a mixed system, USD W is the expected utility under SD. 2.4.1 The N-districts case We thus obtain a straightforward generalization of Proposition 1 to the case where the number of districts N is arbitrary: Proposition 2 Consider a city of N districts, council of size N, and B newcomers’ arrival αM, α ∼ U[0, α], α < N, then: a) there exists a point πSD 0 ∈ ¡ 0, 1 2 ¢ such that there is no utility loss for the W group in ¡ 0, πSD 0 ¢ under any rule; b) there exists a unique cut-offpoint ˆπ ∈ ¡ πAL 0 , 1 2 ¢ such that expected losses under the different rules satisfy LAL W < LSD W if π ∈(πSD 0 , ˆπ) and and and LAL W > LSD W if π ∈ µ ˆπ, 1 2 ¶ , where πAL 0 = 1 2 ¡ 1 −α N ¢ > πSD 0 = N2 2N ³ 1 −α N2 ´ . LAL W > LSD W if π ∈ µ ˆπ, 1 2 ¶ , 10 7The fact that we observe such mixed systems in practice, may also reflect the existence of transition costs from one system to the other, or other costs (for example campaigning costs) of managing the two electoral systems, which in turn depend on the size of districts and cities. Proof. In Appendix. Figure 2 reports a numerical example of the optimal share of single-member district councilmen as a function of the ex ante size of the minority for a stylized city of N = 12 districts with N1 = 3, ρ = 5, and W voters with quadratic preferences, as generated by the model. The fundamental non-linearity in the choice of the electoral rule extends to the case of mixed systems (notice the ascending part of the step-function that indicates the choice of mixed systems). The parabolic curve (quadratic fit) that approximates the relation between π and the ratio of SD seats in the council (indicated as SDshare) is precisely the relation we will investigate empirically in Section 4. Figure 3 reports the expected utilities for the W agents under the different electoral rules at 11 various levels of π. The mixed system curve traces the combination of SD and AL seats that is optimal (i.e. that has the highest expected utility for W) at any given π. Over the range where such curve does not coincide with either pure SD or pure AL the chosen electoral rule includes both single-member district and at-large councilmen. 2.4.3 Uneven distribution of newcomers In order to gain intuition in this subsection, let us briefly return to the 3-districts model employed in Section 2.1. In our analysis so far we assumed that equal numbers of new B group voters would choose to locate in districts 2 and 3. However, our reasoning and results extend to the case where a fraction f > 1/2 of new comers choose say district 2 whereas the remaining fraction (1−f) chooses district 3. This obviously does not affect the probability p0 of the B group winning all seats under the AL rule since that probability depends only upon the overall fraction of B individuals in the population. Thus, we still have pAL 0 defined by (2) so that the ex ante expected loss from the AL rule, is still equal to (3). However, the B group will only win a majority of seats on the council if it wins a majority of votes in districts 2 and 3, which in turn requires winning a majority of votes in district 3, which, of the two districts, is the harder one to secure. Therefore, pSD 1 = Pr(B3 + (1 −f)αM > W3) = Pr µ α > 2z 1 −f ¶ . This yields: This yields: pSD 1 = µ 1 − 1 α(1 −f)(1 −3π)+ ¶+ y pSD 1 = µ 1 − 1 α(1 −f)(1 −3π)+ ¶+ with a corresponding ex ante expected loss under SD rule equal to: LSD W = µ 1 − 1 α(1 −f)(1 −3π)+ ¶+ δ. Sufficient conditions for Proposition 1 to continue to hold are: ∆sufficiently larger than δ and πSD 0 < πAL 0 , that is: 1 3 −α(1 −f) 3 < 1 2 −α 6 , (6) (6) which implies that, as π increases from zero, pSD 1 becomes positive before pAL 0 does. Notice that now πSD 0 in Figure 1 becomes function of f. More generally, it is possible to show that similar sufficient conditions guarantee the non-monotonicity in the choice of electoral rules in the N−districts case with an uneven distribution of newcomers8. which implies that, as π increases from zero, pSD 1 becomes positive before pAL 0 does. Notice that now πSD 0 in Figure 1 becomes function of f. 8A derivation of the general case is available from the authors upon request. 2.4.4 Gerrymandering An important practical consideration is that the design of district may itself be endogenous. In particular, the constitution-writing majority may try to “gerrymander” the districts in order to minimize the number of representatives elected by the minority. The possibility of unconstrained gerrymandering obviously makes the SD rule preferable to a majority writing the constitution. As we will discuss below, empirically this is an important consideration for American cities. How advantageous is it for the white majority to choose gerrymandering with a SD system versus an AL system depends on the nature of residential segregation in the city9. This is of course a known issue in the vast literature on gerrymandering.10 In the context of the 3-districts model, the constitution writers in the W group will simply choose to maximize f, that is, to pack as many new B voters as possible in one district, say district 2, in order to prevent them from ever acquiring a majority of votes in the council. In the absence of any constraints on gerrymandering (one such constraint for example would be that differentials between the number of voters across the various districts cannot be larger than a given percentage), the constitution writers will simply choose f equal to one, in which case SD will always dominate AL. However, if various constraints on gerrymandering limit the maximum f that can be achieved by the W group, then as we just saw in the subsection dedicated to the uneven distribution of newcomers the conclusions of Proposition 1 may again hold. Finally, it is interesting to note that the possibility of gerrymandering could give rise to the same pattern seen in Proposition 1, with AL dominating for intermediate values of π and SD dominating for high values of π, even when the loss incurred by the W group is independent of the size of the B majority. That is, even when ∆= δ. To see this, let us slightly modify our basic model by assuming that constitution writers in the W group suffer from having the B group holding even one (minority) seat in the council. Then, as the size π of the B group increases from zero to 1/2, the W group will first choose the AL rule in order to dilute the B voters among all W voters. p y , y 10On gerrymandering, see in particular Cox and Katz (2002) and Friedman and Holden (2005). 2.4.3 Uneven distribution of newcomers More generally, it is possible to show that similar sufficient conditions guarantee the non-monotonicity in the choice of electoral rules in the N−districts case with an uneven distribution of newcomers8. 8A derivation of the general case is available from the authors upon request. 12 9Cole (1976) for instance emphasizes how at-large elections, while in principle should favor minorities which are spread out within city boundaries, in fact may not. 10On gerrymandering, see in particular Cox and Katz (2002) and Friedman and Holden (2005). 2.4.5 Mayors and managers Another dimension that differentiates between American cities, is the degree of autonomy of the “ex- ecutive”. In a mayor-council system the executive is more autonomous from the council. Therefore, it is more difficult for the council to influence the executive process relative to the council-manager system. One way of modelling this situation is to assume that the majority needed to block the mayor is larger than the one needed to block a manager. An additional variation involves the power of the mayors which is different in strong-mayor versus weak-mayor forms of government. Without a veil of ignorance, if the W majority always knew that it could elect the mayor it would choose a more powerful mayor. But following the same logic of above, this would not be necessarily the case if the W majority is slim and there are unforeseeable shocks to the composition of the electorate. In the empirical part we also briefly explore the choice between mayor council system and manager council systems. 2.4.4 Gerrymandering But then, as π increases further, the only way to prevent the B group from winning a majority of seats is to move from AL to SD and at the same time “gerrymander”, that is pack B voters all in one district. Even without gerrymandering the SD rule allows the W group to “waste” part of the B votes by preventing them from influencing the electoral results of district 1. With gerrymandering the 13 13 wasting (or packing) effect of SD is only reinforced: B voters cannot outnumber W voters in two districts instead of one in absence of gerrymandering. Therefore in this simplified setup, logic and predictions are basically the same with and without gerrymandering. 3 Institutional setting and data We begin this section with a brief review of the history of voting rights in the South. A description of the data follows. 11We refer to the United States Department of Justice, Civil Rights Division, Voting Section for further details and reference for this section. 12All voters were white male according to the Naturalization Law of 1790. 3.1 Legal and judicial interventions on voting in the United States There was no constitutional protection for voting and electoral participation in the United States before the Civil War.11 African American individuals in state of servitude were neither granted citizenship nor, consequently, voting rights. After the war, during the Reconstruction (1867-1877), the Congress provided such constitutional protection with the ratification of the 14th Amendment in 1868 (conferring citizenship to all persons born or naturalized in the United States) and the 15th Amendment in 1870 (providing that the right of vote should not be denied or abridged on the basis of race, color, or previous status of servitude). The Enforcement Act (1870) and the Force Act (1871) ensured additional legislative detail, among other things introducing federal oversight over 14 14 elections. Such measures effectively induced an enlargement of the electoral franchise to the black minority, both in the South and in the rest of the country12. Around 1872 more than 300 Southern black legislators were holding elected offices. However, after the 1877 compromise, the demilitarization of the South and the ensuing “Re- demption”, Southern whites succeeded in reimposing pre-war political equilibria. The introduction of a series of legal procedures, color-blind on paper but anti-black in practice, such as poll taxes, literacy tests, “grandfather clauses”, “understanding clauses”, vouchers of “good character”, and disqualification for crimes of “moral turpitude” achieved the substantial disenfranchisement of the black minorities in the South. In addition, white majorities extensively entertained the practice of “white primaries”13. By the early 1900’s the number of Southern black legislators was back to zero: an early exemplification of the endogeneity of political institutions to sudden shifts in the electoral franchise (see Kousser, 1999). According to Woodward (2002) in Louisiana registered black voters were 1, 342 in 1904, down from a peak of 130, 334 in 1896. This coincided with the appearance of extensive Jim Crow legislation at the State level in the South. Until the mid-1960s the number of Southern black legislators remained close to zero. This coincided with a seemingly marginal role played by the Supreme Court in the active defense of the 15th Amendment.14 It was only from the mid-1960’s that the Supreme Court started an active monitoring of electoral 12All voters were white male according to the Naturalization Law of 1790. It was only from the mid-1960’s that the Supreme Court started an active monitoring of electoral 12All voters were white male according to the Naturalization Law of 1790. Only with the 19th Amendment to the Constitution, which became law in 1920, women obtained the right to vote in all elections. Constitutional amendment proposals for the extension of the electoral franchise to women had begun in 1878 and were proposed in every session of the Congress for the following 40 years. Some States already had laws enabling women to vote before 1920. Examples are Utah, Colorado, Idaho, and Wyoming, the first State in the Union allowing women to vote in 1890. The States of New York, Massachusetts, New Hampshire, and New Jersey allowed women to vote at the end of the 18th century, but between 1777 and 1807 they revoked those clauses. Also Asian, Native American and Mexican individuals were not allowed to vote, not being recognized as U.S. citizens. In 1924 Native Americans were granted citizenship and in 1948 the last state laws denying vote were overturned. Asians were able to obtain full citizenship after the progressive overturning of the Chinese Exclusion Act of 1882 completed in 1952. 13See Myrdal (1944) for a detailed account. According to Woodward (2002, p.85) “the state-wide Democratic primary was adopted in South Carolina in 1896, Arkansas in 1897, Georgia in 1898, Florida and Tennessee in 1901, Alabama and Mississippi in 1902, Kentucky and Texas in 1903, Louisiana in 1906, Oklahoma in 1907, Virginia in 1913, and North Carolina in 1915.” Primaries were not open to racial minorities and were effectively used to skim out black voters, hence the appellation “white primaries”. 14However, there were exceptions. In Guinn v. United States, 238 U.S. 347 (1915), the Court ruled against a Oklahoma “grandfather clauses” provision, in Smith v. Allwright, 321 U.S. 649 (1944), the Court ruled against Texas’ “white primaries”, and in Gomillon v. Lightfoot, 364 U.S. 339 (1960), the Supreme Court found unconstitutional the practice of gerrymandering in the city of Tuskugee (Alabama). 15 participation provisions and apportionment of state legislative districts. In Baker v. Carr, 369 US 186 (1962), the Court ruled against malapportionment. In a series of cases (Wesberry v. Sanders, 376 US 1 (1964), Reynolds v. Sims, 377 U.S. 533 (1964), Fortson v. Dorsey, 379 U.S. 433 (1965)) the Court ruled in the direction of re-equilibrating the weight of rural and urban votes, favoring urban minorities. At the same time the federal government started playing a much active role as well. 15The amendment outlawed the poll tax in federal elections. Virginia ratified the amendment in 1977, albeit the ratification process was completed on January 23, 1964 (by 38 States). The amendment was ratified by North Carolina in 1989. The amendment was rejected by the State of Mississippi (and not subsequently ratified) in 1962. 16Section 5 precisely indicates which political organizations are covered by the act through identification of specific parameters. States fully covered under the 1975 renewal of the Voting Rights Act are Alabama, Alalska, Arizona, Georgia, Louisiana, Mississippi, South Carolina, Texas, and Virginia. California, Florida New York, North Carolina, and South Dakota are only partially covered in specific counties and Michigan and New Hampshire in specific townships. See Data Appendix for details. 15The amendment outlawed the poll tax in federal elections. Virginia ratified the amendment in 1977, albeit the ratification process was completed on January 23, 1964 (by 38 States). The amendment was ratified by North Carolina in 1989. The amendment was rejected by the State of Mississippi (and not subsequently ratified) in 1962. 16Section 5 precisely indicates which political organizations are covered by the act through identification of specific parameters. States fully covered under the 1975 renewal of the Voting Rights Act are Alabama, Alalska, Arizona, Georgia, Louisiana, Mississippi, South Carolina, Texas, and Virginia. California, Florida New York, North Carolina, and South Dakota are only partially covered in specific counties and Michigan and New Hampshire in specific townships. See Data Appendix for details. 12All voters were white male according to the Naturalization Law of 1790. President Lyndon Johnson ratified the 24th Amendment of the Constitution15 (1964) and signed into law both the Civil Rights Act in 1964 and the Voting Rights Act in 1965. LBJ relied on a coalition of Northern democrats and republicans to pass the act against the opposition of Southern democrats. The Senate passed the Act in a 77-19 roll call vote (47 democrats and 30 republicans, 17 Southern democrats and 2 republicans opposed the bill). The goal of the VRA is to remove strong obstacles in voting registration procedures for racial minorities. Section 2 of the Voting Rights Act included a broad reassessment of the principles embedded in the 14th and 15th Amendments. It deemed illegal the use of poll taxes, literacy tests, and the requirement of fluency in English for voting eligibility. Section 5 introduced strict requirements of pre-clearance (by the District Court for the District of Columbia or the U.S. Attorney General) of new voting procedures 16. The bill authorized federal supervision of black voters’ registration in Alabama, Georgia, Louisiana, Mississippi, North Carolina (in 34 counties), South Carolina, and Virginia (Woodward, 2002). In South Carolina v. Katzenbach, 383 U.S. 301 (1966), the Supreme Court upheld the Constitutionality of the Act. In Allen v. State Board of Elections, 393 U.S. 544 (1969) pre-clearance conditions were specified for a series of “tests or devices” of minority vote dilution, including explicitly changes to at-large elections from single- member district elections. As a consequence of the Voting Rights Act, the number of registered minority voters as a fraction of voting age population doubled and in some cases tripled in Alabama, Georgia, Louisiana, Mississippi, and Virginia between 1965 and 1988 (Grofman, Handley and Niemi, 1992). Amy (2002) reports that “the number of black elected officials in the United States grew an average 16.7 percent 15The amendment outlawed the poll tax in federal elections. Virginia ratified the amendment in 1977, albeit the ratification process was completed on January 23, 1964 (by 38 States). The amendment was ratified by North Carolina in 1989. The amendment was rejected by the State of Mississippi (and not subsequently ratified) in 1962. 16Section 5 precisely indicates which political organizations are covered by the act through identification of specific parameters. States fully covered under the 1975 renewal of the Voting Rights Act are Alabama, Alalska, Arizona, 15The amendment outlawed the poll tax in federal elections. 12All voters were white male according to the Naturalization Law of 1790. Virginia ratified the amendment in 1977, albeit the ratification process was completed on January 23, 1964 (by 38 States). The amendment was ratified by North Carolina in 1989. The amendment was rejected by the State of Mississippi (and not subsequently ratified) in 1962. 16S i 5 i l i di hi h li i l i i d b h h h id ifi i f ifi 16 a year between 1970 and 1977, from 1469 to 4311” (p.129)17. In the light of continuing racial polarization in 1970, 1975, and 1982 the Congress introduced amendments to the Voting Rights Act extending Section 5 of 5, 7, and 25 years and addressing the removal of persistent obstacles to effective voting by the newly registered racial minorities (like gerrymandering, annexations, at-large elections, multi-member districts, and other “structural changes” to prevent blacks from voting through electoral dilution). The Supreme Court followed suit, for example in White v. Regester, 412 U.S. 755 (1973) and, with respect to dilution associated with at-large elections, in Thornburg v. Gingles, 478 U.S. 30 (1986). During the 1980’s and 1990’s the federal government and the Supreme Court tended to diverge more frequently with respect to affirmative intervention in promoting minorities’ political enfranchisement (particularly, with respect to affirmative gerrymandering)18. From this brief historical excursus, we need to remember two points germane to our empirical analysis: 1) Until the mid-sixties white majorities did not have to worry about black vote in the South; only with the Voting Act of 1965 blacks were really a political block to reckon with electorally. 1) Until the mid-sixties white majorities did not have to worry about black vote in the South; only with the Voting Act of 1965 blacks were really a political block to reckon with electorally. 2) The implementation by the Courts of the Voting Rights Act also took up the issues of the choice of electoral rules, precisely to avoid choices (like at-large elections) that would have favored the white majority. Thus, any attempt of the white majority to engage in the kind of strategic choices implied by our theoretical model would have to face potential challenges from the Courts. 17In 1999 according to the Joint Center for Political and Economic Studies the total number of black elected officials was 5938 in the South (respectively 8936 in all U.S.), of which 340 were city mayors (resp. 18In 1980 the Supreme Court imposed the requirement of proof of “racial discriminatory purpose” in vote dilution cases (Mobile v. Bolden, 446 U.S. 55, 1980). This was rectified by a 1982 Congress Amendment, dispensing from such proof. The Supreme Court substantially challenged “affirmative gerrymandering” in Shaw v. Reno, 509 U.S. 630 (1993) and Holden v. Hall, 512 U.S. 874 (1994) among the others. Under President Bill Clinton the National Voter Registration Act (also known popularly as the Motor Voter Act of 1993) aimed at strongly promoting voter registration (for example, through the department of motor vehicles structures, unemployment, and welfare bureaus). More recently the Help America Vote Act of 2001 has shifted back to individual States most of the supervisory power over the quality of electoral franchise. Voting Rights Acts renewal hearings are due in 2007. 20Data from 1980 onward are available in electronic format; data before 1980 needed to be collected and entered from hard copies. For this reason we decided to collect data before 1960 only for the South, since it is in the South where the effect of the Voting Rights Act is more relevant and should show larger differences before and after the mid-1960s. 12All voters were white male according to the Naturalization Law of 1790. 450 nationwide), 2677 members of municipal governing bodies (resp. 3498 nationwide). There were no black senators in 1999 and 19 representatives form the South (39 black representatives nationwide). 17In 1999 according to the Joint Center for Political and Economic Studies the total number of black elected officials was 5938 in the South (respectively 8936 in all U.S.), of which 340 were city mayors (resp. 450 nationwide), 2677 members of municipal governing bodies (resp. 3498 nationwide). There were no black senators in 1999 and 19 representatives form the South (39 black representatives nationwide). 18In 1980 the Supreme Court imposed the requirement of proof of “racial discriminatory purpose” in vote dilution cases (Mobile v. Bolden, 446 U.S. 55, 1980). This was rectified by a 1982 Congress Amendment, dispensing from such proof. The Supreme Court substantially challenged “affirmative gerrymandering” in Shaw v. Reno, 509 U.S. 630 (1993) and Holden v. Hall, 512 U.S. 874 (1994) among the others. Under President Bill Clinton the National Voter Registration Act (also known popularly as the Motor Voter Act of 1993) aimed at strongly promoting voter registration (for example, through the department of motor vehicles structures, unemployment, and welfare bureaus). More recently the Help America Vote Act of 2001 has shifted back to individual States most of the supervisory power over the quality of electoral franchise. Voting Rights Acts renewal hearings are due in 2007. 18In 1980 the Supreme Court imposed the requirement of proof of “racial discriminatory purpose” in vote dilution cases (Mobile v. Bolden, 446 U.S. 55, 1980). This was rectified by a 1982 Congress Amendment, dispensing from such proof. The Supreme Court substantially challenged “affirmative gerrymandering” in Shaw v. Reno, 509 U.S. 630 (1993) and Holden v. Hall, 512 U.S. 874 (1994) among the others. Under President Bill Clinton the National Voter Registration Act (also known popularly as the Motor Voter Act of 1993) aimed at strongly promoting voter registration (for example, through the department of motor vehicles structures, unemployment, and welfare bureaus). More recently the Help America Vote Act of 2001 has shifted back to individual States most of the supervisory power over the quality of electoral franchise. Voting Rights Acts renewal hearings are due in 2007. 17 19Due to space limitations we produce the Data Appendix in a separate document, available on request. Please refer to the authors’ webpages for a downloadable version of the Data Appendix. 3.2 Data and summary statistics This section briefly reviews the main variables employed in the empirical analysis. We refer the reader to the separate Data Appendix19 for details on variables definition, construction and sources. We gathered two sets of data: one including characteristics of city governments and their institu- tional details; the other including demographic, economic, and geographic characteristics of US cities. We collected information on US municipal governments characteristics for the period 1930- 2000, at 10-year intervals, from the Form of Government Survey and Municipal Year Book by the International City/County Management Association (ICMA) in Washington D.C. ICMA is a professional organization of city managers and administrators publishing local gov- ernment data since 1914 and a well-recognized scholarly source. ICMA survey data have been employed in a number of papers, including Baqir (2001), Sass and Pittman (2000), DeSantis and Renner (1992) among the others. From the various issues of the ICMA surveys20 we collected information on electoral rules and forms of government for each municipality, including: council size; number of district-awarded council seats; form of government; number of councilmen belonging to different racial groups cur- rently sitting in the council; mayor’s veto power over council resolutions; mayor’s vote restrictions in council resolutions; mayor’s length of term in office; indicators of the presence of referendum, initiative or recall. Particularly, with respect to electoral rules we constructed two single-district variables: (i) SD, a dichotomous variable equal to 1 if all councilmen are elected by single district, 0 otherwise; (ii) SDshare, a continuous variable defined as the fraction of councilmen elected in single districts. In 2001 about 65.9 percent of the cities in the sample presented only at-large-elected councilmen, about 14.8 percent presented only district-elected councilmen. The remaining cities presented some combination of the two types of rules (mixed systems), with councils consisting of a fraction of councilmen representing specific geographic areas and the others “representing the whole city”. From the decadal issues of the Bureau of the Census’ of Population we collected information on total population, racial groups sizes, median income, and geographic characteristics of Places 19Due to space limitations we produce the Data Appendix in a separate document, available on request. Please refer to the authors’ webpages for a downloadable version of the Data Appendix. 3.2 Data and summary statistics From the decadal issues of the Bureau of the Census’ of Population we collected information on total population, racial groups sizes, median income, and geographic characteristics of Places 20Data from 1980 onward are available in electronic format; data before 1980 needed to be collected and entered from hard copies. For this reason we decided to collect data before 1960 only for the South, since it is in the South where the effect of the Voting Rights Act is more relevant and should show larger differences before and after the mid-1960s. 18 and Minor Civil Divisions (MCD’s)21. Particularly with regard to racial composition, from 1930 to 1970 the data available allow for a breakdown into three groups: white, black, and other races (we did not distinguish between foreign-born or native). From 1980 the Census allows for a more refined breakdown (in general the breakdown includes at least Whites, Blacks, Hispanics, Asians, Pacific Islanders, and Native Americans). Since our empirical analysis runs from the thirties to the nineties, for consistency we used the three-groups breakdown (White, Blacks, others) for the entire sample. Our variable of interest is the size of non-whites (we also reproduced all our result using blacks instead of non-whites, with virtually no changes in the results). ICMA and Census data were subsequently merged on the basis of geographic identifiers and FIPS codes (unique identifiers) whenever available or matched by city name and individually checked. Details on the procedure are available in the Data Appendix. A final caveat. ICMA surveys present different coverage depending on the year. We review their representativeness in terms of population characteristics vis-a-vis the corresponding entire Census population of places and MCD’s in the Data Appendix. The bottom line is that the sample of US cities collected by ICMA is representative of the total population of relatively large cities, above 2, 500 inhabitants, and less representative of the full population of the Bureau of the Census Places and Minor Civil Divisions (MCD’s). This is the reason why in what follows, we always report results for the entire available sample and for a subsample of cities above the threshold of 2, 500; the results are in general almost identical. We were also able to obtain the full lists of cities sampled from ICMA for the last survey in year 2001 and we verify the absence of any response selection in the survey22. 3.2 Data and summary statistics In the Appendix tables A1 and A2 we report summary statistics for the key variables of interest for the sample of all US cities and for the sample of Southern cities. 21Definitions and references in the Data Appendix. 22 22See Data Appendix. 22See Data Appendix. 22See Data Appendix. 21Definitions and references in the Data Appendix. 22S D A di 4 Empirical results The empirical investigation in this section focuses on the main prediction of our model, namely that an increase in the size of the minority makes AL preferable over SD if initially the minority group (the B voters) represents a sufficiently small fraction of the overall population, whereas the opposite is true if initially the minority group represents a sufficiently large fraction of the overall population. In other words, the preference of constitution writers for AL over SD, increases and then decreases with the initial size of the minority group. With the aim of testing a model of endogenous choice of checks and balances, Aghion, Alesina, With the aim of testing a model of endogenous choice of checks and balances, Aghion, Alesina, 21Definitions and references in the Data Appendix. 22S D t A di 19 and Trebbi (2004) employ data on a vast cross-section of countries, including democracies and non-democracies. American cities offer a potentially “cleaner” sample for testing the hypothesis of constitutional endogeneity for several reasons. First of all, American cities are much more similar to each other than a cross-section of countries ranging from advanced democracies to developing dictatorships. Moreover US cities present enough time-series variation to account for time-invariant unobserved heterogeneity in the data, arguably a potential source of bias in cross-sectional analy- sis. Second, the racial divide (mostly white/black historically, whites/blacks/asians/hispanics more recently) has been a prominent feature of the institutional debate and political choice in US cities23 and the assumption of bloc-voting within racial lines has empirical foundation. Third, the evolution of minority voting rights and the Civil Rights movement in the sixties suggest a transformation of the nature of democratic institution in US cities. Before the Voting Rights Act of 1965, black vot- ers in the South were largely disenfranchised, consequently the choice of electoral rules was rather irrelevant from a race-relation point of view. From the mid-sixties onward white majorities had to cope with black voters; therefore they had an incentive to adopt electoral rules and forms of gov- ernments that minimized black influence. This episode allows us to perform additional robustness checks of our model of endogenous evolution of electoral institutions. 24Further, simple non-parametric evidence is provided in what follows. A third-order polynomial produced a very similar fit as the quadratic model we report. The main difference recurred for high levels of π, where the race of the charter writers could be non-white. Higher-order polynomials produced a worse fit than the quadratic. 23US cities are not the only example of local politics influenced by race relations. For a discussion of electoral rules and racial politics in elections in India see Pande (2003). 25Notice that the theoretical restriction π < 0.5 is satisfied in the data, as more than 90 percent of cities are below π = 0.361 for the whole sample of American cities and below π = 0.433 for the South. Notice that the theoretical restriction π < 0.5 is satisfied in the data, as more than 90 per π = 0.361 for the whole sample of American cities and below π = 0.433 for the South. 4.1 The choice of electoral rules Empirical Strategy - The empirical strategy that we employ in Table 1 and in the majority of the following tables is a simple, yet flexible, linear (in the coefficients) parametric two-way panel model of the choice of electoral rules in which we account for unobserved, time-invariant heterogeneity at the city level and for time-specific effects. Proposition 1 hypothesizes a non-monotonic, U−shaped relationship between either SD or SDshare and π, which provides intuitive appeal to the choice of fitting a quadratic relationship between SD or SDshare and π24. For each city i in year t let us define the political variable of interest SDshareit (the fraction of councilmen elected by ward or district), the relative size of the minority25, πit, a vector of (k x 1) controls Xit and the two-way 24Further, simple non-parametric evidence is provided in what follows. A third-order polynomial produced a very similar fit as the quadratic model we report. The main difference recurred for high levels of π, where the race of the charter writers could be non-white. Higher-order polynomials produced a worse fit than the quadratic. 20 error component as uit = αi + δt + ηit. We specify26 the following equation in levels: SDshareit = β0 + πitβ1 + (πit)2 β2 + X0 itγ + αi + δt + ηit (7) for i = 1, ..., N and t = 1, ..., T . (7) Controlling for city-specific unobserved characteristics is relevant to our empirical strategy. His- torical, geographical, and cultural conditions explain much of the variation in political institutions at the city cross-sectional level (about 67 percent of the variation). However, such conditions are often difficult to measure directly and would bias, if omitted, any inference concerning the role of changes of racial composition of the city in the choice of electoral rules. Employing within-city variation allows us to account for such unobserved heterogeneity and estimate consistently the vector (β1, β2) . Time-specific effects are similarly useful in accounting for across-the-board effects, such as federal legislation, that again need to be controlled for, especially in the post-1965 period27 when indeed legislation was extremely active. We address the issue of serial correlation in the error component η by relaxing the assumption of independence and clustering at the city level. Conditional heteroskedasticity of unknown type is also accounted for. Note that one may want to exclude cities in which whites are a minority. There are very few significant in every specification. 28Note that one may want to exclude cities in which whites are a minority There are very few of those and 27Formal F-tests for this specification support the use of a two-way setup. Both groups of fixed ignificant in every specification. 26The same specification is also employed for SD. However in that case we assume a logistic dist ts for this specification support the use of a two way setup. Both groups of fixed effects are jointly ry specification. significant in every specification. 28N t th t t t l d iti i hi h hit i it Th f f th d significant in every specification. 28Note that one may want to exclude cities in which whites are a minority. There are very few of those and 4.1 The choice of electoral rules Identification - The most likely source of reverse causation affecting (7) is endogenous sorting across municipalities driven by more favorable electoral rules. Minority voters may move towards cities in which they have better chances of representation, and similarly white voters may move out of cities with excess minority representation. Hence, Tiebout sorting would predict a correlation between changes in city racial composition and in electoral rules of the opposite sign to what predicted by our model, dampening the least squares estimates. It is fundamental for our analysis that such bias would be of negative sign. Specifically, suppose that a city changes its electoral rule in favor of white voters against black voters. Then the percentage of the latter should go down as a consequence of Tiebout sorting (and possibly the white group could increase in number reducing the fraction of blacks even further). However, we show below that, as the share of blacks increases, electoral rules turn against them. This means that the estimates presented below need to be interpreted as lower bounds of the effects the theory predicts and the quantitative relevance of the endogeneity of the electoral rule is underestimated. Correcting for the bias arising from endogenous sorting would increase the quantitative relevance of our results. A final issue in the empirical strategy concerns the timing of the Voting Rights Act. Table 1 is divided in two parts: for the period before and after the Voting Rights Act of 196528. The first year 21 for which complete survey data from ICMA are available after 1965 on electoral rules (and forms of government) is 1967, which we take as the dividing line for pre- and post-Voting Rights Act and we match to the 1970 Census data. The non-monotonic relation should emerge only in case of an enfranchised minority. From the time of its introduction, the Voting Rights Act represented a sudden extension of the political franchise to blacks. We employ such date as an informative source of variation for institutional manipulation, particularly in Southern cities. Results - The first four columns of Table 1 refer to the sample of Southern cities29. Column (1) shows the basic specification including all cities. 4.1 The choice of electoral rules Column (2) focuses on cities above the 2, 500 threshold (remember that the ICMA sample is more representative for cities above this size) columns (3)-(4) include additional controls for city size, median income, and a deterministic time trend at the State level. The last two columns show the same regressions for the sample of all US cities. The model calls for a negative linear and a positive quadratic coefficient on the share of the non-white minority; as this share increases, at-large elections become more desirable up to a point in which the voting minority is so large that the majority is better offby “packing” minority votes through single-district elections. The signs of the coefficients are consistent with this story. Looking for instance at column (1) the estimated coefficients imply that this U−shaped curve reaches a minimum at about 29.2 percent (0.292 = 0.885/3.028) non-white minority. (Note that 66.7 percent of the sampled cities in year 2000 were below this level). The last two columns show that when we look at the US as a whole, the sign of the coefficients is the same as that for the South, but the size of the coefficient is smaller in absolute value, roughly half, suggesting that these racial effects are stronger in the South. To gauge quantitatively the size of the two effects, one can start observing the empirical distribution of the size of minorities in Southern cities. Consider as a benchmark the cross-sectional distribution of minority sizes in year 2000 (but likewise for all the decades 1970-1990) for those cities employed in the column (1) sample. The first quartile (Q1) for the fraction of minority is 9.76 percent and the third quartile (Q3) is 34.86. At Q1, given estimated coefficients in column (1) of −0.885 and 1.514 (with clustered standard errors respectively 0.308 and 0.475), an increase of one standard deviation of minority sizes (16 percent) implies a reduction of −5.56 percentage points (−0.0556 = −0.885∗0.16+1.514∗(0.2576ˆ2−0.0976ˆ2)) of the fraction in addition even when whites are a minority in terms of number of inhabitants, demographic factors and vote participation patterns may still make them a majority as active voters (see Amy 1993, p.125 for an example). For this reason it is unclear which cities to drop from the sample. We tried a few experiments and our results appear robust. 4.1 The choice of electoral rules 29As for all the rest of our empirical analysis we exclude from the sample those cities for which we have information that the change of structure of government is the result of court mandate or State Law. ICMA data provide partial information with this respect. 22 of single-district seats. This is equivalent to about one seat switching from single-member district to at-large in a council of 18 seats. At Q3, the same increase of one standard deviation would instead produce an increase of about +6.6 percentage points in the fraction of single-district seats. This would be equivalent to about one seat switching from at-large to single-district in a council of 15 seats. These two estimates appear quantitatively reasonable. In order to evaluate the size of these effects one has to remember that the Voting Rights Act itself imposed limits on how much cities could switch to AL systems30. In other words, without Supreme Court involvement, these effects would have been surely larger, even if possibly not as large as the disenfranchisement of the 1877-1900. The bottom panel shows regression for the sample of Southern cities before the VRA, for the period 1930-197031. Here the coefficients on the size of the minority and its square are statistically zero. This is consistent with our hypothesis that before the Voting Act electoral rules were unaf- fected by the city racial composition, since racial minorities were almost completely disenfranchised. Table 2 presents estimates employing a discrete dependent variable, SD, and a conditional logistic estimator grouping observations at the city level. This specification corresponds to what part of the applied literature calls fixed effects (or conditional) logit model. The implications of Table 1 carry over to this specification consistently with the predictions of Proposition 1. Given that the likelihood contributions of cities which do not change their electoral rule are zero, the number of observations is smaller than in Table 1. For what follows we prefer to limit ourselves to the analysis of the continuous variable SDshare given the greater flexibility allowed by the continuity of the dependent variable. Time persistence is an important characteristic of political systems, therefore we employ a standard dynamic panel technique, through first differencing and application of the Arellano and Bond (1991) GMM estimator, in Table 3 to account for this feature. 30See below for further details. 31 4.1 The choice of electoral rules This procedure has the dual advantage of enriching our basic specification of a dynamic component and addressing the issue of endogeneity of size of the minority through the use of lags of the exogenous variables (the time fixed effects), endogenous variables (city population and fraction of the minority), and the dependent variable. The specification we employ is: SDshareit = SDshareit−1θ + β0 + πitβ1 + (πit)2 β2 + X0 itγ + αi + δt + ηit. 31The panel observation we indicate as 1970 indeed employs information on 1967 ICMA data, matched with 1970 Census demographic variables. We also repeated all the analysis matching the Census with the 1972 ICMA data with very similar results. We opted for 1967 because of better coverage and vicinity to 1965, the actual date of enactment of the bill. 23 Together with a significant autoregressive component (θ about 0.3 in column (1), panel a) the first three columns show the same patterns of coefficients on the share of minority variable as Table 1. The minimum in this U curve is reached at a fraction of the minority of about 33.8 percent. The coefficients β1 and β2 for the size of the minority are in the same order of magnitude of our previous results in Table 1, but about two times larger (β1 = −1.644 and β2 = 2.645 in column (1) with one-step robust standard error respectively 0.712 and 1.002). Quantitatively a stronger result, this would imply a change of 1 seat from single-district to at-large in a council of 9 at Q1 (about −11.27 percentage points) and a change of 1 seat from at-large to single-district in a council of 10 at Q3 (about +9.97 percentage points). Again we also find no significant role for racial composition in the pre-Voting Rights South (panel b). Finally, we need to note that due to the lag requirements of the model, we find ourselves confined to a smaller sample (especially for the all US sample, which is limited to the post-1980 period and for which we can employ at most one lagged difference). The specification checks for the dynamic model are reported at the bottom of each panel of Table 3. 4.1 The choice of electoral rules For Columns (1) and (2) the second order serial correlation p-values of the one-step procedure does not raise concerns over the validity of the instrument set, but the overidentification test’s p-value obtained from the GMM two-step procedure seems low (although not granting rejection at any confidence level for the South and not at 5 percent for all US) given the low-power properties of such tests. However, the consistency of the standard linear model and this simple dynamic extension are source of reassurance. 4.2 Additional nonparametric evidence on the choice of electoral rules Simple nonparametric evidence supports the main prediction of the model as well. We expect to observe two basic regularities in the data. First, the slope of a within regression of the single- district variable on the fraction of the minority (or the fraction of blacks) should be increasing in subsamples where the average minority size is increasingly higher. Second, we would expect statistically significant coefficients of negative sign to appear at relatively small values of the fraction of the minority (where the downward-bending part of the U−shaped parabola is steeper) and statistically significant coefficients of positive sign to appear at relatively large values of the fraction of the minority (where the upward-bending part of the U−shaped parabola is steeper). A flat and insignificant relationship should appear in the middle range. We borrow a simple modification of locally weighted scatterplot smoothing (lowess) from Imbs and Wacziarg (2003) and run a series of within-city regressions in the relevant interval of minority sizes π ∈[0.05, 0.55] employing a symmetric bandwidth of half a cross-sectional standard deviation of minority size (17/2 = 8.5 24 percent). Again we focus on the South of the United States for the period post- and pre-1967. Specifically for each subsample we estimate: SDshareit = β0 + πitβ1 + αi + δt + ηit. At increments of 1/5 of a percentage point of minority fraction (i.e. 0.002) we register the within- city slope (β1) and its t-statistic. We then regress the estimated slopes and the t-statistics against the corresponding mid-sample fraction of the minority. In both regressions a positive coefficient on the mid-sample fraction of the minority would confirm each of the two hypotheses discussed above. Table 4 reports results for both post- and pre-1967 for non-white minorities and confirms our predictions. At increments of 1/5 of a percentage point of minority fraction (i.e. 0.002) we register the within- city slope (β1) and its t-statistic. We then regress the estimated slopes and the t-statistics against the corresponding mid-sample fraction of the minority. In both regressions a positive coefficient on the mid-sample fraction of the minority would confirm each of the two hypotheses discussed above. Table 4 reports results for both post- and pre-1967 for non-white minorities and confirms our predictions. As expected, coefficients move from being prevalently negative at low levels of π32 to being prevalently positive at higher levels of π (around 1/2). 33Bounds for the intervals of π are chosen to divide in three equal parts the support for the downward, flat, and upward part of the curve. 32Notice that flats at low values of π are justified by the relative equivalence of at-large and single-district rules in cases where minorities would not gain representation under any of the two rules. 35Very few cities for the all US sample present representational ratios of minorities of more than 1, indicating over-proportional representation. Even less of them are present in the South. In order to limit the role of these outliers we limit the representational ratio to be smaller than 5. 4.2 Additional nonparametric evidence on the choice of electoral rules Over the interval33 π ∈[0.05, 0.22] the average coefficient for nonwhites in the post-1967 South is equal to −0.601 and gives an estimate that is larger but comparable to the effect of the parametric estimate at Q1 (for an increase of 16 percent the change in single-district is −0.102 versus −0.0556 of the F.E. parametric model and −0.1127 of the dynamic panel); the same holds for the average coefficient in the interval π ∈[0.38, 0.55] (β1 = 0.857) comparable to the parametric effect at Q3 (0.145 versus 0.0660 in the F.E. model and 0.0997 in the dynamic panel). A within regression in such small subsamples (due to the small bandwidth) is demanding, but nonetheless the main nonlinearity is detectable. However, we detect large fluctuations in the coefficients due to the varying (and small) number of changes in electoral rules in each subsample. We observe relatively larger (in absolute value) t-statistics mostly around the extrema of the interval of minority sizes (negative at low levels of π and positive at large levels of π) and generally insignificant results otherwise. Finally, a nonparametric illustration of the U−shaped relation between single-member district rule and the fraction of the minority is presented in Figure 4. We report graphically the predicted values of a locally weighted regression with a chosen bandwidth of 0.8 and of 0.3. The regressions employ as dependent variable the residuals from column (2), Table 1, for the post-1970 sample in order to partial out between variation. This additional nonparametric evidence confirms what reported in Table 4 and the basic nonlinearity of the model. As expected, the locally weighted regression with the smaller bandwidth presents a less smooth picture than what predicted by the 25 regressions with the higher bandwidth, but both follow quite closely the fitted parametric parabola. Only for ranges of minority sizes larger than 50 percent the picture is less clear, both because of the small frequency of data points and because the predictions of the model could be reversed in this range of data34. 34Unfortunately the scarcity of observations precludes the possibility of testing for a symmetric “ω” in the proper minority-majority part of the graph (i.e. π > .5). 4.3 Electoral rules and minority representation Our basic story holds that electoral rules affect the ratio of minorities elected differently. This is the reason why the constitutional writers choose different rules in the first place. Crucially, the ratio of non-white council members should display dependence on the electoral rules in order for the fundamental tenet of our analysis to be verified. Moreover, different rules should have different effects on minority representation at different minority sizes. By quantitatively documenting the correlation between electoral rules and minority representation, in this section we provide evidence that both statements are verified by the data and that the estimated effects move in the direction our model presumes and rationalizes. The representational ratio (RR) is the fraction of minority councilmen in a council divided by the fraction of the population that belongs to the minority and is available for our all-US cities sample in year 1980, 1990, and 200035. A large number of empirical political scientists have employed the representational ratio as the typical measure of the degree of “proportionality” of an electoral system (i.e. if composition of population racial group maps one-to-one into the racial composition of the legislative body). We regress RR on our variable of interests, the single-district rule variable. Table 5 reports the results. The null hypothesis that the electoral rule adopted by a city has no association with the representational ratio is soundly rejected in both a pooled cross-sectional regressions (Panel a) and in fixed-effect regressions in which time invariant city- specific unobserved heterogeneity is accounted for (Panel b). All specifications include year fixed effects and a set of standard controls for city size (log population) and income levels (log household median income in 1990 dollars) and we apply the same clustering as Table 1. Looking at columns (1) and (2) for the South and (3) for the whole country, single-district rules substantially increase the chance of minorities to be proportionally represented at the municipal level. Recalling that the fraction of single-district seats, SDshare, is defined over the [0, 1] interval, our results in column 26 (1) imply an average increase in the RR of the city council between 13 (in panel a) and 35.4 (in panel b) percentage points from switching from a fully at-large rule to a fully single-district rule36. 4.3 Electoral rules and minority representation This is a quantitatively substantial effect: each black or minority vote has something less than 1/3 more weight in terms of electoral representation under single-district than under at-large elections. Both our cross-sectional and fixed-effect analysis provide quantitatively similar evidence and, as one would expect, such results are quantitatively stronger in the more segregated South. Finally, let us note that the correlations presented in columns (1)-(3) identify a causal effect of the electoral rule on the representational ratio only under the strong exclusion restriction that the fraction of the minority does not have an independent effect on RR. In columns (4)-(7) we provide evidence that the impact of the single-district rule on the repre- sentational ratio is actually non-monotonic in the size of the minority by including an interaction of the single-district variable and the fraction of non-whites. The size of the non-white group is included in order to account for any direct effect of the fraction of the minority on the representa- tional ratio and to avoid attributing such direct effect to the interaction term. Moreover this allows us to relax the strong exclusion restriction of columns (1)-(3). At low levels of minority size both at-large and single-district should be indistinguishable in warranting representation: minority are just too small to achieve representation under any rule. However, as the minority size increases single-district will offer better chances of representation to geographically segregated minorities vis-a-vis at-large. Such effect will diminish, however, when the minority becomes so large that some district votes (those beyond simple majority in the district) will be wasted. This implies that the sign of the coefficient should be negative on the interaction term. In panel a) columns (4)-(7) present interactions with the predicted sign that are significant at standard confidence lev- els and reject the absence of a non-monotonicity. Moreover, single-district maintains his expected positive effect, while the fraction of minority has a positive coefficient. The picture in the fixed effect analysis in panel b) is less clear, primarily because the required variation in the data is a contemporaneous change over three dimensions: electoral rules, fraction of minorities, and number of minority councilmen. Albeit our data set is rich, this requirement is probably too stringent. We are not the first to observe that at-large election favors the white majority and our results are consistent with a substantial body of Political Science literature on the matter. 36Virtually identical results are obtained when we define the left hand side as fraction of non-white concilpersons over the fraction of non-white population. We use specifically the black group in order to make our results more comparable with the previous literature. 4.3 Electoral rules and minority representation For instance Amy (2002) writes that “the system of voting in at-large elections often makes it virtually impossible for minority candidates to get elected. At-large elections require candidates to get a majority or 36Virtually identical results are obtained when we define the left hand side as fraction of non-white concilpersons over the fraction of non-white population. We use specifically the black group in order to make our results more comparable with the previous literature. 27 plurality of the vote to win, which usually allows a white majority to take all seats and to deny minorities any representation at all.” (p. 150) 37. Sass and Pittman (2000) also provide panel data evidence on the effect of electoral rule on minority representation reporting a representational ratio differential of 36 percent, quite comparable with our linear estimates. Our results extend to more recent data and a substantially larger sample of cities. We are not aware of previous empirical studies pointing at the non-monotonicity in the effect of single-district rules on minority representation. y ( ) 38Information concerning objected changes can be found in the motivation letters available at http://www.usdoj.gov/crt/voting/sec_5/obj_activ.htm. 37For similar views see Berry and Dye (1987). For empirical cross-sectional analysis see Karning and Welch (1982), also cited in Amy (2002). 4.4 The Voting Rights Act and electoral rules This section investigates further how the Voting Rights Act imposes a constraint on the constitu- tional choice of the white majorities. The Voting Rights Act not only removes (and has removed) obstacles to minority voting registration. Any jurisdiction covered under Section 5 of the Voting Rights Act has the duty of obtaining pre-clearance for any change concerning voting from the office of the Attorney General through the Department of Justice or the United States District Court for the District of Columbia. Every change proposed is individually reviewed from the Department of Justice and cleared38 “if the change does not lead to a retrogression in the position of minority voters with respect to the effective exercise of the electoral franchise”. Case by case clearance is based on the study of the most recent Census and electoral data available and through interviews to concerned parties. The implementation (both by Law and through the Courts) of the Voting Rights Act has been extremely successful, but it is hard to presume it has been perfect and definitive. The very fact that the VRA has been repeatedly renewed over time indicates that pressures towards distortion of voting institutions are still present and perceivable (the VRA is due for renewal in 2007). Riker (1984) offers a brilliant account of a camouflaged litigation in a council-manager redistricting dis- pute (albeit in a different legal context), an example of how political institutions may still be distorted in favor of an incumbent majority even in such situations. We believe our analysis de- tects such pressure in the form of systematic strategic changes in electoral rules under the current legal constraint. The estimated dimension of the changes detected seems not so large to lead to a severe under-representation of blacks. Severe under-representation would raise legal highbrows and court challenges and, ultimately, legally-imposed changes in the electoral rule (we exclude known 28 instances of this type from our analysis). instances of this type from our analysis). It is relevant to investigate how our results would change depending on the VRA coverage. We first investigate how the sample moments of the data evolve over time in fully and partially covered States. Then we repropose Table 1 results conditional on VRA coverage. 40The mayor-council form of government consists of an at-large elected mayor (the executive branch) and a legisla- tive branch, the council of councilmen (or aldermen), elected by ward, at-large, or a mix of both rules. The mayor acts as chief executive officer of the city. Mayor’s powers vis-a-vis the council vary within this typology of government. Typically we have two variants, weak-mayor and strong-mayor. The council-manager form of government consists of a legislative branch, the council, which selects and supervises a professional administrator, the city manager. The manager is in charge of the implementation of the policy and day-to-day municipal administration and can be removed or fired by the council at will. 4.4 The Voting Rights Act and electoral rules Table 6 reports median values for ethnic fragmentation, fraction of blacks, and fraction of non-white minority for 10 years intervals between 1970 and 2000 in the South for States fully and partially covered by the VRA. Notice that the basic non-monotonicity in the choice of electoral rules is present. At the median cities changing electoral rule in each of the 1970-80, 1980-90, 1990-2000 decades experience an increase in the size of racial minorities. However, cities decreasing in the fraction of single-member district councilmen tend to have smaller minorities than cities increasing in single-district rule. This appears consistent with our previous findings and indicates some degree of manipulation of the electoral rule in the VRA-covered States. Finally, the coverage on the Voting Rights Act is endogenous: the loci of greater potential conflict are those to which the VRA applies in full coverage. They are also the ones where the effects we detect are clearer. Table 7 reproduces the post-VRA result of Tables 1 and 3 for those cities belonging to fully VRA-covered States and shows, especially for the basic panel model, greater significance and quantitatively larger coefficients. In column (2), panel a), the linear coefficient increases of about 48 percent, the quadratic 18 percent vis-a-vis the benchmark reported in column (1). At Q1, given estimated coefficients in column (2) of −1.307 and 1.781 (with clustered standard errors respectively 0.393 and 0.558), an increase of one standard deviation of minority sizes (16 percent) implies a reduction of −10.79 percentage points of the fraction of single-district seats. This is equivalent to almost one seat switching from single-member district to at-large in a council of 9 seats. At Q3 the increase of one standard deviation would produce an increase of about +3.514 percentage points in the fraction of single-member district seats. There also seems to be some evidence that the Voting Rights legislation has been progressively more effective in detecting strategic electoral manipulation. The estimated coefficients for column (2) in Table 7 for the period 1970-80 only are −1.314 and 2.409 respectively for the linear and quadratic term. The same estimates drop to −0.401 and 0.192 when restricting the sample to the period 1980-90 and to −0.589 and 0.876 for the period 1990-2000. Note however that these results should be considered with caution, as all estimates are not statistically significant for the subsamples considered. 29 4.5 Form of government For given council composition, there is anecdotal evidence that the form of government may play a role as well in the enfranchisement of minorities. The two main forms, mayor-council and council- manager, differ with respect to the role of the mayor as the pivot of the executive body (stronger in the first instance). Our model is not centered on the role of form of government39 but in this section we briefly review empirical evidence which may be per se relevant. In cities where the white voters hold a solid majority and are almost sure of electing a white mayor, they may prefer a strong mayor form of government. On the other hand, in cities with a closer fifty-fifty split, the white constitutional writers may prefer a council-manager form of government to avoid the risk of ending with a black strong mayor. The following quote from an editorial from a newspaper targeted to Hispanics in San Diego (La Prensa, April 24, 2004) is an example of how the form of government may enter the picture. In discussing proposed changes in the charter of the city of San Diego, the editorial concludes that “For Hispanics having a strong mayor form of government does not bode.... well for this community. Putting so much power into one person’s hands....translates into control by Republican right wings. Regardless of the changing demographics, i.e. the continual growth of the Hispanic, Asian, Filipino, black community political representation in the city of San Diego will be held by a diminishing number of white ...citizens.” A relatively weak council hardly exercises any effective check on executive powers. A powerful council plays exactly the opposite role in council-manager structures. We consider two “form of government” indexes increasing in the power of the executive. The first index, indicated as FOG, takes the value of 1 for mayor-council, 0 for council-manager and -1 for Commission or Representative Town Meeting or Town Meeting. 39See our discussion in the extensions of the basic model. 4.5 Form of government The second index, indicated as SIND, is constructed as increasing function of provisions strengthening the executive (like mayor-council and veto power) and decreasing in provisions weakening the executive (for example, recall).40 A strong mayor could be preferred by the charter writers as long as their position as majority of the city is strong, but a strong mayor is relatively riskier whenever minorities are large 40The mayor-council form of government consists of an at-large elected mayor (the executive branch) and a legisla- tive branch, the council of councilmen (or aldermen), elected by ward, at-large, or a mix of both rules. The mayor acts as chief executive officer of the city. Mayor’s powers vis-a-vis the council vary within this typology of government. Typically we have two variants, weak-mayor and strong-mayor. The council-manager form of government consists of a legislative branch, the council, which selects and supervises a professional administrator, the city manager. The manager is in charge of the implementation of the policy and day-to-day municipal administration and can be removed or fired by the council at will. 30 enough. At that point the more collegial council-manager form could be employed (given that whites could still be able to seat in the council). Therefore, to be congruent with our results on electoral rule, we would expect a positive coefficient on the size of the minority and perhaps a negative quadratic term in a regression where form of government is the dependent variable. Table 8 is organized as Table 1, a two-way panel model, while Table 9 mirrors Table 3, a dynamic panel model. Both Tables employ FOG as dependent variable. Table 10 instead presents the static panel model for SIND41. These Tables suggest a blurred picture. The coefficient of size of the minority in the post-1967 sample has the expected sign only in a limited subset of regressions in Table 10, but never in Tables 8 and 9. Moreover, the coefficient on ethnic fractionalization is not statistically significant in most specifications for the South (or it is at 10 percent, but with the wrong sign). This same coefficient is insignificant (in fact very close to zero and switching sign) in the pre-1967 sample. The explanation for the wrong signs has often to do with the correlation between form of government and electoral rule (council-manager forms tend to employ at-large elections). 4.5 Form of government Surely, further analysis of this issue (especially the institutional complementarity between form of government and electoral rule) is necessary, but on a first approximation it would appear that electoral rules more than forms of government respond to the racial composition of a city. Not surprisingly perhaps: electoral rules are the intuitive first line of defense against extensions of the democratic franchise. 41The lack of pre-1980 observations for most components of SIND limit our analysis to the simple static model. 5 Conclusions Electoral rules are endogenous and evolve relatively quickly in response to changing underlying conditions. Minority representation depends on the ability of a majority bloc to adapt institutions to changing conditions and guaranteeing its supremacy. The experience of voting rights and electoral institutions in US cities, particularly in the South, is illuminating. Before the Voting Rights Act of 1965, racial minorities were essentially disenfranchised in the US South. Therefore, the type of electoral institutions were irrelevant in determining the level of control of the white majority: a level of control that was almost absolute. The Voting Rights Act allowed racial minorities to enter into the political arena. The white majorities reacted, within the legal boundaries of the Voting Rights Act, by changing electoral rules as to minimize expected minority influence. 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[36] Strumpf, S. [38] Wilson,William J. (1996) When Work Disappear: The World of the New Urban Poor (Knopf, New York, NY) References Koleman and Felix Oberholzer-Gee (2002) “Endogenous Policy Decentralization: Testing the Central Tenet of Economic Federalism” Journal of Political Economy, 110, Febru- ary, 1-36. [37] Voigt, Stefan (1997) “Positive Constitutional Economics: A Survey” Public Choice, 90, March,11-53. [38] Wilson,William J. (1996) When Work Disappear: The World of the New Urban Poor (Knopf, New York, NY) 34 6 Appendix: Proofs of Propositions Proof of Proposition 1 Part (a) is straightforward. For part (b) consider that: LAL W = 0 < LSD W if π ∈ µ1 3 −α 6 , 1 2 −α 6 ¶ ; and LAL W and LSD W are both linear increasing in π for π ∈ ¡1 2 −α 6 , 1 3 ¢ .At π = 1 3, we may have two cases. Case 1: it holds that µ ¶ and LAL W and LSD W are both linear increasing in π for π ∈ ¡1 2 −α 6 , 1 3 ¢ .At π = 1 3, we may have two cases. Case 1: it holds that µ 1 ¶ LAL W = µ 1 −1 α ¶ ∆> LSD W = δ and hence the existence of a unique cut-offbπ ∈ ¡1 2 −α 6 , 1 3 ¢ with the desired properties. Case 2: ∆ µ 1 −1 α ¶ ≤δ and ∆> δ. ∆ µ 1 −1 α ¶ ≤δ and ∆> δ. For π ∈ ¡ 1 3, 1 2 ¢ the loss LAL W is linear increasing in π and LSD W is constant at δ. Hence the existence of a unique cut-offbπ ∈ ¡1 3, 1 2 ¢ in this case. Finally, to establish part (c) consider that for any π between 0 and 1 2, we have: LSD W ≥LAL W LSD W ≥LAL W since here ∆= δ and since here ∆= δ and since here ∆= δ and µ 1 −2 α(1 −3π)+ ¶+ ≥ µ 1 −3 α(1 −2π) ¶+ . (8) (8) At π = 1 2 (8) holds with equality. This establishes the proposition. At π = 1 2 (8) holds with equality. This establishes the proposition. At π = 1 2 (8) holds with equality. This establishes the proposition. Proof of Proposition 3 Proof of Proposition 3 Define N1/N = n1 and ρ = NTOT/N. Normalize u(0) = 0. The expected utility of a pure AL s: = n1 and ρ = NTOT/N. Normalize u(0) = 0. The expected utility of a pure AL Define N1/N = n1 and ρ = NTOT/N. Normalize u(0) = 0. The expected utility of a pure AL s: : is: UAL W = Pr(α < X)u(1), where X (π) = N (1 −2π) . 6 Appendix: Proofs of Propositions The probability under a single-member district system of winning type-2 districts 1, 2, ..., N2 f W i The probability under a single-member district system of winning type-2 districts 1, 2, ..., N2 for W is: for W is: Pr µ α < (1 −2πN/N2) f ¶ Pr µ α < (1 −2πN/N2) f ¶ With constant f = 1/N2 indicate Y (π) = (1−2πN/N2)+ f = (N2 −2πN)+ . Then the expected utility of pure SD for given π is: µ f ¶ With constant f = 1/N2 indicate Y (π) = (1−2πN/N2)+ f = (N2 −2πN)+ . Then the expected utility of pure SD for given π is: µ ¶ With constant f = 1/N2 indicate Y (π) = (1−2πN/N2)+ f = (N2 −2πN)+ . Then the expected utility of pure SD for given π is: With constant f = 1/N2 indicate Y (π) = (1−2πN/N2)+ f = (N2 −2πN)+ . Then the expected utility of pure SD for given π is: of pure SD for given π is: USD W = Pr(α > Y )u(n1) + Pr(α < Y )u(1). 35 Notice that X (π) > Y (π) , ∀π. Notice that X (π) > Y (π) , ∀π. Consider the value of π∗at which the expected share of seats won by W is the same under pure AL and pure SD. For any π < π∗, AL is actuarially more favorable than SD. If W is risk averse, the ˆπ at which USD W = UAL W lays in the interval ¡ πAL 0 , π∗¢ , since AL is a riskier electoral rule. A unique point ˆπ always exists as a consequence of Part b) of Proposition 2. It follows that USD W = UAL W (9) ( ) USD W = UAL W (9) =⇒ Pr(α > Y ) = Pr(Y < α < X) u(1) u(n1), (9) = UW (9) =⇒ Pr(α > Y ) = Pr(Y < α < X) u(1) u(n1), where Pr(α > Y ) = 1 −(N2 −2πN)+ /α Pr(Y < α < X) = N1/α Hence (9) implies that at ˆπ : u(1) u(n1) = α N1 −1 N1 (N2 −2ˆπN)+ < α N1 < N N1 (10) (10) A risk averse W will always accept at least a small amount of risk that is actuarially favorable. 6 Appendix: Proofs of Propositions Therefore, at ˆπ W will prefer a mixed system to a pure SD rule. A risk averse W will always accept at least a small amount of risk that is actuarially favorable. Therefore, at ˆπ W will prefer a mixed system to a pure SD rule. To see this, define the number of SD councilmen per district ρ and consider the problem of W for π = ˆπ : for π = ˆπ : max ρ © UMX W (ρ) ª subject to 0 ≤ρ ≤ρ. subject to 0 ≤ρ ≤ρ. ct to 0 ≤ρ ≤ρ. ted utility of a mixed system MX for given π is: The expected utility of a mixed system MX for given π is: UMX W = Pr(α > X)u(ρn1/ρ) + Pr(Y < α < X)u ¡¡ ρn1 + ρ −ρ ¢ /ρ ¢ (11) + Pr(α < Y )u(1) (11) By using the expression in (11) and allowing ρ to take continuous values the FOC for the problem is: By using the expression in (11) and allowing ρ to take continuous values the FOC for the problem is: is: Φ(ρ) = 1 ρ £ n1 Pr(α > X)u0(ρn1/ρ) −(1 −n1) Pr(Y < α < X)u0 ¡¡ ρn1 + ρ −ρ ¢ /ρ ¢¤ . Consider Φ(ρ) at π = ˆπ : (ρ) = 1 ρ £ n1 Pr(α > X)u0(ρn1/ρ) −(1 −n1) Pr(Y < α < X)u0 ¡¡ ρn1 + ρ −ρ ¢ /ρ ¢¤ . Φ(ρ) = Pr(Y < α < X) ρN ∗ ∙ N1 µ u(1) u(n1) −1 ¶ u0(ρn1/ρ) −N2u0 ¡¡ ρn1 + ρ −ρ ¢ /ρ ¢¸ . (12) 36 where we use the fact that Pr(α > X) = Pr(α > Y ) −Pr(Y < α < X) and condition (9). We are interested in evaluating (12) at ρ = ρ : Φ(ρ = ρ) = Pr(Y < α < X) ρN u0(n1) ∙ N1 µ u(1) u(n1) −1 ¶ −N2 ¸ . (13) (13) By replacing in (13) the expression in (10) we can see that the FOC is strictly negative at ρ = ρ. This is because the element in brackets in (13) is strictly negative by (10): N1 u(1) u(n1) −N < 0. This excludes that W will choose a pure SD system. 6 Appendix: Proofs of Propositions 37 Figure 1 Figure 1 0 0.05 0.1 0.15 0.2 0.25 0.3 0.35 0.4 0.45 0.5 -0.2 0 0.2 0.4 0.6 0.8 1 1.2 Size of minority 0 ≤ π ≤ 1/2 Expected Loss Expected loss under different electoral rules as function of π ← π0 AL π0 SD→ ∆ δ At-Large Single-member District Figure 2 0 0.05 0.1 0.15 0.2 0.25 0.3 0.35 0.4 0.45 0.5 0 0.1 0.2 0.3 0.4 0.5 0.6 0.7 0.8 0.9 1 Size of minority 0 ≤ π ≤ 1/2 SD share Choice of SD seats share as function of π Model-generated SD share quadratic 0 0.05 0.1 0.15 0.2 0.25 0.3 0.35 0.4 0.45 0.5 -0.2 0 0.2 0.4 0.6 0.8 1 1.2 Size of minority / Expected Loss Expected loss under different electoral rules as function of π ← π0 AL π0 SD→ ∆ δ At-Large Single-member District Expected loss under different electoral rules as function of π Expected loss under different electoral rules as function of π Expected Loss Size of minority 0 ≤ π ≤ 1/2 Size of minority Figure 2 0 0.05 0.1 0.15 0.2 0.25 0.3 0.35 0.4 0.45 0.5 0 0.1 0.2 0.3 0.4 0.5 0.6 0.7 0.8 0.9 1 Size of minority 0 ≤ π ≤ 1/2 SD share Choice of SD seats share as function of π Model-generated SD share quadratic Choice of SD seats share as function of π Choice of SD seats share as function of π Model-generated SD share quadratic Size of minority 0 ≤ π ≤ 1/2 Size of minority 0 ≤π≤1/2 Size of minority Figure 3 Figure 3 Figure 4 -.05 0 .05 .1 .15 e( SD share|Log(Pop),City-Year F.E. 6 Appendix: Proofs of Propositions Since at ˆπ USD W is not the optimum and USD W = UAL W , then a pure AL rule cannot be an optimum either. This implies W will choose a mixed system with ρ 6= 0, ρ 6= ρ. Finally, by continuity in a neighborhood (π3, π4) of ˆπ the same must hold. This excludes that W will choose a pure SD system. Since at ˆπ USD W is not the optimum and USD W = UAL W , then a pure AL rule cannot be an optimum either. This implies W will choose a mixed system with ρ 6= 0, ρ 6= ρ. Finally, by continuity in a neighborhood (π3, π4) of ˆπ the same must hold. This establishes the proposition. 6 Appendix: Proofs of Propositions ) 0 .2 .4 .6 .8 1 Size of minority Locally Weighted Regression, bdw=0.8 Fitted Quadratic Locally Weighted Regression, bdw=0.3 Quadratic and Locally Weighted Regressions 0 0.05 0.1 0.15 0.2 0.25 0.3 0.35 0.4 0.45 0.5 0 0.2 0.4 0.6 0.8 1 1.2 1.4 Size of minority 0 ≤ π ≤ 1/2 Expected Utility Expected utility under different electoral rules as function of π Mixed system At-Large Single-member District 0 0.05 0.1 0.15 0.2 0.25 0.3 0.35 0.4 0.45 0.5 0 0.2 0.4 0.6 0.8 1 1.2 1.4 Size of minority 0 ≤ π ≤ 1/2 Expected Utility Expected utility under different electoral rules as function of π Mixed system At-Large Single-member District -.05 0 .05 .1 .15 e( SD share|Log(Pop),City-Year F.E. ) 0 .2 .4 .6 .8 1 Size of minority Locally Weighted Regression, bdw=0.8 Fitted Quadratic Locally Weighted Regression, bdw=0.3 Quadratic and Locally Weighted Regressions Quadratic and Locally Weighted Regressions Quadratic and Locally Weighted Regressions Table I Size of Minority and City Electoral Rule: Within-city variation Estimator: Fixed Effects Fixed Effects Fixed Effects Fixed Effects Fixed Effects Fixed Effects Sample: South South, Cities > 2500 South South All U.S. All U.S. Panel (a): Post 1967 Dependent variable: Fraction of councilmen elected by district (1) (2) (3) (4) (5) (6) Frac. Minority -0.885 -0.943 -0.877 -0.818 -0.565 -0.453 [0.308]*** [0.313]*** [0.308]*** [0.325]** [0.198]*** [0.195]** (Frac. Minority)^2 1.514 1.819 1.532 1.385 0.964 0.777 [0.475]*** [0.491]*** [0.478]*** [0.462]*** [0.279]*** [0.263]*** Log(City Population) 0.002 0.015 -0.007 -0.017 0.013 -0.003 [0.038] [0.039] [0.041] [0.043] [0.023] [0.025] Log(Median Income) 0.056 0.022 0.011 [0.093] [0.100] [0.054] State trend Included Included Observations 4011 3723 4010 4010 12413 12412 Number of cities 1914 1746 1914 1914 6526 6526 R-squared 0.71 0.71 0.71 0.74 0.84 0.86 Panel (b): Pre 1967 Dependent variable: Fraction of councilmen elected by district (1) (2) (3) (4) Frac. Minority 0.421 0.584 1.233 1.136 [0.548] [0.858] [1.287] [1.276] (Frac. Minority)^2 -0.439 -0.754 -1.722 -1.958 [0.638] [1.385] [1.932] [1.941] Log(City Population) 0.017 0.021 0.084 0.095 [0.041] [0.041] [0.058] [0.060] Log(Median Income) -0.113 -0.058 [0.065]* [0.061] State trend Included Observations 2388 2382 2041 2041 Number of cities 968 964 966 966 R-squared 0.71 0.71 0.73 0.76 Notes: Standard errors in brackets below coefficients. * significant at 10%; ** significant at 5%; *** significant at 1%. In panel (a) and (b) standard errors are clustered at the city level. All regressions include year fixed effects. ignificant at 1%. In panel (a) and (b) standard errors are clustered at the city level. All regressions nclude year fixed effects. Panel (a) covers the period 1970-2000. Panel (b) covers the period 1930-1970 Notes: Standard errors in brackets below coefficients. * significant at 10%; ** significant at 5%; *** i ifi 1% I l ( ) d (b) d d l d h i l l All i g p ( ) ( ) y g nclude year fixed effects. Panel (a) covers the period 1970-2000. Panel (b) covers the period 1930-1970. 6 Appendix: Proofs of Propositions Panel (a) covers the period 1970-2000. Panel (b) covers the period 1930-1970. Table I Size of Minority and City Electoral Rule: Within-city variation Size of Minority and City Electoral Rule: W significant at 1%. In panel (a) and (b) standard errors are clustered at the city level. All regressions include year fixed effects. Panel (a) covers the period 1970-2000. Panel (b) covers the period 1930-1970. Table II Table II Size of Minority and City Electoral Rule: Within-city variation Estimator: Condition- al Logit Condition- al Logit Condition- al Logit Condition- al Logit Condition- al Logit Sample: South South, Cities > 2500 South South All U.S. Panel (a): Post 1967 Dependent variable: Single district elections (1) (2) (3) (4) (5) Frac. Minority -11.422 -11.604 -11.288 -5.184 -8.476 [3.459]*** [3.503]*** [3.458]*** [4.890] [2.674]*** (Frac. Minority)^2 23.753 24.318 23.842 19.253 18.359 [5.574]*** [5.660]*** [5.574]*** [7.481]** [4.214]*** Log(City Population) 0.486 0.491 0.389 0.016 0.193 [0.430] [0.437] [0.436] [0.626] [0.289] Log(Median Income) 0.778 0.695 [0.933] [1.335] State trend Included Observations 641 620 641 641 1305 Number of cities 214 205 214 214 493 Panel (b): Pre 1967 Dependent variable: Single district elections (1) (2) (3) (4) Frac. Minority 10.805 10.805 10.345 11.631 [6.815] [6.815] [7.416] [9.969] (Frac. Minority)^2 -12.233 -12.233 -12.177 -19.614 [10.265] [10.265] [10.992] [14.690] Log(City Population) -0.068 -0.068 0.453 0.865 [0.422] [0.422] [0.501] [0.772] Log(Median Income) -1.753 -1.698 [0.967]* [1.407] State trend Observations 529 529 404 404 Number of cities 163 163 147 147 Notes: Standard errors in brackets below coefficients. * significant at 10%; ** significant at 5%; *** significant at 1%. All regressions include year fixed effects. Panel (a) covers the period 1970-2000. Panel (b) covers the period 1930-1970. Size of Minority and City Electoral Rule: Within-city variation Size of Minority and City Electoral Rule and City Electoral Rule: Within-city variation g g at 5%; *** significant at 1%. All regressions include year fixed effects. Panel (a) covers the period 1970-2000. Panel (b) covers the period 1930-1970. Table III Table III Size of Minority and City Electoral Rule: Within-city variation Estimator: Arellano-Bond GMM Arellano-Bond GMM Arellano-Bond GMM Sample: South South, Cities > 2500 All U.S. Panel (a): Post 1967 Dependent variable: Fraction of councilmen elected by district (1) (2) (3) Lag Single District 0.313 0.311 0.29 [0.056]*** [0.055]*** [0.057]*** Frac. Minority -1.644 -1.654 -2.113 [0.712]** [0.724]** [0.635]*** (Frac. Notes: Robust standard errors in brackets below coefficients. * significant at 10%; ** significant at 5%; *** significant at 1%. Lag Single District is the the first lag of the dependent variable. All regressions include year fixed effects. Panel (a) covers the period 1970-2000. Panel (b) covers the period 1930-1970. Both ethnic fractionalization and population are treated as endogenous variables. The maximum number of lags used for instrumenting them is 2. 6 Appendix: Proofs of Propositions Minority)^2 2.649 2.822 1.838 [1.002]*** [0.972]*** [0.706]*** Log(City Population) -0.342 -0.33 -0.538 [0.258] [0.275] [0.236]** Second Ord. Serial Correlation p-value 0.140 0.140 0.196 J test p-value 0.123 0.160 0.021 Observations 1506 1489 2508 Number of cities 797 782 1799 Panel (b): Pre 1967 Dependent variable: Fraction of councilmen elected by district (1) (2) Lag Single District 0.751 0.751 [0.109]*** [0.109]*** Frac. Minority 1.829 1.829 [5.259] [5.259] (Frac. Minority)^2 -3.634 -3.634 [7.928] [7.928] Log(City Population) 0.272 0.272 [0.319] [0.319] Second Ord. Serial Correlation p-value 0.07 0.07 J test p-value 0.997 0.997 Observations 891 891 Number of cities 462 462 Notes: Robust standard errors in brackets below coefficients. * significant at 10%; ** significant at 5%; *** significant at 1%. Lag Single District is the the first lag of the dependent variable. All regressions include year fixed effects. Panel (a) covers the period 1970-2000. Panel (b) covers the period 1930-1970. Both ethnic fractionalization and population are treated as endogenous variables. The maximum number of lags used for instrumenting them is 2. Size of Minority and City Electoral Rule: Within-city variation Table IV Change in slope and t-stat of local within regressions of single-district on fraction of minority (π) over the range of π. Sample: South Slope t-stat (1) (2) post 1967 4.596 2.850 [0.797]*** [0.473]*** South Slope t-stat (1) (2) pre 1967 0.165 0.897 [0.353] [0.926] Notes: Column (1) reports coefficients and standard errors corresponding to regression of locally estimated coefficients of single- district on fraction of minority on the corresponding mid-sample fraction of minority. Column (2) employs the corresponding t-statistic. Robust standard errors are in brackets below coefficients. * significant at 10%; ** significant at 5%; *** significant at 1%. Regressions include a constant (not reported). See text for local sample details. Table IV Change in slope and t-stat of local within regressions of single-district on fraction of minority (π) over the range of π. Sample: South Slope t-stat (1) (2) post 1967 4.596 2.850 [0.797]*** [0.473]*** South Slope t-stat (1) (2) pre 1967 0.165 0.897 [0.353] [0.926] Notes: Column (1) reports coefficients and standard errors corresponding to regression of locally estimated coefficients of single- district on fraction of minority on the corresponding mid-sample fraction of minority. Column (2) employs the corresponding t-statistic. Robust standard errors are in brackets below coefficients. * significant at 10%; ** significant at 5%; *** significant at 1%. Regressions include a constant (not reported). 6 Appendix: Proofs of Propositions See text for local sample details. Table IV Change in slope and t-stat of local within regressions of single-district on fraction of minority (π) over the range of π. Sample: South Slope t-stat (1) (2) post 1967 4.596 2.850 [0.797]*** [0.473]*** South Slope t-stat (1) (2) pre 1967 0.165 0.897 [0.353] [0.926] Notes: Column (1) reports coefficients and standard errors corresponding to regression Notes: Column (1) reports coefficients and standard errors corresponding to regression of locally estimated coefficients of single- district on fraction of minority on the corresponding mid-sample fraction of minority. Column (2) employs the corresponding t-statistic. Robust standard errors are in brackets below coefficients. * significant at 10%; ** significant at 5%; *** significant at 1%. Regressions include a constant (not reported). See text for local sample details. Notes: Column (1) reports coefficients and standard errors corresponding to regression of locally estimated coefficients of single- district on fraction of minority on the corresponding mid-sample fraction of minority. Column (2) employs the corresponding t-statistic. Robust standard errors are in brackets below coefficients. * significant at 10%; ** significant at 5%; *** significant at 1%. Regressions include a constant (not reported). See text for local sample details. Table V Table V City Electoral Rule and Minority Representation: Cross-sectional and Within-city variation Sample: South South, Cities > 2500 All U.S. South South South, Cities > 2500 South (Black only) Panel (a): OLS Dependent variable: Representaional ratio (1) (2) (3) (4) (5) (6) (7) Single-District 0.13 0.125 0.015 0.205 0.169 0.173 0.299 [0.041]*** [0.043]*** [0.018] [0.067]*** [0.068]** [0.071]** [0.069]*** (Single-Distr. * Frac. Min.) -0.333 -0.289 -0.315 -0.38 [0.159]** [0.157]* [0.167]* [0.163]** Frac. Minority 0.802 0.586 0.533 0.824 [0.077]*** [0.081]*** [0.091]*** [0.066]*** Log(City Population) 0.106 0.117 0.102 0.08 0.096 0.108 0.072 [0.015]*** [0.016]*** [0.007]*** [0.014]*** [0.015]*** [0.017]*** [0.012]*** Log(Median Income) -0.362 -0.45 -0.338 -0.254 -0.352 [0.062]*** [0.064]*** [0.021]*** [0.068]*** [0.072]*** Observations 3039 2767 11113 3039 3039 2767 2875 R-squared 0.07 0.08 0.06 0.07 0.08 0.09 0.09 Panel (b): City Fixed Effects Dependent variable: Representaional ratio (1) (2) (3) (4) (5) (6) (7) Single-District 0.354 0.377 0.204 0.298 0.297 0.36 0.221 [0.091]*** [0.081]*** [0.061]*** [0.196] [0.196] [0.174]** [0.163] (Single-Distr. * Frac. Min.) 0.211 0.212 0.063 0.385 [0.472] [0.472] [0.436] [0.420] Frac. 6 Appendix: Proofs of Propositions Minrty(t) 17 0.1825 .1253335 .2545895 Frac. Minrty(t) 30 0.1826 .1275517 .2312641 Subsample Increasing SINGLE DISTRICT Subsample Increasing SINGLE DISTRICT Variable Obs Median [95% Conf. Interval] Variable Obs Median [95% Conf. Interval] Frac. Black(t-10) 65 0.1657 .1039453 .2080752 Frac. Black(t-10) 86 0.1927 .1584294 .2327117 Frac. Black(t) 67 0.1791 .144787 .2106473 Frac. Black(t) 88 0.2000 .1642106 .2602224 Frac. Minrty(t-10) 65 0.2196 .1854808 .2644502 Frac. Minrty(t-10) 86 0.2299 .2097406 .2767364 Frac. Minrty(t) 67 0.2568 .2300964 .2818591 Frac. Minrty(t) 88 0.2726 .2359458 .3136792 Period 1990-2000 Voting Rights Act - South States fully covered Voting Rights Act - All South States with some coverage Subsample Decreasing SINGLE DISTRICT Subsample Decreasing SINGLE DISTRICT Variable Obs Median [95% Conf. Interval] Variable Obs Median [95% Conf. Interval] Frac. Black(t-10) 18 0.1136 .0628309 .255522 Frac. Black(t-10) 21 0.1791 .0732573 .2642068 Frac. Black(t) 20 0.1760 .0598381 .2968652 Frac. Black(t) 23 0.2400 .0882167 .3533759 Frac. Minrty(t-10) 18 0.2554 .2146877 .3557325 Frac. Minrty(t-10) 21 0.2613 .2340239 .3530408 Frac. Minrty(t) 20 0.2951 .2291953 .3703512 Frac. Minrty(t) 23 0.3241 .2464538 .4250296 Subsample Increasing SINGLE DISTRICT Subsample Increasing SINGLE DISTRICT Variable Obs Median [95% Conf. Interval] Variable Obs Median [95% Conf. Interval] Frac. Black(t-10) 42 0.1813 .1063943 .2678239 Frac. Black(t-10) 61 0.1729 .1219406 .2654401 Frac. Black(t) 46 0.2144 .1339626 .3017227 Frac. Black(t) 67 0.2168 .1495089 .2823543 Frac. Minrty(t-10) 42 0.2757 .2340786 .3207284 Frac. Minrty(t-10) 61 0.2757 .2040158 .3016066 Frac. Minrty(t) 46 0.3231 .2709005 .373635 Frac. Minrty(t) 67 0.3226 .2719806 .3521422 Notes: time period t for each variable refers to the final date of the period (for instance t=2000 for period 1990-2000). States fully covered under the 1975 renewal of the Voting Rights Act are Alabama, Georgia, Louisiana, Mississippi, South Carolina, Texas, and Virginia. Florida and North Carolina are only partially covered. Data exclude cities for which the change in electoral rule was dictated by court mandate or State law. Voting Rights Act - South States fully covered Voting Rights Act - All South States with some coverage Subsample Decreasing SINGLE DISTRICT Subsample Decreasing SINGLE DISTRICT Variable Obs Median [95% Conf. Interval] Variable Obs Median [95% Conf. Interval] Frac. Black(t-10) 18 0.1136 .0628309 .255522 Frac. Black(t-10) 21 0.1791 .0732573 .2642068 Frac. Black(t) 20 0.1760 .0598381 .2968652 Frac. Black(t) 23 0.2400 .0882167 .3533759 Frac. Minrty(t-10) 18 0.2554 .2146877 .3557325 Frac. Minrty(t-10) 21 0.2613 .2340239 .3530408 Frac. Minrty(t) 20 0.2951 .2291953 .3703512 Frac. 6 Appendix: Proofs of Propositions Minority -0.643 -0.579 -0.626 -0.568 [0.380]* [0.380] [0.436] [0.354] Log(City Population) -0.006 0.012 0.072 0.033 0.013 0.04 0.012 [0.097] [0.114] [0.070] [0.096] [0.099] [0.118] [0.103] Log(Median Income) 0.215 0.214 0.000 0.124 0.107 [0.182] [0.202] [0.110] [0.183] [0.207] Observations 3039 2767 11113 3039 3039 2767 2875 Number of cities 1642 1482 6158 1642 1642 1482 1570 R-squared 0.76 0.76 0.71 0.76 0.76 0.76 0.69 Notes: Robust standard errors are in brackets below coefficients. * significant at 10%; ** significant at 5%; *** significant at 1%. Standard errors are clustered at the city level. All regressions include year fixed effects. Sample coverage: period 1980- 2000. The representational ratio is the fraction of non-white (black in column 7 of both panels) councilmen in the council divided by the fraction of the population that is non-white (black in column 7). City Electoral Rule and Minority Representation: Cross-sectional and Within-city variation Table VI: Characteristics of Cities Changing Electoral Rule Under Voting Rights Act Preclearance Condition (by decade) Period 1970-1980 Voting Rights Act - South States fully covered Voting Rights Act - All South States with some coverage Subsample Decreasing SINGLE DISTRICT Subsample Decreasing SINGLE DISTRICT Variable Obs Median [95% Conf. Interval] Variable Obs Median [95% Conf. Interval] Frac. Black(t-10) 21 0.0899 .0348796 .21687 Frac. Black(t-10) 33 0.1079 .0529065 .203928 Frac. Black(t) 21 0.0986 .0468097 .2428612 Frac. Black(t) 33 0.1018 .0556345 .2656905 Frac. Minrty(t-10) 21 0.0915 .0359641 .2196268 Frac. Minrty(t-10) 33 0.1090 .0659537 .2053961 Frac. Minrty(t) 21 0.1553 .1083713 .2895482 Frac. Minrty(t) 33 0.1689 .1170527 .2795585 Subsample Increasing SINGLE DISTRICT Subsample Increasing SINGLE DISTRICT Variable Obs Median [95% Conf. Interval] Variable Obs Median [95% Conf. Interval] Frac. Black(t-10) 47 0.2732 .1994838 .3360678 Frac. Black(t-10) 60 0.2448 .1787823 .3061703 Frac. Black(t) 47 0.2847 .2312183 .3751268 Frac. Black(t) 60 0.2526 .1942273 .3326913 Frac. Minrty(t-10) 47 0.2746 .2008917 .3368007 Frac. Minrty(t-10) 60 0.2478 .1839426 .3074507 Frac. Minrty(t) 47 0.3012 .2507999 .3861642 Frac. Minrty(t) 60 0.2931 .2378248 .3573126 Period 1980-1990 Voting Rights Act - South States fully covered Voting Rights Act - All South States with some coverage Subsample Decreasing SINGLE DISTRICT Subsample Decreasing SINGLE DISTRICT Variable Obs Median [95% Conf. Interval] Variable Obs Median [95% Conf. Interval] Frac. Black(t-10) 17 0.0894 .0521425 .160876 Frac. Black(t-10) 30 0.0944 .0548517 .1727142 Frac. Black(t) 17 0.1290 .043128 .1980163 Frac. Black(t) 30 0.1438 .0895188 .1661797 Frac. Minrty(t-10) 17 0.1241 .0770264 .2160449 Frac. Minrty(t-10) 30 0.1305 .0766336 .2023592 Frac. 6 Appendix: Proofs of Propositions Minrty(t) 23 0.3241 .2464538 .4250296 Subsample Increasing SINGLE DISTRICT Subsample Increasing SINGLE DISTRICT Variable Obs Median [95% Conf. Interval] Variable Obs Median [95% Conf. Interval] Frac. Black(t-10) 42 0.1813 .1063943 .2678239 Frac. Black(t-10) 61 0.1729 .1219406 .2654401 Frac. Black(t) 46 0.2144 .1339626 .3017227 Frac. Black(t) 67 0.2168 .1495089 .2823543 Frac. Minrty(t-10) 42 0.2757 .2340786 .3207284 Frac. Minrty(t-10) 61 0.2757 .2040158 .3016066 Frac. Minrty(t) 46 0.3231 .2709005 .373635 Frac. Minrty(t) 67 0.3226 .2719806 .3521422 Notes: time period t for each variable refers to the final date of the period (for instance t=2000 for period 1990-2000). States fully covered under the 1975 renewal of the Voting Rights Act are Alabama, Georgia, Louisiana, Mississippi, South Carolina, Texas, and Virginia. Florida and North Carolina are only partially covered. Data exclude cities for which the change in electoral rule was dictated by court mandate or State law. Notes: time period t for each variable refers to the final date of the period (for instance t=2000 for period 1990-2000). States fully covered under the 1975 renewal of the Voting Rights Act are Alabama, Georgia, Louisiana, Mississippi, South Carolina, Texas, and Virginia. Florida and North Carolina are only partially covered. Data exclude cities for which the change in electoral rule was dictated by court mandate or State law. Notes: time period t for each variable refers to the final date of the period (for instance t=2000 for period 1990-2000). States fully covered under the 1975 renewal of the Voting Rights Act are Alabama, Georgia, Louisiana, Mississippi, South Carolina, Texas, and Virginia. Florida and North Carolina are only partially covered. Data exclude cities for which the change in electoral rule was dictated by court mandate or State law. Table VII Size of Minority and City Electoral Rule: Within-city variation in States Fully Covered by Voting Rights Act Sample: South South, Cities, Fully covered States South, Cities, Fully covered States, pop>2500 South, Cities, Fully covered States South, Cities, Fully covered States All U.S., Fully covered States All U.S., Fully covered States Panel (a): City Fixed Effects Dependent variable: Fraction of councilmen elected by district (1) (2) (3) (4) (5) (6) (7) Frac. Minority -0.885 -1.307 -1.332 -1.305 -0.85 -1.27 -0.849 [0.308]*** [0.393]*** [0.404]*** [0.393]*** [0.433]** [0.380]*** [0.415]** (Frac. Notes: Standard errors in brackets below coefficients. * significant at 10%; ** significant at 5%; *** significant at 1%. In panel (a) standard errors are clustered at the city level. All regressions include year fixed effects. Both Panel (a) and (b) refer to period 1970-2000. States fully covered under the 1975 renewal of the Voting Rights Act are Alabama, Georgia, Louisiana, Mississippi, South Carolina, Texas, and Virginia. 6 Appendix: Proofs of Propositions Minority)^2 1.514 1.781 2.136 1.79 1.358 1.702 1.305 [0.475]*** [0.558]*** [0.608]*** [0.563]*** [0.584]** [0.525]*** [0.545]** Log(City Population) 0.002 -0.007 0.013 -0.01 -0.034 -0.011 -0.022 [0.038] [0.056] [0.058] [0.060] [0.059] [0.051] [0.054] Log(Median Income) 0.018 0.043 0.022 [0.139] [0.146] [0.137] State trend Included Included Observations 4011 1992 1872 1991 1991 2171 2170 Number of cities 1914 962 901 962 962 1056 1056 R-squared 0.71 0.72 0.71 0.72 0.74 0.72 0.75 Panel (b): Arellano-Bond GMM Dependent variable: Fraction of councilmen elected by district (1) (2) (3) Lag Single District 0.313 0.293 0.276 [0.056]*** [0.082]*** [0.079]*** Frac. Minority -1.644 -2.326 -2.389 [0.712]** [0.831]*** [0.802]*** (Frac. Minority)^2 2.649 2.66 2.683 [1.002]*** [1.053]** [0.983]*** Log(City Population) -0.342 -0.182 -0.163 [0.258] [0.282] [0.282] Second Order Serial Correlation p-value 0.140 0.04 0.046 J test p-value 0.123 0.172 0.142 Observations 1506 768 758 Number of cities 797 399 391 Notes: Standard errors in brackets below coefficients. * significant at 10%; ** significant at 5%; *** significant at 1%. In panel (a) standard errors are clustered at the city level. All regressions include year fixed effects. Both Panel (a) and (b) refer to period 1970-2000. States fully covered under the 1975 renewal of the Voting Rights Act are Alabama, Georgia, Louisiana, Mississippi, South Carolina, Texas, and Virginia. Size of Minority and City Electoral Rule: Within-city variation in States Fully Covered by Voting Rights Act Size of Minority and City Electoral Rule: Within-city variation in States Fully Covered by Voting Rights Act Table VIII Table VIII Size of Minority and City Form of Government: Within-city variation Estimator: Fixed Effects Fixed Effects Fixed Effects Fixed Effects Fixed Effects Fixed Effects Sample: South South, Cities > 2500 South South All U.S. South Panel (a): Post 1967 Dependent variable: Form of government index (1) (2) (3) (4) (5) (6) Frac. Minority -0.428 -0.405 -0.458 -0.236 -0.211 -0.143 [0.347] [0.367] [0.348] [0.388] [0.244] [0.258] (Frac. Minority)^2 0.699 0.748 0.658 0.375 0.459 0.295 [0.515] [0.587] [0.511] [0.535] [0.325] [0.322] Log(City Population) 0.055 0.067 0.077 0.078 0.036 0.047 [0.048] [0.057] [0.051] [0.050] [0.037] [0.036] Log(Median Income) -0.141 -0.135 -0.135 [0.088] [0.091] [0.065]** State trend Included Included Observations 4492 4161 4491 4491 14082 14081 Number of cities 1980 1812 1980 1980 6827 6827 R-squared 0.79 0.79 0.79 0.8 0.86 0.86 Panel (b): Pre 1967 Dependent variable: Form of government index (1) (2) (3) (4) Frac. Minority 0.091 0.387 -0.481 -0.455 [0.650] [0.970] [1.143] [1.194] (Frac. g g 5%; *** significant at 1%. In panels (a) and (b) standard errors are clustered at the city level. All regressions include year fixed effects. Panel (a) covers the period 1970-2000. Panel (b) covers the period 1930 1970 6 Appendix: Proofs of Propositions Minority)^2 0.378 -0.175 0.742 0.687 [0.815] [1.648] [1.782] [1.873] Log(City Population) 0.018 0.017 0.059 0.046 [0.066] [0.066] [0.061] [0.065] Log(Median Income) -0.226 -0.188 [0.082]*** [0.085]** State trend Included Observations 2454 2447 2087 2087 Number of cities 979 974 978 978 R-squared 0.77 0.77 0.82 0.83 Notes: Corrected standard errors in brackets below coefficients. * significant at 10%; ** significant at 5%; *** significant at 1%. In panels (a) and (b) standard errors are clustered at the city level. All regressions include year fixed effects Panel (a) covers the period 1970 2000 Panel (b) covers the period Size of Minority and City Form of Governm ity Form of Government: Within-city variation Size of Minority and City Form of Government: Within-city variation 5%; *** significant at 1%. In panels (a) and (b) standard errors are clustered at the city level. All regressions include year fixed effects. Panel (a) covers the period 1970-2000. Panel (b) covers the period 1930-1970. Table IX Table IX Size of Minority and City Form of Government: Within-city variation Estimator: Arellano-Bond GMM Arellano-Bond GMM Arellano-Bond GMM Sample: South South, Cities > 2500 All U.S. Panel (a): Post 1967 Dependent variable: Form of government index (1) (2) (3) Lag Form of Gov. 0.444 0.459 0.44 [0.059]*** [0.060]*** [0.053]*** Frac. Minority -1.231 -1.306 -0.862 [0.654]* [0.670]* [0.596] (Frac. Minority)^2 0.997 1.185 0.868 [0.775] [0.787] [0.640] Log(City Population) -0.036 -0.093 -0.175 [0.224] [0.247] [0.226] Second Order Serial Correlation p-value 0.161 0.131 0.094 J test p-value 0.069 0.119 0.101 Observations 1848 1820 3291 Number of cities 940 914 2383 Panel (b): Pre 1967 Dependent variable: Form of government index (1) (2) Lag Form of Gov. 0.55 0.55 [0.091]*** [0.091]*** Frac. Minority 8.964 8.964 [7.688] [7.688] (Frac. Minority)^2 -11.995 -11.995 [11.956] [11.956] Log(City Population) 0.859 0.859 [0.405]** [0.405]** Second Order Serial Correlation p-value 0.662 0.662 J test p-value 0.173 0.173 Observations 938 938 Number of cities 473 473 Notes: Robust standard errors in brackets below coefficients. * significant at 10%; ** significant at 5%; *** significant at 1%. Lag Form of Gov. is the the first lag of the dependent variable. All regressions include year fixed effects. Panel (a) covers the period 1970-2000. Panel (b) covers the period 1930-1970. Both ethnic fractionalization and population are treated as endogenous variables. The maximum number of lags used for instrumenting them is 2. 6 Appendix: Proofs of Propositions Size of Minority and City Form of Gover ty Form of Government: Within-city variation Size of Minority and City Form of Government: Within-city variation , Table X Size of Minority and Form of Government Indexes: Within-city variation Estimator: Fixed Effects Fixed Effects Fixed Effects Fixed Effects Fixed Effects Fixed Effects Fixed Effects Fixed Effects Sample: South South South South, Cities > 2500 South South All U.S. All U.S., Cities> 2500 Period 1980-2000 Dependent variable: Term limit for Mayor Length term of Mayor Executive Index Executive Index Executive Index Executive Index Executive Index Executive Index (1) (2) (3) (4) (5) (6) (7) (8) Frac. Minority 0.281 0.138 -0.908 -0.413 -0.927 -0.074 0.811 0.879 [0.154]* [0.517] [1.610] [1.596] [1.635] [1.682] [0.954] [0.982] (Frac. Minority)^2 -0.375 0.345 1.137 0.247 1.144 0.577 -0.36 -0.452 [0.185]** [0.700] [2.268] [2.235] [2.270] [2.424] [1.260] [1.280] Log(City Population) 0.033 0.068 0.089 -0.004 0.093 0.003 0.054 0.013 [0.024] [0.061] [0.149] [0.169] [0.161] [0.189] [0.087] [0.111] Log(Median Income) -0.027 0.065 0.2 [0.393] [0.434] [0.240] State trend Included Observations 3488 4423 2754 2504 2754 2754 9488 8731 Number of cities 1723 1970 1547 1391 1547 1547 5474 4989 R-squared 0.77 0.86 0.89 0.9 0.89 0.89 0.88 0.88 Notes: Standard errors in brackets below coefficients. * significant at 10%; ** significant at 5%; *** significant at 1%. Standard errors are clustered at the city level. All regressions include year fixed effects. Term limit of mayor is computed as 1-max no. terms/8 if term limits are present, 0 otherwise. The executive index is computed as the sum of 1 if the system is mayor-council 1 if the mayor has veto power, and lenght of term for the mayor divided by 7, and subtracting term limit, - 1 for the presence of recall, initiative or popular referendum. Table X Table X Size of Minority and Form of Government Indexes: Within-city variation , errors are clustered at the city level. All regressions include year fixed effects. Term limit of mayor is computed as 1-max no. terms/8 if term limits are present, 0 otherwise. The executive index is computed as the sum of 1 if the system is mayor-council 1 if the mayor has veto power, and lenght of term for the mayor divided by 7, and subtracting term limit, - 1 for the presence of recall, initiative or popular referendum. Table AI Table AI Summary Statistics (All U.S. sample, excl. South) Summary Statistics (All U.S. 6 Appendix: Proofs of Propositions sample, incl. South) year Single District Form of Gov.nt Fract. Minority Population Median Household Income Single District Form of Gov.nt Fract. Minority Population Median Household Income 1980 mean 0.26 0.37 0.07 22787.53 22809.20 0.24 0.38 0.10 22559.6 21573.12 st. dev. 0.41 0.68 0.11 142177.4 8163.66 0.40 0.65 0.14 127573.8 7987.24 min. 0.00 -1.00 0.00 161 8347.09 0.00 -1.00 0.00 113 6479.37 max. 1.00 1.00 0.96 7071638 91020.62 1.00 1.00 1.00 7071638 91020.62 N. obs. 2870 3176 3151 3176 3176 3943 4338 4297 4338 4338 1990 mean 0.22 0.35 0.09 20925.98 25754.26 0.22 0.37 0.12 20816.74 23949.99 st. dev. 0.38 0.66 0.13 75066.69 11934.09 0.38 0.63 0.15 69684.18 11484.99 min. 0.00 -1.00 0.00 107 6783.47 0.00 -1.00 0.00 107 5696.25 max. 1.00 1.00 0.99 3485398 114767.40 1.00 1.00 0.99 3485398 114767.40 N. obs. 2904 3476 3455 3476 3476 3976 4814 4754 4814 4814 2000 mean 0.28 0.28 0.13 22625.3 27690.47 0.29 0.29 0.16 23113.37 26127.72 st. dev. 0.41 0.66 0.15 83089.34 12362.81 0.41 0.62 0.17 84880.19 12285.10 min. 0.00 -1.00 0.00 124 8470.96 0.00 -1.00 0.00 124 8309.53 max. 1.00 1.00 0.98 3694834 116144.60 1.00 1.00 0.99 3694834 116144.60 N. obs. 2671 2984 2984 2984 2984 3681 4097 4097 4097 4097 Total mean 0.25 0.33 0.09 22065.77 25383.17 0.25 0.35 0.12 22097.58 23845.18 st. dev. 0.40 0.67 0.13 104075.6 11159.28 0.40 0.63 0.16 96543.37 10898.35 min. 0.00 -1.00 0.00 107 6783.47 0.00 -1.00 0.00 107 5696.25 max. 1.00 1.00 0.99 7071638 116144.60 1.00 1.00 1.00 7071638 116144.60 N. obs. 8445 9636 9590 9636 9636 11600 13249 13148 13249 13249 Summary Statistics (All U.S. sample, excl. South) Summary Statistics (All U.S. sample, incl. South) Summary Statistics (All U.S. sample, excl. South) Summary Statistics (All U.S. sample, incl. South) Table AII Summary Statistics: South Region Summary Statistics: South Region year Single District Form of Governmen t Fract. Minority Population 1930 mean 0.1901865 0.6144578 0.240152 55689.73 st. dev. 0.3417885 0.6756604 0.1527653 97710.1 min. 0 -1 0.00094 284.928 max. 0.9473684 1 0.9616204 804874.1 N. obs. 144 166 137 137 1940 mean 0.3677645 0.2313253 0.2214527 44127.13 st. dev. 0.4594916 0.7952042 0.1455125 85805.16 min. 0 -1 0.0002387 4868 max. 1 1 0.5976929 859100.3 N. obs. 415 415 229 229 1950 mean 0.3452313 0.254065 0.2088538 32005.15 st. dev. 0.4523494 0.7459898 0.1448257 73305.76 min. 0 -1 0.0001114 2774 max. 1 1 0.7235112 949708.4 N. obs. 486 492 492 492 1960 mean 0.2539517 0.2642643 0.1941368 34242.28 st. dev. 6 Appendix: Proofs of Propositions 0.4137504 0.6755555 0.1454932 82867.91 min. 0 -1 0 3202.001 max. 1 1 0.6946776 939023.6 N. obs. 656 666 663 663 1970 mean 0.1613318 0.2837259 0.1779699 29274.97 st. dev. 0.3543261 0.5554105 0.150278 79091.1 min. 0 -1 0 2406 max. 1 1 0.7703364 1199388 N. obs. 904 934 936 936 1980 mean 0.1721898 0.4061962 0.1825356 21936.64 st. dev. 0.3517008 0.536582 0.1646552 74266.77 min. 0 -1 0 113 max. 1 1 0.9988168 1595138 N. obs. 1073 1162 1146 1162 1990 mean 0.2301296 0.3983558 0.2088375 20532.95 st. dev. 0.3838137 0.5150512 0.1756844 53238.92 min. 0 -1 0 243 max. 1 1 0.9864677 935926.6 N. obs. 1072 1338 1299 1338 2000 mean 0.318919 0.3225517 0.2462236 24421.92 st. dev. 0.4229846 0.5082095 0.1855629 89530.48 min. 0 -1 0 138 max. 1 1 0.9933691 1954847 N. obs. 1010 1113 1113 1113 Total mean 0.2454504 0.3385301 0.2055153 26973.67 st. dev. 0.4016687 0.5937366 0.1662955 76418.88 min. 0 -1 0 113 max. 1 1 0.9988168 1954847 N. obs. 5760 6286 6015 6070
https://openalex.org/W2972606349
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English
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Mitochondrial Genome (mtDNA) Mutations that Generate Reactive Oxygen Species
Antioxidants
2,019
cc-by
14,434
Received: 19 August 2019; Accepted: 9 September 2019; Published: 11 September 2019 Abstract: Mitochondria are critical for the energetic demands of virtually every cellular process within nucleated eukaryotic cells. They harbour multiple copies of their own genome (mtDNA), as well as the protein-synthesing systems required for the translation of vital subunits of the oxidative phosphorylation machinery used to generate adenosine triphosphate (ATP). Molecular lesions to the mtDNA cause severe metabolic diseases and have been proposed to contribute to the progressive nature of common age-related diseases such as cancer, cardiomyopathy, diabetes, and neurodegenerative disorders. As a consequence of playing a central role in cellular energy metabolism, mitochondria produce reactive oxygen species (ROS) as a by-product of respiration. Here we review the evidence that mutations in the mtDNA exacerbate ROS production, contributing to disease. Keywords: mitochondrial DNA (mtDNA); oxidative stress; reactive oxygen species; mitochondrial disease; aging; cancer; neurodegeneration Antioxidants 2019, 8, 392; doi:10.3390/antiox8090392 Mitochondrial Genome (mtDNA) Mutations that Generate Reactive Oxygen Species Anne Hahn and Steven Zuryn * Clem Jones Centre for Ageing Dementia Research, Queensland Brain Institute, The University of Queensland, 4072 Brisbane, Australia * Correspondence: s.zuryn@uq.edu.au Received: 19 August 2019; Accepted: 9 September 2019; Published: 11 September 2019 Received: 19 August 2019; Accepted: 9 September 2019; Published: 11 September 2019 antioxidants Review Mitochondrial Genome (mtDNA) Mutations that Generate Reactive Oxygen Species Anne Hahn and Steven Zuryn * Clem Jones Centre for Ageing Dementia Research, Queensland Brain Institute, The University of Queensland, 4072 Brisbane, Australia * Correspondence: s.zuryn@uq.edu.au Received: 19 August 2019; Accepted: 9 September 2019; Published: 11 September 2019   Abstract: Mitochondria are critical for the energetic demands of virtually every cellular process within nucleated eukaryotic cells. They harbour multiple copies of their own genome (mtDNA), as well as the protein-synthesing systems required for the translation of vital subunits of the oxidative phosphorylation machinery used to generate adenosine triphosphate (ATP). Molecular lesions to the mtDNA cause severe metabolic diseases and have been proposed to contribute to the progressive nature of common age-related diseases such as cancer, cardiomyopathy, diabetes, and neurodegenerative disorders. As a consequence of playing a central role in cellular energy metabolism, mitochondria produce reactive oxygen species (ROS) as a by-product of respiration. Here we review the evidence that mutations in the mtDNA exacerbate ROS production, contributing to disease. Keywords: mitochondrial DNA (mtDNA); oxidative stress; reactive oxygen species; mitochondrial disease; aging; cancer; neurodegeneration 1. The Mitochondrial Genome Mitochondria are a remarkable hub of metabolic activity, charged with producing the majority of the cell’s primary energy substrate, adenosine triphosphate (ATP). Most ATP is generated via oxidative phosphorylation (OXPHOS), a process involving the transfer of electrons from reduced nicotine adenine dinucleotide (NADH) or flavin adenine dinucleotide (FADH2) to O2 through a series of highly conserved multiprotein ensembles known as the electron transport chain (ETC; complexes I to IV; Figure 1). The energy released from these redox reactions is stored as a pH gradient and an electrical potential across the mitochondrial inner membrane, which is tapped by an enzymatic rotary mechanical motor, ATP synthase (complex V), to drive phosphorylation of adenosine diphosphate (ADP) into ATP e mtDNA exacerbate ROS production, contributing tive stress; reactive oxygen species; mitochondrial olic activity, charged with producing the majority e triphosphate (ATP). Most ATP is generated via involving the transfer of electrons from reduced enine dinucleotide (FADH2) to O2 through a series n as the electron transport chain (ETC; complexes redox reactions is stored as a pH gradient and an membrane, which is tapped by an enzymatic rotary drive phosphorylation of adenosine diphosphate antioxidants antioxidants antioxidants Review Mitochondrial Genome (mtDNA) Mutations that Generate Reactive Oxygen Species Anne Hahn and Steven Zuryn * Clem Jones Centre for Ageing Dementia Research, Queensland Brain Institute, The University of Queensland, 4072 Brisbane, Australia * Correspondence: s.zuryn@uq.edu.au antioxidants Review Mitochondrial Genome (mtDNA) Mutations that Generate Reactive Oxygen Species Anne Hahn and Steven Zuryn * Clem Jones Centre for Ageing Dementia Research, Queensland Brain Institute, The University of Queensland, 4072 Brisbane, Australia * Correspondence: s.zuryn@uq.edu.au Received: 19 August 2019; Accepted: 9 September 2019; Published: 11 September 2019   Abstract: Mitochondria are critical for the energetic demands of virtually every cellular process within nucleated eukaryotic cells. They harbour multiple copies of their own genome (mtDNA), as well as the protein-synthesing systems required for the translation of vital subunits of the oxidative phosphorylation machinery used to generate adenosine triphosphate (ATP). Molecular lesions to the mtDNA cause severe metabolic diseases and have been proposed to contribute to the progressive nature of common age-related diseases such as cancer, cardiomyopathy, diabetes, and neurodegenerative disorders. As a consequence of playing a central role in cellular energy metabolism, mitochondria produce reactive oxygen species (ROS) as a by-product of respiration. Here we review the evidence that mutations in the mtDNA exacerbate ROS production, contributing to disease. Keywords: mitochondrial DNA (mtDNA); oxidative stress; reactive oxygen species; mitochondrial disease; aging; cancer; neurodegeneration 1. The Mitochondrial Genome Mitochondria are a remarkable hub of metabolic activity, charged with producing the majority of the cell’s primary energy substrate, adenosine triphosphate (ATP). Most ATP is generated via oxidative phosphorylation (OXPHOS), a process involving the transfer of electrons from reduced nicotine adenine dinucleotide (NADH) or flavin adenine dinucleotide (FADH2) to O2 through a series of highly conserved multiprotein ensembles known as the electron transport chain (ETC; complexes I to IV; Figure 1). The energy released from these redox reactions is stored as a pH gradient and an electrical potential across the mitochondrial inner membrane, which is tapped by an enzymatic rotary mechanical motor, ATP synthase (complex V), to drive phosphorylation of adenosine diphosphate (ADP) into ATP antioxidants Review Mitochondrial Genome (mtDNA) Mutations that Generate Reactive Oxygen Species Anne Hahn and Steven Zuryn * Clem Jones Centre for Ageing Dementia Research, Queensland Brain Institute, The University of Queensland, 4072 Brisbane, Australia * Correspondence: s.zuryn@uq.edu.au Received: 19 August 2019; Accepted: 9 September 2019; Published: 11 September 2019   Abstract: Mitochondria are critical for the energetic demands of virtually every cellular process within nucleated eukaryotic cells. They harbour multiple copies of their own genome (mtDNA), as well as the protein-synthesing systems required for the translation of vital subunits of the oxidative phosphorylation machinery used to generate adenosine triphosphate (ATP). Molecular lesions to the mtDNA cause severe metabolic diseases and have been proposed to contribute to the progressive nature of common age-related diseases such as cancer, cardiomyopathy, diabetes, and neurodegenerative disorders. As a consequence of playing a central role in cellular energy metabolism, mitochondria produce reactive oxygen species (ROS) as a by-product of respiration. Here we review the evidence that mutations in the mtDNA exacerbate ROS production, contributing to disease. Keywords: mitochondrial DNA (mtDNA); oxidative stress; reactive oxygen species; mitochondrial disease; aging; cancer; neurodegeneration 1. The Mitochondrial Genome Mitochondria are a remarkable hub of metabolic activity, charged with producing the majority of the cell’s primary energy substrate, adenosine triphosphate (ATP). Most ATP is generated via oxidative phosphorylation (OXPHOS), a process involving the transfer of electrons from reduced nicotine adenine dinucleotide (NADH) or flavin adenine dinucleotide (FADH2) to O2 through a series of highly conserved multiprotein ensembles known as the electron transport chain (ETC; complexes I to IV; Figure 1). The energy released from these redox reactions is stored as a pH gradient and an electrical potential across the mitochondrial inner membrane, which is tapped by an enzymatic rotary mechanical motor, ATP synthase (complex V), to drive phosphorylation of adenosine diphosphate (ADP) into ATP tDNA) Mutations that Species eensland Brain Institute, The University of Queensland, 9; Published: 11 September 2019   getic demands of virtually every cellular process r multiple copies of their own genome (mtDNA), uired for the translation of vital subunits of the enerate adenosine triphosphate (ATP). Molecular iseases and have been proposed to contribute to iseases such as cancer, cardiomyopathy, diabetes, uence of playing a central role in cellular energy gen species (ROS) as a by-product of respiration. 1. The Mitochondrial Genome Mitochondria are a remarkable hub of metabolic activity, charged with producing the majority of the cell’s primary energy substrate, adenosine triphosphate (ATP). Most ATP is generated via oxidative phosphorylation (OXPHOS), a process involving the transfer of electrons from reduced nicotine adenine dinucleotide (NADH) or flavin adenine dinucleotide (FADH2) to O2 through a series of highly conserved multiprotein ensembles known as the electron transport chain (ETC; complexes I to IV; Figure 1). The energy released from these redox reactions is stored as a pH gradient and an electrical potential across the mitochondrial inner membrane, which is tapped by an enzymatic rotary mechanical motor, ATP synthase (complex V), to drive phosphorylation of adenosine diphosphate (ADP) into ATP. Antioxidants 2019, 8, 392; doi:10.3390/antiox8090392 www.mdpi.com/journal/antioxidants 2 of 19 2 of 19 Antioxidants 2019, 8, 392 A io i a , , O Figure 1. Subunit composition of each mitochondrial respiratory complex. Figure 1. Subunit composition of each mitochondrial respiratory complex. Figure 1. Subunit composition of each mitochondrial respiratory complex. The OXPHOS complexes are heteromultimers that are assembled from nuclear-encoded (muted colour) and mitochondrially encoded core subunits (bright colour). The translation of the mitochondrially encoded The OXPHOS complexes are heteromultimers that are assembled from nuclear-encoded (muted colour) and mitochondrially encoded core subunits (bright colour). The translation of the mitochondrially encoded transcripts of the ETC is completed by the mitoribosome (purple) which also consists of mitochondrially and nuclear-encoded components. Figure 1. Subunit composition of each mitochondrial respiratory complex. The OXPHOS complexes are heteromultimers that are assembled from nuclear-encoded (muted colour) and mitochondrially encoded core subunits (bright colour). The translation of the mitochondrially encoded f h E l d b h b l h h l f h d ll d The OXPHOS complexes are heteromultimers that are assembled from nuclear-encoded (muted colour) and mitochondrially encoded core subunits (bright colour). The translation of the mitochondrially encoded transcripts of the ETC is completed by the mitoribosome (purple) which also consists of mitochondrially and nuclear-encoded components. transcripts of the ETC is completed by the mitoribosome (purple) which also consists of mitochondrially and nuclear-encoded components. In humans, thirteen core subunits of the ETC (complexes I, III, and IV) and ATP synthase (F1F0- ATPase) are encoded by the mitochondria’s own genome (mitochondrial DNA, mtDNA; Figure 2). 1. The Mitochondrial Genome In addition, the mtDNA encodes ribonucleic acid (RNA) machinery (22 transfer RNAs, tRNAs; and 2 ribosomal RNAs, rRNAs) that is required for the translation of each subunit within the mitochondrial compartment. A remnant of their endosymbiotic origin, the mitochondrial genome is a small circular double-stranded DNA molecule ranging in size from 10 to 20 kilobases in the animal kingdom [1]. In plants, mtDNA is often longer, up to ~1,700 kilobases, non-circular, and in some species is divided into several separate chromosomes [2]. Usually, multiple copies of the genome are present in each individual mitochondrion and hundreds to thousands of mtDNA copies may populate a network of fusing and budding organelles within a single cell. The presence of multiple copies of the mtDNA per cell (polyploidy) allows for different alleles or mutations—that are either inherited or arise sporadically—to be present in only a fraction of the total pool of mitochondrial genomes in a given cell or organism. This state, termed heteroplasmy, implies that the presence of a certain mtDNA mutation could be tolerated and inconsequential if it occurs at low enough fractions of the total pool. At higher heteroplasmy levels that exceed a certain biochemical threshold [3], the same mutation may be extremely deleterious or even lethal to an individual. This threshold is dependent upon many criteria such as the nature of the mutation, as well as the cell and tissue type. y p In humans, thirteen core subunits of the ETC (complexes I, III, and IV) and ATP synthase (F1F0-ATPase) are encoded by the mitochondria’s own genome (mitochondrial DNA, mtDNA; Figure 2). In addition, the mtDNA encodes ribonucleic acid (RNA) machinery (22 transfer RNAs, tRNAs; and 2 ribosomal RNAs, rRNAs) that is required for the translation of each subunit within the mitochondrial compartment. A remnant of their endosymbiotic origin, the mitochondrial genome is a small circular double-stranded DNA molecule ranging in size from 10 to 20 kilobases in the animal kingdom [1]. In plants, mtDNA is often longer, up to ~1700 kilobases, non-circular, and in some species is divided into several separate chromosomes [2]. Usually, multiple copies of the genome are present in each individual mitochondrion and hundreds to thousands of mtDNA copies may populate a network of fusing and budding organelles within a single cell. 1. The Mitochondrial Genome The presence of multiple copies of the mtDNA per cell (polyploidy) allows for different alleles or mutations—that are either inherited or arise sporadically—to be present in only a fraction of the total pool of mitochondrial genomes in a given cell or organism. This state, termed heteroplasmy, implies that the presence of a certain mtDNA mutation could be tolerated and inconsequential if it occurs at low enough fractions of the total pool. At higher heteroplasmy levels that exceed a certain biochemical threshold [3], the same mutation may be extremely deleterious or even lethal to an individual. This threshold is dependent upon many criteria such as the nature of the mutation, as well as the cell and tissue type. Moreover, through a combination of deterministic and stochastic mechanisms [4], heteroplasmy levels may differ significantly between tissues and cells of the same individual, resulting in complex phenotypic manifestations [5–9]. 3 of 19 3 of 19 Antioxidants 2019, 8, 392 Antioxidants 2019 8 x FO Figure 2 The mitochondrial DNA (mtDNA) Figure 2. The mitochondrial DNA (mtDNA). Figure 2 The mitochondrial DNA (mtDNA) Figure 2. The mitochondrial DNA (mtDNA). The mtDNA molecule encodes 13 crucial protein subunits of the electron transport chain (blue, yellow, green) and ATP synthase (muted red), 2 rRNA components of the mitoribosome (purple) and 22 mitochondrial tRNAs (bright red). Very little intergenic space separates the genes that are transcribed as a polycistronic transcript and also contain no introns. The regulatory region, called D-loop, comprises sites for the initiation of replication and t i ti f th tDNA The mtDNA molecule encodes 13 crucial protein subunits of the electron transport chain (blue, yellow, green) and ATP synthase (muted red), 2 rRNA components of the mitoribosome (purple) and 22 mitochondrial tRNAs (bright red). Very little intergenic space separates the genes that are transcribed as a polycistronic transcript and also contain no introns. The regulatory region, called D-loop, comprises sites for the initiation of replication and transcription of the mtDNA. transcription of the mtDNA. Compared to the nuclear genome, the structure and composition of the mitochondrial genome is unique in several ways. 1. The Mitochondrial Genome Genes encoded by the mtDNA lack introns and utilise different nucleotide codons for certain amino acids (AUA encodes methionine instead of isoleucine [10] and UGA encodes tryptophan instead of a stop codon [10,11]), the stop codon (AGA and AGG encodes a stop codon instead of arginine), and the start codon (AUU encodes a methionine start codon instead of isoleucine [12]. Codon usage may also differ between species [13,14], such as in platyhelminthes where AGA and AGG encode serine instead of arginine [15]. Generally, the mitochondrial genome is controlled by a single regulatory sequence. This non-coding A-T-rich region of the mtDNA harbours two transcription start sites, one each on the light and heavy DNA strands, where the synthesis of polycistronic transcripts is initiated [16–18]. The same region also acts as an origin of replication for the mitochondrial genome. Interestingly, mtDNA replication often aborts soon after initiation, Compared to the nuclear genome, the structure and composition of the mitochondrial genome is unique in several ways. Genes encoded by the mtDNA lack introns and utilise different nucleotide codons for certain amino acids (AUA encodes methionine instead of isoleucine [10] and UGA encodes tryptophan instead of a stop codon [10,11]), the stop codon (AGA and AGG encodes a stop codon instead of arginine), and the start codon (AUU encodes a methionine start codon instead of isoleucine [12]. Codon usage may also differ between species [13,14], such as in platyhelminthes where AGA and AGG encode serine instead of arginine [15]. Generally, the mitochondrial genome is controlled by a single regulatory sequence. This non-coding A-T-rich region of the mtDNA harbours two transcription start sites, one each on the light and heavy DNA strands, where the synthesis of polycistronic transcripts is initiated [16–18]. The same region also acts as an origin of replication for the mitochondrial genome. Interestingly, mtDNA replication often aborts soon after initiation, leaving the template strand, daughter strand and displaced lagging strand, a structure referred to as displacement (or D-) loop [19]. leaving the template strand, daughter strand and displaced lagging strand, a structure referred to as displacement (or D-) loop [19]. The transfer of genes to the nuclear genome and the minimal use of inter- and intra-genic material may have evolved to minimise the overall probability of the mtDNA acquiring nucleotide damage in the highly oxidative microenvironment of the mitochondria. 1. The Mitochondrial Genome However, there is wide consensus that mtDNA mutates much faster than nuclear DNA, although predictions of the mtDNA mutation rate have varied by four orders of magnitude [20]. Direct estimates in Drosophila using mutational accumulation lines suggest that mtDNA has a mutation rate 10–70-fold greater than that of the nuclear DNA [21]. The prevailing view has been that this higher mutation rate is attributable The transfer of genes to the nuclear genome and the minimal use of inter- and intra-genic material may have evolved to minimise the overall probability of the mtDNA acquiring nucleotide damage in the highly oxidative microenvironment of the mitochondria. However, there is wide consensus that mtDNA mutates much faster than nuclear DNA, although predictions of the mtDNA mutation rate have varied by four orders of magnitude [20]. Direct estimates in Drosophila using mutational accumulation lines suggest that mtDNA has a mutation rate 10–70-fold greater than that of the nuclear DNA [21]. The prevailing view has been that this higher mutation rate is attributable to damage caused by reactive oxygen species (ROS) formed by the leakage of electrons from the ETC onto molecular oxygen. The mitochondrial genome’s close spatial proximity to the sites of ETC-mediated 4 of 19 Antioxidants 2019, 8, 392 ROS production make it particularly vulnerable to their damage. Moreover, mtDNA is not protected by histones that can organize DNA into highly compacted structures that offer protection. Despite this, it has become increasingly apparent that not ROS-mediated damage, but rather copying errors introduced into the mitochondrial genome during replication represent the major contributor to the high mtDNA mutation rate [22]. mediated ROS production make it particularly vulnerable to their damage. Moreover, mtDNA is not protected by histones that can organize DNA into highly compacted structures that offer protection. Despite this, it has become increasingly apparent that not ROS-mediated damage, but rather copying errors introduced into the mitochondrial genome during replication represent the major contributor t th hi h tDNA t ti t [22] Replication of the mitochondrial genome is accomplished by the mitochondrion-specific polymerase γ, and, unlike the nuclear genome, is independent of cell division. MtDNA replication occurs at a frequency much greater than that of the nuclear genome and continues in postmitotic cells, increasing the likelihood of introducing copying errors in the sequence. 1. The Mitochondrial Genome Although polymerase γ has a proofreading activity, many of the other DNA repair mechanisms that maintain the integrity of the nuclear genome seem to be absent or less efficient within mitochondria [23]. Regardless of how mtDNA mutations are formed, a consequence of the compact genetic configuration of the mtDNA is the increased likelihood that any mutation will impinge upon a coding sequence and may thus alter the functional integrity of a vital protein or RNA. As such, potentially pathogenic mutations are relatively common in humans with an estimated prevalence of 1:200 in Western populations [24], albeit at low heteroplasmy levels. to the high mtDNA mutation rate [22]. Replication of the mitochondrial genome is accomplished by the mitochondrion-specific polymerase γ, and, unlike the nuclear genome, is independent of cell division. MtDNA replication occurs at a frequency much greater than that of the nuclear genome and continues in postmitotic cells, increasing the likelihood of introducing copying errors in the sequence. Although polymerase γ has a proofreading activity, many of the other DNA repair mechanisms that maintain the integrity of the nuclear genome seem to be absent or less efficient within mitochondria [23]. Regardless of how mtDNA mutations are formed, a consequence of the compact genetic configuration of the mtDNA is the increased likelihood that any mutation will impinge upon a coding sequence and may thus alter the functional integrity of a vital protein or RNA. As such, potentially pathogenic mutations are relatively common in humans with an estimated prevalence of 1:200 in Western populations [24], albeit at low heteroplasmy levels. p y In the following sections, we will discuss specific examples of mtDNA mutations that have been experimentally demonstrated to enhance ROS production and their links to human disease. p y In the following sections, we will discuss specific examples of mtDNA mutations that have been experimentally demonstrated to enhance ROS production and their links to human disease. 2. Mitochondrial-Encoded Complex I (NADH Dehydrogenase) Mutations 2. Mitochondrial-Encoded Complex I (NADH Dehydrogenase) Mutations The conversion of ubiquinone to ubiquinol and vice versa progresses through the radical intermediate semiquinone. Presumably, superoxide radicals are produced mainly when electrons leak from semiquinone or reduced flavin onto molecular oxygen. Antioxidants 2019, 8, x FOR PEER REVIEW 5 of 19 Flavin mononucleotide (FMN) in complex I oxidizes the redox equivalent NADH and transfers the electrons into a series of iron-sulphur clusters that pass electrons into the membrane domain of complex I, where they are eventually transferred to a mobile molecule of ubiquinone, reducing it to ubiquinol. Ubiquinol travels within the inner mitochondrial membrane to complex III. There, two molecules of ubiquinol are processed successively to reduce two molecules of cytochrome c and one bound molecule of ubiquinone. The conversion of ubiquinone to ubiquinol and vice versa progresses through the radical intermediate semiquinone. Presumably, superoxide radicals are produced mainly when electrons leak from semiquinone or reduced flavin onto molecular oxygen. Isolated mitochondria harbouring mutations in ND5 (m.12417insA) have been re-introduced into cells that were depleted of their own mtDNA to obtain cellular hybrids (cybrids). These cells have enhanced levels (increase of 20%) of mitochondrial superoxide, as determined by using the MitoSox red dye [30]. The superoxide radical is eventually converted to H2O and O2, with H2O2 as a ROS-intermediate of this reaction. However, dichlorofluorescein acetate (DCFDA) fluorescence indicated no difference in cellular H2O2 levels between control and cybrids unless the ND5 mutation reached homoplasmy. DCFDA fluorescence is dependent on the presence of ROS in the cytoplasm, the most abundant of which is H2O2. Therefore, and because low concentrations of H2O2 display a linear correlation with DCFDA fluorescence, DCFDA fluorescence intensity is often understood as an equivalent of H2O2 concentration. At homoplasmy, the ND5 mutation may enhance the cellular concentrations of H2O2, possibly via increased production of superoxide that exceeds the processing capacity of ROS-protective mechanisms. Indeed, the superoxide dismutases SOD1 and SOD2 that catalyse the conversion of O2– into H2O2, as well as other antioxidants (catalase, glutathione peroxidase Gpx4) (Figure 4), were upregulated in both cybrid lines compared to control, presumably in response to increased ROS production. In mouse cybrids, another ND5 mutation (m.C12081A) that induces a premature stop codon (Arg116Stop) results in a positive correlation between the level of heteroplasmy (16–100%) and their sensitivity towards 5-tert-butyl-hydrogen peroxide, a mimetic of H2O2 [30]. 2. Mitochondrial-Encoded Complex I (NADH Dehydrogenase) Mutations 2. Mitochondrial-Encoded Complex I (NADH Dehydrogenase) Mutations Two of the ETC complexes are believed to contribute most to the production of ROS: Complex I and complex III [25–29]. Both complexes directly interact with ubiquinone (coenzyme Q10) or its reduced form ubiquinol by mediating the conversion to ubiquinol by transferring electrons to it (complex I) or reverting this (complex III), with semiquinone as an intermediate (Figure 3). A functional defect in either complex I or III allows for ubiquinol to be oxidized in an uncontrolled manner by molecular oxygen, enabling the production of superoxide radicals (O2–), that generate further reactive oxygen species such as hydroxyl radicals and hydrogen peroxide (H2O2). In humans, the mtDNA encodes seven (ND1, ND2, ND3, ND4, ND4L, ND5, ND6) out of the 45 subunits that compose complex I, and all of these mitochondrially encoded subunits have been implicated in increased ROS production. Two of the ETC complexes are believed to contribute most to the production of ROS: Complex I and complex III [25–29]. Both complexes directly interact with ubiquinone (coenzyme Q10) or its reduced form ubiquinol by mediating the conversion to ubiquinol by transferring electrons to it (complex I) or reverting this (complex III), with semiquinone as an intermediate (Figure 3). A functional defect in either complex I or III allows for ubiquinol to be oxidized in an uncontrolled manner by molecular oxygen, enabling the production of superoxide radicals (O2–), that generate further reactive oxygen species such as hydroxyl radicals and hydrogen peroxide (H2O2). In humans, the mtDNA encodes seven (ND1, ND2, ND3, ND4, ND4L, ND5, ND6) out of the 45 subunits that compose complex I, and all of these mitochondrially encoded subunits have been implicated in increased ROS production. Figure 3 Complex I and III interaction with ubiquinol Figure 3. Complex I and III interaction with ubiquinol. Figure 3. Complex I and III interaction with ubiquinol. 5 of 19 Antioxidants 2019, 8, 392 Flavin mononucleotide (FMN) in complex I oxidizes the redox equivalent NADH and transfers the electrons into a series of iron-sulphur clusters that pass electrons into the membrane domain of complex I, where they are eventually transferred to a mobile molecule of ubiquinone, reducing it to ubiquinol. Ubiquinol travels within the inner mitochondrial membrane to complex III. There, two molecules of ubiquinol are processed successively to reduce two molecules of cytochrome c and one bound molecule of ubiquinone. 2. Mitochondrial-Encoded Complex I (NADH Dehydrogenase) Mutations 2. Mitochondrial-Encoded Complex I (NADH Dehydrogenase) Mutations This suggests that the cybrids with the highest heteroplasmy levels produce the most ROS (Figure 5) and that endogenous protective mechanisms are already at full capacity and less able to deal with exogenous oxidative insults. Indeed, at heteroplasmy levels of 88% and 100%, cybrid viability decreased considerably in the presence of 5-tert-butyl-hydrogen peroxide when compared to lower heteroplasmy levels where ~80% of the cybrid cells were resistant to treatment. Isolated mitochondria harbouring mutations in ND5 (m.12417insA) have been re-introduced into cells that were depleted of their own mtDNA to obtain cellular hybrids (cybrids). These cells have enhanced levels (increase of 20%) of mitochondrial superoxide, as determined by using the MitoSox red dye [30]. The superoxide radical is eventually converted to H2O and O2, with H2O2 as a ROS-intermediate of this reaction. However, dichlorofluorescein acetate (DCFDA) fluorescence indicated no difference in cellular H2O2 levels between control and cybrids unless the ND5 mutation reached homoplasmy. DCFDA fluorescence is dependent on the presence of ROS in the cytoplasm, the most abundant of which is H2O2. Therefore, and because low concentrations of H2O2 display a linear correlation with DCFDA fluorescence, DCFDA fluorescence intensity is often understood as an equivalent of H2O2 concentration. At homoplasmy, the ND5 mutation may enhance the cellular concentrations of H2O2, possibly via increased production of superoxide that exceeds the processing capacity of ROS-protective mechanisms. Indeed, the superoxide dismutases SOD1 and SOD2 that catalyse the conversion of O2– into H2O2, as well as other antioxidants (catalase, glutathione peroxidase Gpx4) (Figure 4), were upregulated in both cybrid lines compared to control, presumably in response to increased ROS production. In mouse cybrids, another ND5 mutation (m.C12081A) that induces a premature stop codon (Arg116Stop) results in a positive correlation between the level of heteroplasmy (16–100%) and their sensitivity towards 5-tert-butyl-hydrogen peroxide, a mimetic of H2O2 [30]. This suggests that the cybrids with the highest heteroplasmy levels produce the most ROS (Figure 5) and that endogenous protective mechanisms are already at full capacity and less able to deal with exogenous oxidative insults. Indeed, at heteroplasmy levels of 88% and 100%, cybrid viability decreased considerably in the presence of 5-tert-butyl-hydrogen peroxide when compared to lower heteroplasmy levels where ~80% of the cybrid cells were resistant to treatment. Figure 4. Diagram of breakdown of superoxide into H2O2 and the enzymes that catalyse each step. Figure 4. 2. Mitochondrial-Encoded Complex I (NADH Dehydrogenase) Mutations 2. Mitochondrial-Encoded Complex I (NADH Dehydrogenase) Mutations Diagram of breakdown of superoxide into H2O2 and the enzymes that catalyse each step. Figure 4. Diagram of breakdown of superoxide into H2O2 and the enzymes that catalyse each step. Superoxide ion radicals and protons are converted to hydrogen peroxide by superoxide dismutases (SODs). The Superoxide ion radicals and protons are converted to hydrogen peroxide by superoxide dismutases (SODs). The reactive hydrogen peroxide is further catalytically degraded to water and molecular oxygen. upe o i e io a i a a p o o a e o e e o y oge pe o i e y upe o i e i u a e ( O ) e reactive hydrogen peroxide is further catalytically degraded to water and molecular oxygen. Mitochondria containing mainly wild-type mtDNA (blue) occur together with mitochondria harbouring damaged mtDNA (red) within the same cell. The ratio of mutant to wild-type mtDNA (heteroplasmy) can differ between individual mitochondria of a single cell and also between different cells. With increasing heteroplasmy, the fraction of dysfunctional mitochondria that leak ROS increases, thereby enhancing endogenous oxidative stress of the cell. 6 of 19 6 of 19 Antioxidants 2019, 8, 392 Antioxidants 2019 8 x FO Figure 5. Concept of heteroplasmy and increasing levels of reactive oxygen species (ROS) associated with increasing heteroplasmy Figure 5. Concept of heteroplasmy and increasing levels of reactive oxygen species (ROS) associated with increasing heteroplasmy. Figure 5. Concept of heteroplasmy and increasing levels of reactive oxygen species (ROS) associated with increasing heteroplasmy Figure 5. Concept of heteroplasmy and increasing levels of reactive oxygen species (ROS) associated with increasing heteroplasmy. Mitochondria containing mainly wild-type mtDNA (blue) occur together with mitochondria harbouring damaged mtDNA (red) within the same cell. The ratio of mutant to wild-type mtDNA (heteroplasmy) can differ between individual mitochondria of a single cell and also between different cells. With increasing heteroplasmy, the fraction of dysfunctional mitochondria that leak ROS increases, thereby enhancing endogenous oxidative stress of the cell. Mutations in mtDNA-encoded complex I components have been strongly linked with the Mutations in mtDNA-encoded complex I components have been strongly linked with the growth of various cancers through enhanced ROS production. For example, in transformed OKF6 keratinocytes, an ND2 transgene harbouring a mutation (m.G4776A, Ala153Thr) previously associated with head and neck squamous cell carcinomas caused a 1.2-fold increase in the fluorescence of DCFDA, compared to controls [31]. 2. Mitochondrial-Encoded Complex I (NADH Dehydrogenase) Mutations 2. Mitochondrial-Encoded Complex I (NADH Dehydrogenase) Mutations Further experiments with transformed head and neck squamous cell carcinoma and HeLa cervical cancer cells suggested that this mtDNA mutation promoted cancer growth through increased ROS production [31]. growth of various cancers through enhanced ROS production. For example, in transformed OKF6 keratinocytes, an ND2 transgene harbouring a mutation (m.G4776A, Ala153Thr) previously associated with head and neck squamous cell carcinomas caused a 1.2-fold increase in the fluorescence of DCFDA, compared to controls [31]. Further experiments with transformed head and neck squamous cell carcinoma and HeLa cervical cancer cells suggested that this mtDNA mutation promoted cancer growth through increased ROS production [31]. A co-occurrence of multiple mtDNA mutations affecting several complexes complicates the identification of ROS-causing or pathogenic mutations. In thyroid oncocytic XTC.UC1 cells, an almost 4-fold increase in DCFDA fluorescence compared to non-oncocytic TPC-1 cells was observed, indicating elevated levels of ROS [32]. This was attributed to the compounded effects of an insertion A co-occurrence of multiple mtDNA mutations affecting several complexes complicates the identification of ROS-causing or pathogenic mutations. In thyroid oncocytic XTC.UC1 cells, an almost 4-fold increase in DCFDA fluorescence compared to non-oncocytic TPC-1 cells was observed, indicating elevated levels of ROS [32]. This was attributed to the compounded effects of an insertion that induces a premature stop codon in the ND4 gene (m.3571insC, frameshift Gly101X), and a missense mutation in CytB (m.G15557A, Glu271Lys, complex III) that occurred along with a number of silent mutations [32]. Neither of these mutations had been described in healthy subjects before, and while both of them affect complexes that are proposed to be the primary sources of mitochondrial ROS, it remains difficult to determine which of the mutations is causative for the increased peroxide production, or whether both contribute. Either mutation had a high level of heteroplasmy (94.3% for ND4, 70.3% for CytB). g p that induces a premature stop codon in the ND4 gene (m.3571insC, frameshift Gly101X), and a missense mutation in CytB (m.G15557A, Glu271Lys, complex III) that occurred along with a number of silent mutations [32]. Neither of these mutations had been described in healthy subjects before, and while both of them affect complexes that are proposed to be the primary sources of mitochondrial ROS, it remains difficult to determine which of the mutations is causative for the increased peroxide production, or whether both contribute. Either mutation had a high level of heteroplasmy (94.3% for ND4, 70.3% for CytB). 2. Mitochondrial-Encoded Complex I (NADH Dehydrogenase) Mutations 2. Mitochondrial-Encoded Complex I (NADH Dehydrogenase) Mutations Further evidence of mtDNA mutations being associated with malignant neoplasms and driving the progression of cancer concerns the ND6 gene, which encodes the core subunit 6 of complex I. The m.G13997A (Pro25Leu) mutation of the ND6 subunit is found in particularly aggressive murine Lewis lung carcinoma cell lines with a high metastatic potential [33,34]. Less aggressive cell lines of this cancer did not carry this mutation. Notably, the mutated residue is highly conserved between human, mouse, fish, frog, chicken, cow and fly, indicating its crucial importance. An increased fraction of the cells of the aggressive cell lines displayed a high H2O2 production, indicated by DCFDA labelling [33]. Furthermore, completely exchanging the population of mitochondria from less aggressive murine Lewis lung carcinoma cell lines with mitochondria from aggressive lines g p y y Further evidence of mtDNA mutations being associated with malignant neoplasms and driving the progression of cancer concerns the ND6 gene, which encodes the core subunit 6 of complex I. The m.G13997A (Pro25Leu) mutation of the ND6 subunit is found in particularly aggressive murine Lewis lung carcinoma cell lines with a high metastatic potential [33,34]. Less aggressive cell lines of this cancer did not carry this mutation. Notably, the mutated residue is highly conserved between human, mouse, fish, frog, chicken, cow and fly, indicating its crucial importance. An increased fraction of the cells of the aggressive cell lines displayed a high H2O2 production, indicated by DCFDA labelling [33]. Furthermore, completely exchanging the population of mitochondria from less aggressive murine Lewis lung carcinoma cell lines with mitochondria from aggressive lines resulted in a concomitant increase in H2O2 production. The opposite was true when mitochondria from the less aggressive cells were swapped into aggressive cells, suggesting a direct connection between the m.G13997A mtDNA mutation, H2O2 over-production, and the aggressiveness of the cancer. In addition, investigation of two fibrosarcoma cell lines confirmed that a frameshift mutation in the ND6 gene (m.13885insC, frameshift) correlated with high ROS production and a high metastatic potential [34]. Subsequently, Yuan et al. surveyed 26 ND6 mutations found in human lung adenocarcinoma and identified a correlation of missense and nonsense mutations with cancer grade, stage and metastatic status [35]. 7 of 19 Antioxidants 2019, 8, 392 Missense mutations were found to reduce complex I activity and increase ROS production; both effects were found to be more severe with nonsense mutations. 2. Mitochondrial-Encoded Complex I (NADH Dehydrogenase) Mutations 2. Mitochondrial-Encoded Complex I (NADH Dehydrogenase) Mutations The apparent importance of ND6 and other mtDNA-encoded complex I subunits in disease is not restricted to cancer. Neurodegenerative diseases such as Leber’s hereditary optic neuropathy (LHON) have also been linked to ND6, ND1 and ND4 defects that have been determined to enhance ROS production. With the aim to characterise a mutation detected in human LHON patients, ND6 m.G13997A (Pro25Leu) mice were generated by fusing enucleated cells carrying the mtDNA mutation to mouse embryonic stem cells previously depleted of their original mtDNA [36]. The resulting strain suffers from damage to the retinal ganglion cells, which have abnormal mitochondrial morphology and altered complex I activity. While there was no difference in H2O2 production between isolated liver mitochondria of mutant and wild-type mice (as measured by the Amplex Red dye), H2O2 production from submitochondrial particles that lack much of the H2O2 scavenging system, was significantly elevated in ND6 mutant mice. This was exacerbated in mitochondria isolated from cerebral tissue, where also 3-nitrotyrosine and glial fibrillary protein were increased 2.4-fold and 1.6-fold respectively, indicating oxidative stress and a cellular response to cerebral damage, potentially incurred by ROS. The m.T14484C (Met64Val) mutation in ND6, as well as the m.G3460A mutation in ND1 (Ala52Thr) and m.G11778A mutation in ND4 (Arg340His) have also been associated with increases in ROS production and LHON. Corresponding cybrid lines harbouring each of these mtDNA mutations displayed enhanced mitochondrial superoxide levels as determined by MitoSox staining [37]. Alternative techniques of measuring ROS levels (fluorescence of dihydrorhodamine and Amplex Red) also found similar results for all three mutations implicated in LHON [38,39]. An association of the two LHON mutations in ND1 and ND4 with high levels of ROS has been confirmed in NT2 cells—curiously only after differentiation towards a neuronal fate [40]. Mutations in the ND6 gene can elicit even more devastating and lethal neurodegenerative conditions. Necrotic degeneration of the brain occurs in the context of Leigh syndrome as well as in Leigh-like and bilateral striatal necrosis syndrome, which display high levels of genetic heterogeneity. Gonzalo et al. investigated a m.T14487C mutation in ND6 (Met63Val) that had previously been identified in patients with Leigh-like or bilateral striatal necrosis syndrome and created cybrids from patient thrombocytes by fusing them with the mitochondria-free 143B ρ0 cell line [41]. Rates of H2O2 production in those cybrids were rapidly increased, within 40 min of fusion, while antioxidant enzymes maintained the same level of activity. 2. Mitochondrial-Encoded Complex I (NADH Dehydrogenase) Mutations 2. Mitochondrial-Encoded Complex I (NADH Dehydrogenase) Mutations Malondialdehyde—thiobarbituric acid (MDA-TBA), a measure for lipid peroxidation, was detected at levels of more than double that of control cell lines. Protein carbonylation was unaltered in the cybrids, but DNA damage was assessed using quantitative polymerase chain reaction (qPCR), revealing that in the mutant cybrids, amplification occurs only at 74.4% efficiency compared to control samples, indicating that the template DNA would contain enough damaged sites to reduce the rate of amplification considerably [41]. In addition to pathogenic mutations that are relatively rare in a population, prevalent polymorphisms in mtDNA-encoded complex I subunits have been widely implicated in enhancing susceptibility to or protection from a range of diseases through altered ROS production. Mitochondrial haplogroups are each set apart from the others by a number of characteristic polymorphisms and are often associated to certain geographical locations. For example, the N haplogroup is the (overwhelmingly) dominant haplogroup on the Australian continent and restricted to Australia and East and Southeast Asia. One of the defining polymorphisms of this haplogroup, which encodes a variant of the ND3 gene (m.10398A, ND3:114Thr), increases in ROS production by 52–55% when transfected into HeLa, MDA MB-231, and MCF-7 cells [42]. The most common mtDNA haplogroup in Asia is haplogroup M, which is closely related to haplogroup N, but encodes ND3:114Ala (m.10398G). Transfection with a vector coding the haplogroup M variant increased ROS production only by 14–26%, suggesting that while the procedure by itself might increase ROS production in HeLa cells, the M haplogroup variant induces this effect much less than the N haplogroup variant [42]. 8 of 19 Antioxidants 2019, 8, 392 In transgenic B6Ntac mice, a polymorphism in the ND4 gene (m.11516G, 450Ser; C57BL/6J-mtAKR reference strain: m.11516A, 450Asn) caused an increased number of bone marrow cells producing mitochondrial superoxide, as well as an approximate two-fold increase in levels of cellular ROS, as indicated by fluorescent peroxide/superoxide dyes [43]. In humans, the neighbouring ND4L gene occurs in variants that promote ROS production under hypoxic conditions and conveys susceptibility to high altitude polycythemia [44]. Cell constructs with the m.10609T variant coding for methionine (ND4L:47Met) produced approximately 1.5-fold more H2O2 (DCFDA fluorescence) at 3% oxygen levels than constructs with an m.10609C variant coding for threonine in the same position [44]. Under normoxic conditions, no significant difference in ROS production could be observed [44]. 3. Mitochondrial-Encoded Complex III (Coenzyme Q-Cytochrome C Reductase) Mutations Complex III is assembled from 11 different subunits, ten of which are nuclear-encoded. The mtDNA encodes cytochrome b (CytB), an integral membrane protein that may play a crucial role in complex III assembly. Mutations in CytB have been found to enhance ROS production in certain cellular contexts. A 4 nucleotide deletion in CytB (m.14787–14791del) was detected in a patient suffering from epileptic seizures and parkinsonism. Enucleated fibroblasts of the patient were fused with the mtDNA-less 143B/206 cell line to create cybrids carrying the mutation. These cybrids produce i d t f H O d t i d b DCFDA fl [47] Thi ti l t ti Complex III is assembled from 11 different subunits, ten of which are nuclear-encoded. The mtDNA encodes cytochrome b (CytB), an integral membrane protein that may play a crucial role in complex III assembly. Mutations in CytB have been found to enhance ROS production in certain cellular contexts. assembly. Mutations in CytB have been found to enhance ROS production in certain cellular contexts. A 4 nucleotide deletion in CytB (m.14787–14791del) was detected in a patient suffering from epileptic seizures and parkinsonism. Enucleated fibroblasts of the patient were fused with the mtDNA-less 143B/206 cell line to create cybrids carrying the mutation. These cybrids produce increased amounts of H2O2, as determined by DCFDA fluorescence [47]. This particular mutation, which occurs at >60% heteroplasmy in the cybrids, presumably interferes with complex III assembly, as Western blotting of mitochondrial protein detects other complex III components at lower than normal levels. Disruption of complex III assembly would potentially interrupt the flow of electrons from ubiquinol, resulting in the inappropriate reduction of molecular oxygen to superoxide and its subsequent degradation to H2O2. A larger deletion in CytB (m.15642–15662del), which had previously been identified in bladder cancer [48], has also been shown to enhance H2O2 levels in MB49 bladder cancer cells [49]. In addition, a missense mutation in CytB (m.T14849C, Ser35Pro), which was detected in a patient presenting with isolated complex III deficiency along with two known, homoplasmic polymorphisms (m.C14770T, synonymous and m.A15326G, Thr194Ala), caused symptoms of increased ROS levels in the patient [50]. This included elevated levels of urinary leukotriene E4, indicating increased lipid peroxidation in vivo, a slightly reduced total radical-trapping antioxidant parameter of plasma (TRAP) as well as decreased concentrations of α-tocopherol in muscle, indicating a reduced capacity to negotiate higher levels of ROS. 3. Mitochondrial-Encoded Complex III (Coenzyme Q-Cytochrome C Reductase) Mutations The patient suffered from septo-optic dysplasia, hypertrophic cardiomyopathy, rhabdomyolysis and exercise intolerance as well as developmental delays. While this is a drastic phenotype attributable to a CytB mutation, not all changes in this gene necessarily result in a severe increase in ROS production. For example, a CytB mutant mouse strain (m.A15124G, Ile27Val) displayed no significant difference in mitochondrial superoxide and cellular superoxide production, with unimpaired ATP levels [43]. 2. Mitochondrial-Encoded Complex I (NADH Dehydrogenase) Mutations 2. Mitochondrial-Encoded Complex I (NADH Dehydrogenase) Mutations The m.10609C polymorphism was present in 12.4% of the sampled population of Han Chinese, it might be associated with longevity in humans [45] and is a defining mutation for mitochondrial haplogroup F1 [46]. 4. Mitochondrial-Encoded Complex IV (Cytochrome C Oxidase) Mutations Complex IV consists of 14 protein subunits, three of which are mitochondrially encoded (CO1, CO2, and CO3). Similarly to complex I and complex III mutations, mutations of complex IV subunits are associated with cancer and elevated ROS levels. The m.T6124C (CO1:Met74Thr) transition was detected in a prostate cancer patient, and caused a marked increase in DCFDA fluorescence, both in a patient-derived lymphoblast cell line compared to control patients, as well as in cybrid lines with the same nuclear genome as wild-type cybrids [51]. In addition, while investigating the inheritance of mtDNA mutations that confer ETC defects of different degrees, a missense mutation in the CO1 gene (m.T6589C, Val421Ala) was assessed in different cell and cybrid lines of murine L cells. Cell lines homoplasmic for the CO1 mutation displayed 9 of 19 Antioxidants 2019, 8, 392 3-fold increased DCFDA fluorescence intensities compared to cells that harbour wild-type mtDNA [52]. Based on these cell/cybrid lines, a mouse model was established that was homoplasmic for the CO1 mutation, which consistently caused myopathy and cardiomyopathy [52]. A secondary mutation in ND6 was also present in these mice, but did not appear to contribute to pathogenic symptoms, as only low heteroplasmy levels (14–16%) could be established [52]. As CO1, CO2 and CO3 are core proteins of complex IV, mutations in any of them can impair the correct assembly of complex IV and may enhance the production of ROS. The m.G6930A substitution that introduces a premature stop codon in CO1 (Gly343Stop), leads to the loss of the last 170 amino acids of the 511 amino acids long protein [53] and prevents the assembly of complex IV [54]. The patient presenting with this mutation suffered from deafness and optic and muscle atrophy, causing weakness, ataxia and visual defects. No significant difference in ROS levels (DCFDA fluorescence), the expression of antioxidant enzymes (Western blotting), or lipids oxidative damage (MDA-TBA assay) was found in 143B ρ0 cybrids with the mutation compared to wild-type mtDNA cybrids [55], however, an increased susceptibility towards H2O2 treatment was observed [56]. Similar perturbations in complex IV assembly seem to be caused by pathogenic mutations in CO2. The nonsense m.G7896A CO2 mutation (Trp104Stop), for example, was initially detected in a 3-year old patient with an early-onset complex IV deficiency. 4. Mitochondrial-Encoded Complex IV (Cytochrome C Oxidase) Mutations Symptoms including psychomotor delay, failure to thrive and cardiac hypertrophy presented from an age of 3 months, later developing into comprised cerebral atrophy and pigmentary retinopathy [57]. Cybrid cell lines homoplasmic for the mutation were unable to assemble complex IV or any CO-containing supercomplex [58]. Similarly, the m.T7671A mutation in CO2 (Met29Lys), which was identified in a patient presenting with myopathy and lactic acidosis [59], was shown to inhibit correct complex IV assembly. Perturbations to complex IV assembly has recently been demonstrated to enhance mitochondrial superoxide levels (as measure with MitoSox), decrease ATP production and increase rates of senescence and aptoptosis [60], suggesting that the above pathogenic mutations may do the same. Finally, mutations in CO3 that are associated with mitochondrial encephalomyopathy, lactic acidosis, and stroke-like episodes (MELAS) cause increases in ROS production. The m.T9957C mutation (Phe251Leu) induces a 1.5-fold increase in DCFDA fluorescence in cybrids compared to the 143B parent cell line that retained its original mitochondria [61]. 6. Mitochondrial-Encoded tRNA and rRNA Mutations As mentioned above, the aberrant assembly of some respiratory complexes can lead to enhanced ROS production. It is thus unsurprising that mutations in mtDNA-encoded tRNAs and rRNAs, which are required for the translation of the mtDNA-encoded ETC subunits, have been heavily implicated in the production of ROS, as well as disease. This is supported by the findings of Cruz-Bermudes et al. (2015), which demonstrated that 143B ρ0 cybrid lines harbouring a mutation in the tRNA for lysine (tRNAlys: m.G8363A) displayed enhanced mitochondrial superoxide levels and slightly elevated cytoplasmic ROS levels, as determined by MitoSox and DCFDA fluorescence respectively [37]. The m.A8344G mutation, which also perturbs tRNAlys and was obtained from a myoclonic epilepsy with ragged red fibres (MERRF) patient, causes a 68% increase in DCFDA fluorescence in cybrids [55]. Similar results were also obtained by studying skin fibroblasts from other patients with the same mutation [71]. In the same study, a mutation in the tRNAleu gene (m.A3243G), which was isolated from a patient with MELAS, resulted in an 83% increase in DCFDA fluorescence, indicating markedly enhanced H2O2 production [71]. Similarly, other mutations in tRNAleu (m.T3253C and m.A12308G) have been shown in cybrids to enhance ROS production [72,73]. Interestingly, the m.A12308G mutation is localised to the second tRNAleu locus within the mtDNA and was isolated from the MDA-MB-435 breast cancer cell line [73]. This suggests that the mutations in either of the two genes coding for tRNAleu may act dominantly to disrupt the translation of mtDNA-encoded proteins, resulting in ROS production and disease. Perhaps exemplifying the importance of tRNA integrity in the production of ROS, a mouse model harbouring multiple mtDNA mutations in both tRNAs and protein-coding genes was found to overproduce ROS in a manner solely dependent upon the tRNA mutation. The comparison of several mouse strains that differ in the length of a poly-A-stretch insertion within the tRNAarg gene (m.9821insA 8A/9A/10A) revealed that cybrids with a 10-A-stretch exhibited significantly increased H2O2 production (DCFDA fluorescence) compared to 8-A- and 9-A-stretch cybrids [74]. The 10A and 9A variants of this stretch are often coincident with polymorphisms in the ND3 and CO3 genes (compared to C57BL/6J mice: m.T9461C, synonymous, and m.G9348A (CO3:V248I)) [43,75]. However, only in the presence of the 10A-stretch are increases in ROS production observed [74], indicating that the major contributor to oxidative stress is the level of perturbation to tRNAarg. 5. Mitochondrial-Encoded Complex V (ATP Synthase) Mutations The last step in the OXPHOS chain is mediated by complex V, an ensemble that consists of a central rotor complex that synthesizes ATP in a proton electrochemical gradient driven reaction. The mtDNA encodes 2 subunits of complex V, ATP6 and ATP8. The m.T8993G mutation in the ATP6 gene (Leu156Arg) is associated with neurogenic ataxia retinitis pigmentosa (NARP) as well as maternally inherited Leigh’s syndrome (MILS) [62]. Cybrids from 143B ρ0 cells and blood platelets produce increased amounts of H2O2 in proportion to the level of heteroplasmy of the mutation (~2 fold for 50% heteroplasmy, and ~4 fold at 100%) [63]. Superoxide production was also increased in a m.T8993G prostate cancer mouse model [64]. Lipid hyperoxidation, measured by malondialdehyde and 4-hydroxyalkenals levels, was also increased markedly in the 143B cybrid cells and the activity of the mitochondrial superoxide dismutase, MnSOD, was increased 1.7-fold for cybrids harbouring the m.T8993G mutation at 50% heteroplasmy, and almost 3.5-fold for homoplasmic cybrid cells [65]. A similar finding has been made in NARP patient fibroblasts carrying the m.T8993G mutation, where both MnSOD and the cytoplasmic CuZnSOD activity were three times higher than in control samples [66]. This suggests that mtDNA-encoded defects in complex V increase ROS production, which has been proposed to play a major role in the pathogenesis of NARP/MILS. Indeed, the antioxidants N-acetylcysteine and dihydrolipoic acid have been tested in fibroblasts harbouring 97% m.T8993G mutant mtDNA and have been shown to significantly improve mitochondrial respiration and ATP synthesis in these cells [65]. The substitution of T8993 by cytosine instead of guanosine (m.T8993C, Leu156Pro) results in further pronounced increase in ROS production compared to the m.T8993G Antioxidants 2019, 8, 392 10 of 19 mutation in human patient lymphocytes [67] and causes a typical phenotype of episodic weakness and motor neuropathy [68]. In a set of patients that shared clinical periodic paralyses combined with other individual symptoms, other ATP6 mutations (m.T9185C, Leu220Pro and m.T9176C, Leu217Pro) were detected that were associated with increased oxidative stress [68]. Interestingly, this panel of individuals also included a patient with a mutation of the ATP8 gene (m.T8403C, Ile13Thr), suggesting that this subunit might also contribute to mitochondrial ROS production. In mice, a polymorphism of ATP8 (m.G7778T, Asp5Tyr) causes ATP levels 3-fold lower than in control animals and an increase in H2O2 production, determined by Amplex Red dye in isolated mitochondria of the spleen [69]. 5. Mitochondrial-Encoded Complex V (ATP Synthase) Mutations The affected mitochondria appear swollen [70] and a significant increase of MitoSox fluorescence could be detected in pancreatic islets of affected mice compared to control animals [69]. However, common polymorphisms in ATP8 (m.C8414T, Leu17Phe) in Han Chinese populations do not induce altered ROS production at normoxic or hypoxic conditions [44]. 6. Mitochondrial-Encoded tRNA and rRNA Mutations Interestingly, one of the studies characterising mice of the 10A haplogroup reports differences in ROS levels only beyond nine months of age [75]. This coincided with increased liver tissue degeneration, inflammation and fibrosis and altered mitochondrial morphology, suggesting that the pathogenic potential of some tRNA mtDNA mutations may become apparent only with age [75]. l An increase in ROS production has been reported also for mutations in tRNAgly (m.T10003C) [72,76], tRNAmet (m.C4467A) [77], tRNAhis (T12201C) [78], tRNAtrp (m.C5541T) [79], tRNAala (m.T5655C), tRNAasp (m.A7551G), tRNAglu (m.A14692G), and slightly for tRNAthr (m.A15909G), which are often 11 of 19 Antioxidants 2019, 8, 392 accompanied by a corresponding decrease in ATP production [72]. In addition, a patient bearing a tRNAval mutation (m.A1630G) suffering from gastrointestinal dysmotility and cachexia, presented with increased serum ferritin and lowered transferrin levels [80], both previously associated with a high ROS burden [81,82]. Moreover, a deficiency in negotiating exogenous oxidative stress was found in lymphoblastoid cell lines harbouring a tRNAile mutation (m.A4263G) [83], as well as in cybrids carrying either tRNAthr (m.A15909G) [84] or tRNAmet (m.A4435G) mutations [85]. This implies that cellular ROS-protective mechanisms have a reduced capacity to ameliorate the additional external stress due to the presumably already elevated endogenous ROS levels. Similarly to tRNAs, defects in the two mtDNA-encoded rRNAs, 16S rRNA and 12S rRNA, affect the synthesis of mitochondrially encoded proteins and therefore the assembly of OXPHOS machinery. Mutations of the 12S rRNA, which is a component of the small subunit of the mitochondrial ribosome, affect RNA secondary structure and have been widely associated with hearing loss and ototoxicity of certain antibiotics [86,87]. In an attempt to establish a mechanistic link between one of the most common 12S rRNA mutations in hearing loss and a greater susceptibility to deafness, cybrids of three hearing loss patients with a m.C1494T mutation were compared with cybrids harbouring the mitochondria of control subjects [88]. Western blotting revealed consistently decreased levels of mitochondrially encoded proteins in the mutant cybrid lines, reduced ATP production and an increased number of MitoSox positive cells, indicating enhanced levels of mitochondrial superoxide [88]. The m.A1555G mutation in 12S rRNA is also associated with maternally inherited deafness and doubled mitochondrial superoxide production in cybrids compared to wild-type controls; and also induces caspase 3/7 activity, indicating the initiation of apoptosis [89]. 6. Mitochondrial-Encoded tRNA and rRNA Mutations A mutation in 16S rRNA (m.A2905G), which forms part of the large subunit of the mitochondrial ribosome, was detected along with three other mutations in the ATP6 and ND4 genes in a pancreas cancer cell line; however, while the mtDNA mutations confer chemoresistance to common cancer drugs, Satoshi et al. (2009) indicate that they did not observe any increase in ROS production of mutant cybrids compared to wild-type controls [90]. In contrast, a significant, more than 1.5-fold increase in DCFDA fluorescence was observed in lymphoblastoid cell lines established from hypertrophic cardiomyopathy patients with a m.T2336C substitution in the 16S rRNA gene compared both to a 143B cell control and corresponding cell lines obtained from control subjects of the same haplogroup [91]. The oxygen consumption rate and mitochondrial ATP synthesis were reduced as well, indicating mitochondrial dysfunction [91]. 7. Mutations in Polymerase γ (Nuclear-Encoded) Above, we have described the impact of particular individual mtDNA lesions upon ROS production. However, the accumulation of multiple, distinct mtDNA mutations across multiple genomes has been predicted to occur during the ageing process in cells [6,7,92–96]. The myriad of distinct and perhaps extremely rare mtDNA lesions is difficult to detect in an individual with the use of current technology. However, given what we know about individual mutations, it is reasonable to predict that the compounded effect of acquired mtDNA mutations over time would result in a progressive increase in ROS production and a decrease in ATP synthesis. ROS-induced increases in damage to proteins, lipids and nucleic acids and a loss of cellular functions due to a lack of ATP may eventually lead to cellular dysfunction, senescence and apoptosis. Successively, tissue functionality would be compromised, causing the symptoms of ageing in the individual. However, this mitochondrial theory of ageing has suffered from a lack of direct experimental evidence. Replication errors that occur during mtDNA duplication are a likely cause for most acquired mtDNA mutations. Replication of the mitochondrial genome is performed exclusively by DNA polymerase γ, a nuclear-encoded enzyme with a catalytic subunit (POLGA) that performs the polymerase and exonuclease activities, and an accessory subunit (POLG2) that enhances processivity. Accelerating the accumulation of de novo mtDNA mutations has been achieved in mice by mutating the POLGA subunit of DNA polymerase γ, affecting the exonuclease activity and thus the proofreading 12 of 19 12 of 19 Antioxidants 2019, 8, 392 capacity of the polymerase [97]. Compared to wild-type littermates, POLGA mutant mice display a 3- to 8-fold increase in the frequency of somatic mtDNA mutations and display premature signs of ageing as well as a shortened lifespan [97]. However, while there was evidence of nuclear DNA damage (TUNEL stain indicating double strand breaks) and cell death (presence of cleaved caspase 3), the POLGA mutant mice did not display increased ROS production in heart and liver tissue, or any signs of increased oxidative stress. Similar results were obtained by Trifunovic et al., which reported an increase in mtDNA mutation load in POLGA mice but only a small increase in carbonylated mitochondrial proteins, suggesting that there were no drastic differences in mitochondrial ROS production [98]. 7. Mutations in Polymerase γ (Nuclear-Encoded) In addition to the observations made at 40 weeks of age, mouse embryonal fibroblasts obtained from POLGA mice do not seem to produce more H2O2, nor are they more vulnerable towards H2O2 treatment than wild-type embryonal fibroblasts. yp y Logan et al. propose that mitochondrial ROS production is tightly regulated within cells, and ex vivo experiments may not provide the appropriate conditions to accurately reflect mitochondrial ROS in vivo [99]. To overcome this problem, the MitoB probe can be injected in live animals where it accumulates in mitochondria. Its reaction with H2O2 to MitoP was assessed by mass spectrometry, indicating higher ROS levels in mature POLGA mutator mice than in wild-type mice [99]. The challenge of detecting differences in ROS levels between POLGA and wild-type mice is further compounded by the circumstance that the activity of the exonuclease domain is required to create ligatable mtDNA ends after replication to achieve its closed circular confirmation [100]. Linearization of the mtDNA results in its degradation, so a failure to ligate due to a deficiency of the exonuclease activity might affect transcription from the unligated mtDNA. While the mutated DNA is detectable in sequencing, transcription of the compromised mtDNA may be inefficient. As such, mutant subunits may be produced and incorporated into the OXPHOS machinery not very frequently, which may reduce and delay aberrant ROS production. A different polymerase γ mutation in the catalytic subunit POLGA (Tyr955Cys) that in humans, causes Chronic Progressive External Ophthalmoplegia (CPEO), does not impact the exonuclease function, but instead affects the polymerase activity. Placed close to the catalytic site, this residue presumably is involved in the binding of nucleoside triphosphates. The Tyr955Cys mutation reduces the processivity of polymerase γ and in absence of the proofreading exonuclease activity, increases the frequency of misinsertions during replication [101]. The mouse lines established by Lewis et al. express POLGATyr955Cys under a tissue-specific promoter restricted to the cardiac muscle. While the mice display no obvious phenotypic variations, their life expectancy was reduced drastically and the mice suffered from cardiac enlargement and cardiomyopathy [102]. Alterations in mitochondrial morphology, such as mitochondrial swelling, dissolution of the christae and altered structure of the matrix were reported. 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Conclusions While the biological importance of ROS in the biogenesis of mtDNA mutations is far from clear, the above experimental evidence indicates that diverse mutations in almost all mtDNA-encoded genes can enhance ROS production in a number of cellular settings. ROS have important physiological roles in signalling and immunity, however the pathological consequences of excessive oxidative stress originating from mtDNA mutations are wide, complex, and varied. Although the involvement of oxidative stress in ageing itself is controversial, in many instances, disorders thought to be caused by excessive oxidative stress generated by the mitochondria are associated with ageing-related pathologies, such as neurodegeneration [103]. Mutations in the mitochondrial genome have been found to accumulate in somatic tissues during normal ageing [104], as has an increase in ROS production and biomarkers of its damage [105], however, demonstrating causality between the two has been challenging as has their direct links with ageing and longevity. The mtDNA mutational landscape is 13 of 19 Antioxidants 2019, 8, 392 open to spatiotemporal fluctuations during a lifetime [4], and it is likely that all individuals harbour mtDNA mutations, even if at undetectable levels. As a consequence, mitochondrial ROS production may be highly dynamic and highly variable between cells. A future research goal will be to unravel the intricacies of these relationships. open to spatiotemporal fluctuations during a lifetime [4], and it is likely that all individuals harbour mtDNA mutations, even if at undetectable levels. As a consequence, mitochondrial ROS production may be highly dynamic and highly variable between cells. 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Liu, Z.; Song, Y.; Li, D.; He, X.; Li, S.; Wu, B.; Wang, W.; Gu, S.; Zhu, X.; Wang, X.; et al. The novel mitochondrial 16S rRNA 2336T>C mutation is associated with hypertrophic cardiomyopathy. J. Med. Genet. 2014, 51, 176–184. [CrossRef] [PubMed] 92. Michikawa, Y.; Mazzucchelli, F.; Bresolin, N.; Scarlato, G.; Attardi, G. Aging-Dependent Large Accumulation of Point Mutations in the Human mtDNA Control Region for Replication. Science 1999, 286, 774–779. [CrossRef] [PubMed] 93. Wang, Y.; Michikawa, Y.; Mallidis, C.; Bai, Y.; Woodhouse, L.; Yarasheski, K.E.; Miller, C.A.; Askanas, V.; Engel, W.K.; Bhasin, S.; et al. Muscle-specific mutations accumulate with aging in critical human mtDNA control sites for replication. Proc. Natl. Acad. Sci. 104. Larsson, N.G. Somatic mitochondrial DNA mutations in mammalian aging. Annu. Rev. Biochem. 2010, 79, 683–706. [CrossRef] [PubMed] 105. Liguori, I.; Russo, G.; Curcio, F.; Bulli, G.; Aran, L.; Della-Morte, D.; Gargiulo, G.; Testa, G.; Cacciatore, F.; Bonaduce, D.; et al. Oxidative stress, aging, and diseases. Clin. Interv. Aging 2018, 13, 757–772. [CrossRef] © 2019 by the authors. Licensee MDPI, Basel, Switzerland. This article is an open access article distributed under the terms and conditions of the Creative Commons Attribution (CC BY) license (http://creativecommons.org/licenses/by/4.0/). References USA 2001, 98, 4022–4027. [CrossRef] [PubMed] 94. Bua, E.; Johnson, J.; Herbst, A.; Delong, B.; McKenzie, D.; Salamat, S.; Aiken, J.M. Mitochondrial DNA–Deletion Mutations Accumulate Intracellularly to Detrimental Levels in Aged Human Skeletal Muscle Fibers. Am. J. Hum. Genet. 2006, 79, 469–480. [CrossRef] [PubMed] 95. Arnheim, N.; Cortopassi, G. Deleterious mitochondrial DNA mutations accumulate in aging human tissues. Mutation Res. DNAging 1992, 275, 157–167. [CrossRef] 96. Cortopassi, G.A.; Arnheim, N. Detection of a specific mitochondrial DNA deletion in tissues of older humans. Nucleic Acids Res. 1990, 18, 6927–6933. [CrossRef] [PubMed] 97. Kujoth, G.C.; Hiona, A.; Pugh, T.D.; Someya, S.; Panzer, K.; Wohlgemuth, S.E.; Hofer, T.; Seo, A.Y.; Sullivan, R.; Jobling, W.A.; et al. Mitochondrial DNA mutations, oxidative stress, and apoptosis in mammalian aging. Science 2005, 309, 481–484. [CrossRef] 98. Trifunovic, A.; Wredenberg, A.; Falkenberg, M.; Spelbrink, J.N.; Rovio, A.T.; Bruder, C.E.; Bohlooly-Y, M.; Gidlöf, S.; Oldfors, A.; Wibom, R.; et al. Premature ageing in mice expressing defective mitochondrial DNA polymerase. Nature 2004, 429, 417. [CrossRef] 99. Logan, A.; Shabalina, I.G.; Prime, T.A.; Rogatti, S.; Kalinovich, A.V.; Hartley, R.C.; Budd, R.C.; Cannon, B.; Murphy, M.P. In vivo levels of mitochondrial hydrogen peroxide increase with age in mtDNA mutator mice. Aging Cell 2014, 13, 765–768. [CrossRef] 100. Macao, B.; Uhler, J.P.; Siibak, T.; Zhu, X.; Shi, Y.; Sheng, W.; Olsson, M.; Stewart, J.B.; Gustafsson, C.M.; Falkenberg, M. The exonuclease activity of DNA polymerase γ is required for ligation during mitochondrial DNA replication. Nat. Commun. 2015, 6, 7303. [CrossRef] 101. Ponamarev, M.V.; Longley, M.J.; Nguyen, D.; Kunkel, T.A.; Copeland, W.C. Active site mutation in DNA polymerase gamma associated with progressive external ophthalmoplegia causes error-prone DNA synthesis. J. Biol..Chem. 2002, 277, 15225–15228. [CrossRef] [PubMed] 102. Lewis, W.; Day, B.J.; Kohler, J.J.; Hosseini, S.H.; Chan, S.S.; Green, E.C.; Haase, C.P.; Keebaugh, E.S.; Long, R.; Ludaway, T.; et al. Decreased mtDNA, oxidative stress, cardiomyopathy, and death from transgenic cardiac targeted human mutant polymerase gamma. Lab. Investig. J. Tech. Methods Pathol. 2007, 87, 326–335. [CrossRef] [PubMed] 103. Nissanka, N.; Moraes, C.T. Mitochondrial DNA damage and reactive oxygen species in neurodegenerative disease. FEBS Lett. 2018, 592, 728–742. [CrossRef] [PubMed] 19 of 19 Antioxidants 2019, 8, 392
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Використання python фреймворку Django та адаптивного дизайну для створення сайту інтернет-магазину
ГУМАНІТАРНИЙ І ІННОВАЦІЙНИЙ РАКУРС ПРОФЕСІЙНОЇ МАЙСТЕРНОСТІ: ПОШУКИ МОЛОДИХ ВЧЕНИХ
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Література: Література: 1. Програмне забезпечення Study Link URL: http://study-link- demo.com/. 2 Інструкція з використання системи Study Link URL: Література: 1. Програмне забезпечення Study Link URL: http://study-link- demo.com/. р ур 1. Програмне забезпечення Study Link URL: http://study-link- demo.com/. 2. Інструкція з використання системи Study Link URL: https://telegra.ph/Oglyad-mozhlivostej-sistemi-Study-Link-10-12. 2. Інструкція з використання системи Study Link URL: https://telegra.ph/Oglyad-mozhlivostej-sistemi-Study-Link-10-12. DOI https://doi.org/10.36059/978-966-397-266-4/108 Література: 1. Програмне забезпечення Study Link URL: http://study-link- demo.com/. 2. Інструкція з використання системи Study Link URL: https://telegra.ph/Oglyad-mozhlivostej-sistemi-Study-Link-10-12. Література: 1. Програмне забезпечення Study Link URL: http://study-link- demo.com/. 2. Інструкція з використання системи Study Link URL: https://telegra.ph/Oglyad-mozhlivostej-sistemi-Study-Link-10-12. ВИКОРИСТАННЯ PYTHON ФРЕЙМВОРКУ DJANGO ТА АДАПТИВНОГО ДИЗАЙНУ ДЛЯ СТВОРЕННЯ САЙТУ ІНТЕРНЕТ-МАГАЗИНУ Данилець Є. В. кандидат технічних наук, доцент, доцент кафедри інформаційних технологій Факультету кібербезпеки, програмної інженерії та комп’ютерних наук Міжнародний гуманітарний університет Данилець Є. В. кандидат технічних наук, доцент, доцент кафедри інформаційних технологій Факультету кібербезпеки, програмної інженерії та комп’ютерних наук Міжнародний гуманітарний університет Паскаленко В. М. викладач кафедри інформаційних технологій Факультету кібербезпеки, програмної інженерії та комп’ютерних наук Міжнародний гуманітарний університет м. Одеса, Україна Паскаленко В. М. викладач кафедри інформаційних технологій Факультету кібербезпеки, програмної інженерії та комп’ютерних наук Міжнародний гуманітарний університет м. Одеса, Україна Сьогодні вже не можливо уявити сферу сайтобудівництва без використання сучасних фреймворків, які прискорюють та покращують процес створення сайтів. Фреймворки для веб-розробки використовуються в процесі побудови як простих сайтів-візиток, так і складних корпоративних веб-порталів. Якщо раніше для веб-розробки використовувалася лише одна мова програмування – JavaScript, то в наш час до цього процесу «долучаються» й інші мови програмування, такі як Python, Java та C#. Особливу увагу слід звернути на мову Python, популярність якої за останні кілька років стрімко зросла, і навіть перевершила Java. З розвитком машинного навчання, аналізу даних і веб-додатків багато розробників стали частіше використовувати цю мову програмування, 368 оскільки вона має безліч корисних бібліотек, простий синтаксис і мобільність. Як правило, веб-розробка включає такі аспекти, як інтерфейс, серверна частина та бізнес-логіка. А веб-фреймворк – це набір пакетів і модулів, що складаються з попередньо написаного стандартизованого коду. Таким чином, код забезпечує розробку веб-додатків, роблячи цей процес швидше та простіше, а програми більш надійними та масштабованими. Іншими словами, фреймворки вже мають вбудовані компоненти, які спрощують роботу над проектом. Веб-фреймворки Python використовуються в серверній частині веб-додатка, допомагаючи в маршрутизації URL-адрес, HTTP-запитах, доступі до баз даних, веб- безпеці тощо. Одним з найпопулярніших Python веб-фреймворків є Django  – це швидкий, безпечний та масштабований веб-фреймворк, який пропонує високий рівень та відкритий вихідний код. Фреймворк включає комплексний пакет, у якому є панель управління, інтерфейс бази даних та структура каталогу після створення програми [1]. Крім того, він включає велику кількість функцій, тому не має необхідності додавати окремі бібліотеки. Аутентифікація користувачів, механізми шаблонів, маршрутизація, міграція схеми бази даних тощо – все це приклади можливостей, які пропонує фреймворк. Як правило, версія сайту для десктопу виглядає дивно на смартфоні. Щоб роздивитися текст, користувачеві доводиться користуватися збільшенням і горизонтальною прокруткою. З іншого боку, сайт у вигляді однієї вузької колонки буде виглядати ще більш дивно на широкому комп’ютерному моніторі. ВИКОРИСТАННЯ PYTHON ФРЕЙМВОРКУ DJANGO ТА АДАПТИВНОГО ДИЗАЙНУ ДЛЯ СТВОРЕННЯ САЙТУ ІНТЕРНЕТ-МАГАЗИНУ Адаптивний веб-дизайн (Responsive Web Design, RWD) – це підхід до створення веб-сторінок, при якому їх зовнішній вигляд визначається через CSS, ґрунтуючись на ширині вікна браузера. Це дозволяє забезпечити зручний дизайн для будь-якого пристрою, без необхідності створення декількох різних сайтів [2]. В адаптивному веб-дизайні використовуються гнучкі grid-системи, масштабовані зображення і спеціальні медіа-запити CSS. Гнучка сітка життєво необхідна, оскільки в нашому світі існує величезна кількість пристроїв, і кожний з них має свій розмір дисплея. Тому просто неможливо створити фіксований розмір макета, який би красиво вписався в екран будь-якої ширини. Потрібна розмітка, яка може розширюватися і звужуватися (разом з контентом), підлаштовуючись під екран конкретного пристрою. Медіа-запити – це CSS-технологія, яка дозволяє визначати умови для відображення тих чи інших стилів. Наприклад, можна задати один набір 369 CSS-правил для екранів шириною менше 768 пікселів, другий – для ширини понад 1024 пікселів тощо. Також через медіа-запити можна визначати тип пристрою (екран монітора, принтер, мовний синтезатор), співвідношення сторін екрану, орієнтацію (альбомна або книжкова), роздільну здатність дисплея і багато іншого. Все це дає можливість створювати специфічні стилі, з огляду на безліч нюансів. Ідея адаптивного дизайну – надати відвідувачам сайт в найбільш читабельній і привабливій формі. Дизайн створюється під як мінімум три цільових екрану: настільний ПК, планшет і смартфон. Але з огляду на велику кількість варіацій цих девайсів, недостатньо зупинитися на якійсь одній ширині для кожного типу пристрою. Тому важливо використовувати такі гнучкі блоки як Flexbox та CSS Grid в процесі розробки дизайну сайту під різну ширину вікна браузера. Модуль гнучких блоків (Flexible Box Layout Module або Flexbox) був представлений W3C як більш ефективний інструмент для створення розмітки, вирівнювання і розподілу елементів на веб-сторінці, навіть якщо їх розміри невідомі [3]. Grid модуль для CSS був розроблений робочою групою CSS для того, щоб зробити створення шаблонів CSS максимально зручним. CSS Grid – це нова модель для створення шаблонів, оптимізована для створення двовимірних макетів. Вона ідеально підходить для: шаблонів сайтів, форм, галерей та всього, що вимагає точного позиціонування [4]. На рисунку. 1 представлена домашня сторінка сайту інтернет- магазину побутової техніки та електроніки. Ліворуч представлена версія головної сторінки інтернет магазину для перегляду на мобільних пристроях, а в центрі версія для перегляду на планшетах. Тобто обидві ці версії можна вважати мобільними, але для сенсорних екранів з різною діагоналлю. На відміну від мобільній версії сайту, десктопна версія (представлена праворуч) виконана в класичному стилі, тобто у верхній частині сторінки знаходиться головне меню і поле для пошуку. 370 371 371 Риc. 1. Література: р ур 1. Django: The web framework for perfectionists with deadlines URL: https://www.djangoproject.com (Дата звернення: 12.10.2022) р ур 1. Django: The web framework for perfectionists with deadlines URL: https://www.djangoproject.com (Дата звернення: 12.10.2022) 2. Responsive Web Design. Wikipedia, the free encyclopedia, URL: https://en.wikipedia.org/wiki/Responsive_web_design (Дата звернення: 12.10.2022) 3. CSS Flexible Box Layout Module Level 1: The World Wide Web Consortium, URL: https://www.w3.org/TR/css-flexbox-1/ (Дата звернення: 12.10.2022) 3. CSS Flexible Box Layout Module Level 1: The World Wide Web Consortium, URL: https://www.w3.org/TR/css-flexbox-1/ (Дата звернення: 12.10.2022) 4. CSS Grid Layout Module Level 2. The World Wide Web Consortium, URL: https://www.w3.org/TR/css-grid-2/ (Дата звернення: 12.10.2022) 4. CSS Grid Layout Module Level 2. The World Wide Web Consortium, URL: https://www.w3.org/TR/css-grid-2/ (Дата звернення: 12.10.2022) DOI https://doi.org/10.36059/978-966-397-266-4/109 ВИКОРИСТАННЯ PYTHON ФРЕЙМВОРКУ DJANGO ТА АДАПТИВНОГО ДИЗАЙНУ ДЛЯ СТВОРЕННЯ САЙТУ ІНТЕРНЕТ-МАГАЗИНУ Мобільні та десктопна версії домашньої сторінки інтернет-магазину Риc. 1. Мобільні та десктопна версії домашньої сторінки інтернет-магазину За допомогою Django був створений прототип сайту та моделі для представлення даних, було створено уявлення для формування з даних відповідей на різні запити, були створені маршрути для асоціації сервера з певними уявленнями, а також було налаштоване бекенд-середовище та сформована бізнес-логіка сайту. В якості бази даних була використана SQLite через те, що Django налаштований для її використання за замовчуванням, при створенні проекту з використанням стандартних інструментів (django-admin), а можливостей цієї бази даних достатньо для обслуговування веб-сайту інтернет-магазину середніх розмірів. Таким чином, спроектований прототип інтернет-магазину електроніки відповідає всім вимогам, що висуваються до віртуальних крамниць сучасності. Сайт інтернет-магазину електроніки побудований з використанням адаптивного макетування та сучасних інформаційних 372 технологій сайтобудівництва, зокрема, з використанням одного з найпотужніших Python веб-фреймворків Django. Зрозумілий у використанні та вдало сконструйований, сучасний та зручний інтернет-магазин в якому використовується адаптивний дизайн, з широким, якісним асортиментом та доступними цінами на сучасну продукцію, приноситиме підприємству левову частку доходів. А наявність мобільної версії сайту збільшить інтернет-аудиторію відвідувачів сайту, що теж відзначиться на прибутку підприємства в цілому. МАТЕМАТИКА В СУЧАСНИХ ІТ-ЗАДАЧАХ Клімішина І. В. викладач кафедри інформаційних технологій Факультету кібербезпеки, програмної інженерії та комп’ютерних наук Міжнародний гуманітарний університет Григор’єва Т. І. кандидат технічних наук, доцент, доцент кафедри інформаційних технологій Факультету кібербезпеки, програмної інженерії та комп’ютерних наук Міжнародний гуманітарний університет м. Одеса, Україна Сучасний рівень розвитку ІТ – систем потребує все нових рішень все більш складних задач для отримання оптимальних результатів, що 373
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Reduced-Order-VSM-Based Frequency Controller for Wind Turbines
Energies
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Citation (APA): Lu, L., Saborío-Romano, O., & Cutululis, N. A. (2021). Reduced-Order-VSM-Based Frequency Controller for Wind Turbines. Energies, 14(3), Article 528. https://doi.org/10.3390/en14030528 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.  You may not further distribute the material or use it for any profit-making activity or commercial gain  You may freely distribute the URL identifying the publication in the public portal If you believe that this document breaches copyright please contact us providing details, and we will remove access to the work immediately and investigate your claim. 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. 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 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 Reduced-Order-VSM-Based Frequency Controller for Wind Turbines Lu, Liang; Saborío-Romano, Oscar; Cutululis, Nicolaos A. Document Version Publisher's PDF, also known as Version of record 1. Introduction Wind energy is playing an increasingly important role in power systems. The total  installed capacity of wind power has already surpassed 205 GW in Europe, and wind  energy provided 15% of the electricity consumption in the EU countries in 2019 [1]. As  more  inverter‐based‐resources  (IBR)  is  integrated  into  power  systems  and  traditional  generation units are decommissioned, the total inertia of the power system is decreasing  [2–4]. As  inertia  plays  an  important  role  in  limiting  the  rate  of  change  of  frequency  (RoCoF) during frequency events, it is becoming more challenging to ensure power sys‐ tem  frequency  stability. Reduced  inertia  can  result  in  larger  RoCoF,  which  can  cause  generation to disconnect [5]. Generators will have to comply with stricter grid code re‐ quirements on the RoCoF withstand capability [6,7]. Lower inertia also contributes to  lower frequency nadirs during underfrequency events, which may trigger undesirable  underfrequency load shedding [8]. This issue needs to be carefully addressed in power  systems with increasing IBR. Citation: Lu, L.; Saborío‐Romano, O.;  Cutululis, N.A. Reduced‐Order‐VSM‐Based    Frequency Controller for Wind  Turbines. Energies 2021, 14, 528. https://  doi.org/10.3390/en14030528  Received: 21 December 2020  Accepted: 18 January 2021  Published: 20 January 2021 Received: 21 December 2020  Accepted: 18 January 2021  Published: 20 January 2021 Publisher’s Note: MDPI stays  neutral with regard to jurisdictional  claims in published maps and  institutional affiliations. Publisher’s Note: MDPI stays  neutral with regard to jurisdictional  claims in published maps and  institutional affiliations. y g One  method  of  limiting  the  RoCoF  in  such  systems  during  frequency  events  is  having IBR respond to such events by manipulating their production in proportion to the  RoCoF [9]. Such a method usually relies on PLLs to estimate the frequency from local  voltage measurements, before its rate of change can be calculated. An additional torque  or  active  power  signal,  proportional  to  the  estimated  RoCoF,  is  added to  the  original  reference. In this way, additional active power is provided by a wind turbine (WT) to  support the frequency during an underfrequency event. 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  (http://creativecommons.org/licenses /by/4.0/). Copyright: © 2021 by the authors. Licensee MDPI, Basel, Switzerland. Liang Lu, Oscar Saborío‐Romano and Nicolaos A. Cutululis * Liang Lu, Oscar Saborío‐Romano and Nicolaos A. Cutululis * Department of Wind Energy, Technical University of Denmark, Frederiksborgvej 399, 4000 Roskilde, Denmark;  lilu@dtu.dk (L.L.); osro@dtu.dk (O.S.‐R.)  *  Correspondence: niac@dtu.dk Abstract: Frequency support capability is becoming an important requirement for wind turbines,  as wind power is increasingly integrated into power systems. In this paper, a frequency controller  is implemented and validated. Such a controller allows wind turbines to help regulate the system  frequency automatically and includes virtual inertia to help limit the rate of change of frequency. Compared with other methods, the controller achieves satisfactory frequency support capability  with considerable simplicity. The controller is added to the grid‐side converter controls, together  with  cascaded  inner loops, which  enables  wind  turbines  to  operate  in grid‐forming  mode  with  overcurrent  protection. The influence of the controller  parameters  on the frequency response is  investigated. Keywords: wind turbine; frequency control; virtual synchronous machine Link back to DTU Orbit Link back to DTU Orbit Citation (APA): Lu, L., Saborío-Romano, O., & Cutululis, N. A. (2021). Reduced-Order-VSM-Based Frequency Controller for Wind Turbines. Energies, 14(3), Article 528. https://doi.org/10.3390/en14030528 this document breaches copyright please contact us providing details, and we will remove access to the work immediate ur claim. www.mdpi.com/journal/energies Citation: Lu, L.; Saborío‐Romano, O.;  Cutululis, N.A.    Reduced‐Order‐VSM‐Based    Frequency Controller for Wind  Turbines. Energies 2021, 14, 528. https://  doi.org/10.3390/en14030528  Received: 21 December 2020  Accepted: 18 January 2021  Published: 20 January 2021 1. Introduction This article is an open access article  distributed under the terms and  conditions of the Creative Commons  Attribution (CC BY) license However, a disadvantage of this method comes from the estimation of frequency and  its rate of change. Firstly, considerable time lag is accumulated in the process, from sam‐ pling, filtering, and digital signal processing. Such a time lag, usually ranging from 0.5 to 1  s [6], degrades the inertial response and fast frequency regulation, which take place within  the first few seconds (typically 5–10 s). Secondly, calculation of the derivative of frequency  typically induces noise to the control system, which may lead to instability. Removing such (http://creativecommons.org/licenses /by/4.0/). www.mdpi.com/journal/energies Energies 2021, 14, 528. https://doi.org/10.3390/en14030528 Energies 2021, 14, 528 2  of  11 2  of  11 noise by processing the resulting signal can also result in further time lag. noise by processing the resulting signal can also result in further time lag. Furthermore, aforementioned problems of frequency estimation become even more  prominent in weak grids because of distorted voltage measurements [10,11]. This method  operates an RES as a current source, while operating multiple current sources is prone to  lead to instability [12]. This is also termed as grid‐following control. Challenges can also  arise  for  synchronization  of  grid‐following  control  in  weak  grids  where  voltages  are  distorted. The synchronization instability can lead to sideband oscillations in voltages  and currents [13]. Moreover, an RES in the grid‐following control mode cannot operate as  the  only  power  source  in  an  islanded  or  isolated  microgrid,  in  which  a  grid‐forming  power source is needed. A second‐order‐model implementation of the virtual synchronous machine (VSM)  control concept can provide the grid‐forming control mode and virtual inertial response  simultaneously. Generally, VSMs are control schemes applied to converters, which can  allow IBR to emulate the behavior of conventional power plants. p p Until  now,  several  VSM  control  schemes  have  been  proposed. Most  of  them  are  trying to include the synchronous machines’ (SMs’) model as much as possible, like a  complete SM model in the first proposal [14] or a fifth‐order SM model without rotor  damper windings in [15]. This is an intuitive direction to work towards at the early stage  of this concept. However, this not only obtains the desired characteristics for frequency  control from a conventional power plant, but also brings complexity by including the de‐ tailed electromagnetic interactions from an SM. 1. Introduction The more complex this nonlinear system is,  the more difficult implementation will be, and numerical instability might also be a prob‐ lem. In such a manner, undesired properties of an SM, like a loss of stability or subsyn‐ chronous  oscillations,  may  also  occur  in  a  VSM‐controlled  system  [15]. In  addition,  the  concept of VSM control was first widely discussed for microgrid applications. Hence most  schemes also contain a reactive power control block [16,17]. However, this block is likely to  cause power coupling issues or power ripples depending on the gain [18]. In this paper, focus is given to frequency support capability from WTs. A frequency  controller is proposed, which has a simplified emulation of a conventional power plant  for  satisfactory  frequency  support  capability. Only  the  swing  equation  and  frequen‐ cy‐active power (f‐P) droop control are implemented and in the swing equation, only the  inertia constant is included, to regulate the virtual inertial response at the beginning of a  frequency event. The frequency controller is added to the grid‐side converter (GSC) con‐ trol, together with cascaded inner loops. The influence of the controller parameters (inertia  constant and droop coefficient) on the frequency response is investigated in detail. p q y p g The rest of the paper is organized as follows. Section 2 describes the proposed fre‐ quency  controller  (FC) and  GSC  control  scheme. Influence  of the  inertia  constant and  droop coefficient in the FC on the frequency response of the GSC is illustrated in Section  3, before concluding in Section 4. 2. Modeling and Control of the GSC The GSC control scheme comprises an internal current feedback loop. For this loop,  a  synchronous  vector  controller  is  used,  with  two  PI  compensators  of  current  vector  components defined in rotating synchronous coordinates dq. With this controller, it is  easy to perform the open‐loop test of the inverter and achieve ideally impressed currents,  which improves the power quality [19]. The current loop is tuned using the loop shaping method for a bandwidth of 200 Hz. The outer of it is a voltage loop. Both of them use classical configurations [20]. The voltage loop is tuned using the symmetrical optimum method so that the re‐ sulting closed‐loop system has a triple real pole (and a phase margin of approximately  53°, as a consequence). To eliminate overshoot caused by the lead terms in the PI con‐ trollers, lag terms are introduced into the scheme via first‐order low‐pass prefiltering of Energies 2021, 14, 528 3  of  11 3  of  11 the  reference  voltage  . With  such  prefiltering,  the  voltage  loop  bandwidth  is  re‐ duced to about 34 Hz. * _ f dq v the  reference  voltage  . With  such  prefiltering,  the  voltage  loop  bandwidth  is  re‐ duced to about 34 Hz. * _ f dq v An active damping term is added to the converter voltage reference    for sup‐ pressing LC oscillations in the converter filter [21,22]. * _ c dq v Frequency Controller In this work, consideration is given solely to primary frequency control (PFC) for the  frequency support capability. The proposed frequency controller (FC) provides two dif‐ ferent functions for frequency support: virtual inertia and droop control. This simplicity  helps to maintain the advantages of converter control, like flexibility and rapidity. The  frequency controller (FC) emulates the swing equation for virtual inertial response and  includes f‐P droop control for primary frequency control (PFC). The dynamic equation of rotational motion of an SM (1), commonly referred to as  the swing equation, describes the swings in rotor angle caused by unbalances between  the  electromagnetic  (air‐gap)  torque  and  the  mechanical  input  torque  in  an  SM. The  torque imbalance causes the rotor to accelerate or decelerate. This changes the relative  angle between the electromotive force created by the magnetic field in the rotor of the SM  and the terminal voltage in the stator. Variation of this angle difference results in a vari‐ ation of electromagnetic torque according to the power–angle relationship. g q g p g p The swing equation can be written as [23] The swing equation can be written as [23] 2 2 2 m e n H d T T dt         (1) (1) H = inertia constant in MWꞏs/MVA;  n   = rated angular velocity in electrical rad/s;  δ = angular position in electrical radians;  t = time in s;  m T   = mechanical torque in per unit (pu);  eT   = electromagnetic torque in per unit (pu). For analyzing its dynamics, it is expressed in the state‐ H = inertia constant in MWꞏs/MVA;  n   = rated angular velocity in electrical rad/s;  δ = angular position in electrical radians;  t = time in s;  m T   = mechanical torque in per unit (pu);  eT   = electromagnetic torque in per unit (pu). For analyzing its dynamics, it is expressed in the state‐space form, becoming For analyzing its dynamics, it is expressed in the state‐space form, becoming 1 ( ) 2 r m e d T T dt H         (2)  n r d dt          (3) (2) (3) where r   = angular velocity in electrical rad/s; r   = angular velocity in electrical rad/s; r     = deviation of angular velocity in pu The emulation of swing equation plays a critical role in the FC. In the scheme, the  aforementioned power angle δ becomes a control target, which is obtained from integra‐ tion of virtual rotating speed ω, obtained as the output of (2), with the power imbalance  as input. The power imbalance is the deviation of active power measured at the point of  connection (PoC) from the power reference. From (2) it is easy to get that a large inertia (reflected by the value of H) is beneficial  to  limit  the  value  of  ,  for  a  certain  torque  imbalance  . The  value  of  / r d dt     is equivalent to RoCoF, which is one of the two key metrics for evaluating the  performance  of  frequency  support  capability. This  is  how  conventional  power  plants  help to maintain the frequency stability by avoiding a large RoCoF because of the cou‐ pling between SMs’ rotating speed and system frequency. By emulating the swing equa‐ / r d dt   ( ) m e T T  Energies 2021, 14, 528 4  of  11 4  of  11 tion  in  the  FC,  the  power  source  shows  the  same  inertial  response  as  a  conventional  power plant in a frequency event. The RoCoF thereby is limited by the virtual inertia. This is how this FC helps to maintain the same frequency stability of a power system  even with more and more IBR being integrated. tion  in  the  FC,  the  power  source  shows  the  same  inertial  response  as  a  conventional  power plant in a frequency event. The RoCoF thereby is limited by the virtual inertia. This is how this FC helps to maintain the same frequency stability of a power system  even with more and more IBR being integrated. The inertia constant H has a relatively small range of variation in terms of different  types of conventional power plants, typically in the range of 2–10 [23]. It is determined by  their type and size. However, for the FC, its virtual inertia constant is a control parameter that can be  manipulated. This becomes an advantage for virtual inertial response in frequency sup‐ port. The inertia constant can also be adjusted in real time to achieve a faster and more  stable operation. where Different values (even negative) can be used in different phases of os‐ cillations (acceleration or deceleration) to achieve a better damping of oscillations [24,25]. p g The  governor  with  a  speed‐droop  characteristic  in  a  conventional  power  plant  is  characterized as a proportional controller with a gain of  . 1/ r D The parameter  , referred to as speed regulation or droop coefficient, determines  the steady‐state speed versus load characteristic of an SM and its prime mover. It is equal  to the ratio of speed deviation (∆ω) or frequency deviation (∆f) to change in active power  output (∆P) or torque output (∆T). In this paper, the parameters in our control scheme are  all in per unit. r D The governor regulates the mechanical power input of the prime mover according to  the change of grid frequency and brings the frequency back to a new steady state in the  PFC  process. This  is  the  second  role,  apart  from  inertial  response,  that  conventional  power  plants  play  in  maintaining  the  frequency  stability. The  frequency  deviation  is  mainly determined by the value of power imbalance and is essentially reduced by re‐ ducing the power imbalance between generation and load. There are two key metrics for  evaluating the performance of frequency support capability: RoCoF and extremum (na‐ dir or zenith) of frequency. As discussed before, RoCoF in the inertial response process is  mainly  determined  by  the  inertia  constant. Extremum  of  frequency  in  the  whole  PFC  process is mainly influenced by the droop coefficient. The GSC control scheme is shown in Figure 1. The GSC control scheme is shown in Figure 1. Figure 1. Investigated grid‐side converter (GSC) control scheme. Figure 1. Investigated grid‐side converter (GSC) control scheme. Energies 2021, 14, 528 5  of  11 3. Simulation Results Dynamic  simulations  were  performed  to  verify  the  feasibility  of  the  GSC  control  scheme. The influence of the two FC parameters on the frequency response was also in‐ vestigated. RoCoF and frequency nadir were calculated to assess the performance of the  controls during an underfrequency event. The power system simulated is shown in Figure 2. The model is implemented in  MATLAB Simulink. In this system, a GSC is connected to a synchronous generator (SG)  and a load via a line with resistance    and inductance  . An underfrequency event  was simulated at    by means of a 0.2 pu load increase. The parameters for the GSC,  SG, and line are given in Tables A1–A3 in the Appendix A. lR lL 8 t s  For the SG, the delay in an SG frequency response depends on the types of governor  and turbine. In this paper, the delays in the SG (representing time lags of the governor  and the steam turbine) are linearly represented by first‐order transfer functions, appro‐ priate for load‐frequency analysis. The governor time constant  g T   has a typical value of  0.2 s, resulting in a delay of 3–5 s [23]. 0.2 s, resulting in a delay of 3–5 s [23]. For the GSC, we used an average model, therefore omitted PWM. Figure 2. The simulation model. Figure 2. The simulation model. The electric circuits of the model are in physical units, while the GSC control scheme  is in per unit. The base power is defined from the total apparent power rating of the SG or  GSC. The  base  voltage  is  the  peak  value  of  rated  phase‐to‐ground  voltage. Transfor‐ mation from abc to dq frame is based on the amplitude‐invariant Park transformation [23]. 3.1. Influence on Dynamic Response The influence of the FC’s inertia constant and droop coefficient on the system’s dy‐ namic response was investigated by performing a parametric sensitivity analysis. The  dynamic response of the relevant variables was plotted for different parameter values to  assess its influence. Firstly, we varied the value of inertia constant H in the FC, from 2 to 6 Wꞏs/VA, in  unitary steps while the droop coefficient    was kept constant at 0.05. The results are  shown in Figures 3 and 4. Secondly, we changed the value of droop coefficient  r D   in the  FC from 0.03 to 0.07, with a step of 0.01 while the inertia constant H was kept constant at 4  Wꞏs/VA. The results are shown in Figures 5 and 6. In both cases, the parameters of the SG  were not changed. In the figures, the mechanical power of GSC was the active power  reference for its controls (   in Figure 1). r D m T T  6  of  11 Energies 2021, 14, 528 Figure 3. Influence of the inertia constant H on the virtual rotating speed of FC (H_SG = 4 W∙s/VA,  _ _ 0.05 r r D FC D SG   ). Figure 3. Influence of the inertia constant H on the virtual rotating speed of FC (H_SG = 4 W∙s/VA,  0.05 r r D FC D SG   ). Figure 3. Influence of the inertia constant H on the virtual rotating speed of FC (H_SG = 4 W∙s/VA,  _ _ 0.05 r r D FC D SG   ). Figure 4. Influence of the inertia constant H on the system’s response (H_SG = 4 W∙s/VA,  _ _ 0.05 r r D FC D SG   ). Figure 4. Influence of the inertia constant H on the system’s response (H_SG = 4 W∙s/VA,  _ _ 0.05 r r D FC D SG   ). From Figure 4 we can see that a larger value of inertia constant made the system  more damped. From the responses of active power, we could see the interaction between  these two generation units and the complementary nature of their outputs. The larger the  difference between their inertia constants, the more evident the interaction and comple‐ mentariness were. 3.1. Influence on Dynamic Response From the responses of mechanical power, we could see the slower re‐ action of the SG because of, e.g., the speed relay or servomotor in its governor, while  converter control had the advantage of a fast response, which is important in fast fre‐ quency support. 7  of  11 Energies 2021, 14, 528 Figure 5. Influence of the droop coefficient  r D   on the virtual rotating speed of FC (H_FC = H_SG  = 4 W∙s/VA,  _ 0.05 r D SG  ). Figure  6. Influence  of  the  droop  coefficient  r D   on  the  virtual  rotating  speed  of  FC  (H_FC  =  H_SG  =  4  W∙s/VA,  _ 0.05 r D SG  ). From Figure 6, we can see that droop coefficient did not have as much influence as  the inertia constant on system damping. With different values of the droop coefficient,  the  responses  were  similar  in  shape. The  responses  of  active  power  and  mechanical  power also proved the correct load sharing between these two units with different droop  coefficients. Figure 5. Influence of the droop coefficient  r D   on the virtual rotating speed of FC (H_FC = H_SG  = 4 W∙s/VA,  _ 0.05 r D SG  ). Figure 5. Influence of the droop coefficient  r D   on the virtual rotating speed of FC (H_FC = H_SG  = 4 W∙s/VA,  _ 0.05 r D SG  ). Figure 5. Influence of the droop coefficient  r D   on the virtual rotating speed of FC (H_FC = H_SG  = 4 W∙s/VA,  _ 0.05 r D SG  ). Figure  6. Influence  of  the  droop  coefficient  r D   on  the  virtual  rotating  speed  of  FC  (H_FC  =  H_SG  =  4  W∙s/VA,  _ 0.05 r D SG  ). Figure  6. Influence  of  the  droop  coefficient  r D   on  the  virtual  rotating  speed  of  FC  (H_FC  =  H_SG  =  4  W∙s/VA,  0 05 D SG ) Figure  6. Influence  of  the  droop  coefficient  r D   on  the  virtual  rotating  speed  of  FC  (H_FC  =  H_SG  =  4  W∙s/VA,  _ 0.05 r D SG  ). From Figure 6, we can see that droop coefficient did not have as much influence as  the inertia constant on system damping. With different values of the droop coefficient,  the  responses  were  similar  in  shape. The  responses  of  active  power  and  mechanical  power also proved the correct load sharing between these two units with different droop  coefficients. 3.1. Influence on Dynamic Response Energies 2021, 14, 528 8  of  11 3.2. Influence on RoCoF and Frequency Nadir 3.2. Influence on RoCoF and Frequency Nadir 3.2. Influence on RoCoF and Frequency Nadir The focus now is on the impact of inertia constant H and droop coefficient  r D   on  the RoCoF and nadir of frequency after an underfrequency event, for each combination of  H and  r D . The results are shown in Figures 7 and 8. Figure 7. Influence of H and  r D   on RoCoF. Figure 7. Influence of H and  r D   on RoCoF. Figure 8. Influence of H and  r D   on nadir of frequency. Figure 8. Influence of H and  r D   on nadir of frequency. From the results, we could get the following conclusions: From the results, we could get the following conclusions: From the results, we could get the following conclusions: From the results, we could get the following conclusions: (1) An increase of inertia constant decreased RoCoF, which is desirable for frequency  support. (2) Droop coefficient had little influence on RoCoF, which was slightly reduced with  decreasing droop coefficient. (3) RoCoF was mainly influenced by inertia constant. (3) RoCoF was mainly influenced by inertia constant. (4) Inertia constant had little influence on nadir,  which was  slightly improved when  increasing inertia constant. A higher nadir is desirable for frequency support. g g (5) A decrease of droop coefficient increased nadir. (6) Nadir of frequency was mainly influenced by droop coefficient. Therefore, from the perspective of frequency support, it is desirable to have a larger  inertia constant and a smaller droop coefficient. To design appropriate values for inertia constant and droop coefficient in the FC, not  only  its  frequency  support  capability  needs  to  be  evaluated,  but  also  system  stability  should be considered. Moreover, the exact value of inertia constant also depends, among To design appropriate values for inertia constant and droop coefficient in the FC, not  only  its  frequency  support  capability  needs  to  be  evaluated,  but  also  system  stability  should be considered. Moreover, the exact value of inertia constant also depends, among Energies 2021, 14, 528 9  of  11 9  of  11 others, on the grid codes regarding PFC and converter ratings. The recommendation of  exact values of inertia constant will be our future work, considering more practical ap‐ plication scenarios and constraints. Although  a  smaller  droop  coefficient  is  beneficial  for  frequency  support,  a  lower  value also means increased power needed to be extracted from a WT to support the fre‐ quency. This is limited by the ratings of the turbine, the generator, the converter, or by  the  available  energy  (from  wind  or  storage). In  addition,  rating  translates  into  higher  cost,  which  is  a  big  concern  in  industrial  applications. Furthermore,  this  value  of  the  droop  coefficient  may  also  be  regulated  by  grid  codes. Same  as  the  inertia  constant,  recommendation  of  an  exact  value  of  droop  coefficient  will  be  our  future  work,  after  considering more practical application scenarios and constraints. 4. Conclusions In this paper, we proposed a frequency controller in the GSC control scheme, which  aimed to enhance WTs’ frequency support capability. The frequency controller only em‐ ulated the swing equation for virtual inertial response and included f‐P droop control for  the primary frequency control. Compared with other methods in the literature, the pro‐ posed  frequency  controller  achieved  satisfactory  frequency  support  with  considerable  simplicity. Cascaded inner loops enable WTs to operate in the grid‐forming mode with  overcurrent protection. Simulations proved correct operations of the proposed frequency  controller and GSC control scheme. In a system with the FC‐controlled GSC connected with a SG, we investigated the  influence of parameters in the frequency controller, inertia constant, and droop coeffi‐ cient, on the system’s dynamic responses and frequency support performance. RoCoF  and nadir of frequency were used as metrics in an underfrequency event. From the re‐ sults, we concluded that a larger inertia constant was beneficial for frequency support,  which reduced RoCoF and improved nadir. Similarly, a smaller droop coefficient was  advantageous  for  frequency  support, which  decreased  RoCoF  and  increased  nadir. In  addition, RoCoF was mainly influenced by inertia constant, while nadir was mainly af‐ fected by the droop coefficient. Author Contributions: Conceptualization, L.L. and N.A.C.; methodology, L.L., O.S.‐R. and N.A.C.;  software, L.L. and O.S.‐R.; validation, L.L. and O.S.‐R.; formal analysis, L.L., O.S.‐R. and N.A.C.;  investigation, L.L., O.S.‐R. and N.A.C.; resources, L.L. and O.S.‐R.; data curation, L.L., O.S.‐R. and  N.A.C.; writing—original draft preparation, L.L.; writing—review and editing, L.L., O.S.‐R. and  N.A.C.;  visualization,  L.L.,  O.S.‐R. and  N.A.C.;  supervision,  O.S.‐R. and  N.A.C.;  project  admin‐ istration, L.L.; funding acquisition, N.A.C. All authors have read and agreed to the published ver‐ sion of the manuscript. Funding: This research was funded by the European Union’s Horizon 2020 research and innova‐ tion  program  under  grant  agreement  No. 727680  (TotalControl)  and  project  PowerKey  (EUDP  Project No. 12558). Institutional Review Board Statement: Not applicable. Institutional Review Board Statement: Not applicable. Informed Consent Statement:    Not applicable. Informed Consent Statement:    Not applicable. Data Availability Statement:    Not applicable. Data Availability Statement:    Not applicable. Data Availability Statement:    Not applicable. Conflicts of Interest: The authors declare no conflict of interest. Conflicts of Interest: The authors declare no conflict of interest. Appendix A Parameter  Value  Parameter  Value  Capacity,  n S   10 kVA  d axis transient short‐circuit time constant,  d T   1.01 s  Nominal voltage (phase‐to‐phase, RMS),  n V   400 V  d axis subtransient short‐circuit time  constant,  d T   0.053 s  Nominal current (RMS),  nI   14.43 A  q axis subtransient open‐circuit time constant,  qo T   0.1 s  Nominal frequency,  nf   50 Hz  Stator resistance,  s R   2.8544 × 10−3 pu  Number of pole pairs  1  Friction factor, F  0  d axis synchronous reactance,  d X   1.305 pu  Inertia constant, H  4 W∙s/VA  d axis transient reactance,  d X   0.296 pu  Droop coefficient,  r D   0.05  d axis subtransient reactance,  d X   0.252 pu  Governor time constant,  g T   0.2 s  q axis synchronous reactance,  q X   0.474 pu  Steam turbine time constant,  ch T   0.3 s  q axis subtransient reactance X  0 243 pu Line resistance R 0 01 pu Table A2. Parameters of the wind turbine (WT) GSC. Parameter  Value  Parameter  Value  Nominal active power,  nP   10 kW  Filter capacitance,  f C   0.05 pu  Nominal voltage (phase‐to‐phase, RMS),  n V   400 V  Current loop time constant,  c  7.9577 × 10−4 s  Nominal current (RMS),  nI   14.43 A  Current loop proportional gain,  pc K   0.4  Nominal frequency,  nf   50 Hz  Current loop integral gain,  ic K   0.1571  DC‐link voltage,  DC V   800 V  Voltage loop proportional gain,  pv K   0.0667  Converter switch‐on resistance,  on R   1× 10−3 Ω  Voltage loop reciprocal of integration time,  z  139.6263  Filter resistance,  f R   1× 10−3 Ω  Inertia constant, H  4 W∙s/VA  Filter inductance,  f L   0.1 pu  Droop coefficient,  r D   0.05 Table A2. Parameters of the wind turbine (WT) GSC. Table A3. Parameters of the synchronous generator (SG) and line. Appendix A A salient pole rotor was modeled in the SG, hence there was no parameter q axis  transient reactance  q X , open‐circuit ( qo T ), or short‐circuit ( qT ) time constant. The d axis  is the short‐circuit and q axis is the open‐circuit. 10  of  11 Energies 2021, 14, 528 Table A1. Per unit representation and simulation settings. Parameter  Value  Parameter  Value  Power base,  b S   10 kVA  Inductance base,  / b b b L Z     0.0509 H  Voltage base (phase‐to‐ground, peak),  b V   326.5986 V  Capacitance base,  1/ / b b b C Z     1.9894 × 10−4 F  Current base,  / 2 / 3 b b b I S V     20.4124 A  Simulation time step,  sT   160 × 10−6 s  Impedance base,  / b b b Z V I    16 Ω  Initial power set point of GSC,  _ ref VSM P   0.5 pu  Frequency base,  bf   50 Hz  Initial power set point of SG,  _ ref SG P   0.5 pu  Angular speed base,  2 b bf      314.1593 rad/s Table A1. Per unit representation and simulation settings. Frequency base,  bf   50 Hz  Initial power set point of SG,  _ ref SG P   0.5 pu  Angular speed base,  2 b bf      314.1593 rad/s      Table A2. Parameters of the wind turbine (WT) GSC. Parameter  Value  Parameter  Value  Nominal active power,  nP   10 kW  Filter capacitance,  f C   0.05 pu  Nominal voltage (phase‐to‐phase, RMS),  n V   400 V  Current loop time constant,  c  7.9577 × 10−4 s  Nominal current (RMS),  nI   14.43 A  Current loop proportional gain,  pc K   0.4  Nominal frequency,  nf   50 Hz  Current loop integral gain,  ic K   0.1571  DC‐link voltage,  DC V   800 V  Voltage loop proportional gain,  pv K   0.0667  Converter switch‐on resistance,  on R   1× 10−3 Ω  Voltage loop reciprocal of integration time,  z  139.6263  Filter resistance,  f R   1× 10−3 Ω  Inertia constant, H  4 W∙s/VA  Filter inductance,  f L   0.1 pu  Droop coefficient,  r D   0.05  Table A3. Parameters of the synchronous generator (SG) and line. References References 1. Komusanac,  I.;  Brindley,  G.;  Fraile,  D.;  Walsh,  C. Wind  Energy  in  Europe  in  2019—Trends  and  Statistics;  Wind  Europe:  Brussels, Belgium, 2020. 1. 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Appendix A Parameter  Value  Parameter  Value  Capacity,  n S   10 kVA  d axis transient short‐circuit time constant,  d T   1.01 s  Nominal voltage (phase‐to‐phase, RMS),  n V   400 V  d axis subtransient short‐circuit time  constant,  d T   0.053 s  Nominal current (RMS),  nI   14.43 A  q axis subtransient open‐circuit time constant,  qo T   0.1 s  Nominal frequency,  nf   50 Hz  Stator resistance,  s R   2.8544 × 10−3 pu  Number of pole pairs  1  Friction factor, F  0  d axis synchronous reactance,  d X   1.305 pu  Inertia constant, H  4 W∙s/VA  d axis transient reactance,  d X   0.296 pu  Droop coefficient,  r D   0.05  d axis subtransient reactance,  d X   0.252 pu  Governor time constant,  g T   0.2 s  q axis synchronous reactance,  q X   0.474 pu  Steam turbine time constant,  ch T   0.3 s  q axis subtransient reactance,  q X   0.243 pu  Line resistance,  lR   0.01 pu  Leakage reactance,  l X   0.18 pu  Line inductance,  lL   0.2 pu Table A3. Parameters of the synchronous generator (SG) and line. 11  of  11 11  of  11 Energies 2021, 14, 528 References Wen, B.; Boroyevich, D.; Burgos, R.; Mattavelli, P.; Shen, Z. Small‐Signal Stability Analysis of Three‐Phase AC Systems in the  Presence of Constant Power Loads Based on Measured d‐q Frame Impedances. IEEE Trans. Power Electron. 2015, 30, 5952–5963,  doi:10.1109/TPEL.2014.2378731. ang,  X.;  Taul,  M.G.;  Wu,  H.;  Liao,  Y.;  Blaabjerg,  F.;  Harnefors,  L. Grid‐Synchronization  Stability  of esources—An Overview. IEEE Open J. Ind. Appl. 2020, 1, 115–134, doi:10.1109/ojia.2020.3020392. p pp j 14. Beck,  H.P.;  Hesse,  R. Virtual  synchronous  machine. In  Proceedings  of  the  2007  9th  International  Conference  on  Electrical  Power Quality and Utilisation, Barcelona, Spain, 9–11 October 2007. y p 15. Zhong, Q.‐C.; Weiss, G. Synchronverters: Inverters That Mimic Synchronous Generators. IEEE Trans. Ind. Electron. 2011, 58,  1259–1267, doi:10.1002/9781118481806.ch18. 16. Zhang,  W.;  Cantarellas,  A.M.;  Rocabert,  J.;  Luna,  A.;  Rodriguez,  P. Synchronous  Power  Controller  with  Flexible  Droop  Characteristics  for  Renewable  Power  Generation  Systems. IEEE  Trans. Sustain. Energy  2016,  7,  1572–1582,  doi:10.1109/TSTE.2016.2565059. 17. D’Arco, S.; Suul, J.A.; Fosso, O.B. A Virtual Synchronous Machine implementation for distributed control of power converters  in SmartGrids. Electr. Power Syst. Res. 2015, 122, 180–197, doi:10.1016/j.epsr.2015.01.001. y j p 18. Qu,  Z.;  Yang,  H.;  Han,  J.;  Song,  C.;  Li,  W.;  Cai,  Y. Effects  analysis  of  excitation  circuit  on  power  control  for  VSG:  A  design‐oriented study. IET Renew. Power Gener. 2020, 14, 803–810, doi:10.1049/iet‐rpg.2019.0389. 19. Kazmierkowski,  M.P.;  Malesani,  L. Current  control  techniques  for  three‐phase  voltage‐source  pwm  converters:  A  survey. IEEE Trans. Ind. Electron. 1998, 45, 691–703, doi:10.1109/41.720325. 20. D’Arco, S.; Suul, J.A.; Fosso, O.B. Small‐signal modelling and parametric sensitivity of a Virtual Synchronous Machine. In  Proceedings of the 2014 Power Systems Computation Conference, PSCC 2014, Wroclaw, Poland, 18–22 August 2014. 21. Mo,  O.;  Hernes,  M.;  Ljøkelsøy,  K. Active  damping  of  oscillations in  LC‐filter  for  line  connected,  current  controlled,  PWM  voltage source converters. In Proceedings of the 10th European Conference on Power Electronics and Applications, Toulouse,  France, 2–5 September 2003. p 22. Malinowski, M.; Kazmierkowski, M.P.; Bernet, S. New Simple Active Damping of Resonance in Three‐Phase PWM Converter  with  LCL  Filter. In  Proceedings  of  the  2005  IEEE  International  Conference  on  Industrial  Technology,  Hong  Kong,  14–17  December 2005. 23. Kundur, P. Power System Stability And Control; McGraw‐Hill, Inc.: New York, NY, USA, 1994; ISBN ur, P. Power System Stability And Control; McGraw‐Hill, Inc.: New York, NY, USA, 1994; ISBN 0‐07‐035958‐X or J ; Miura Y ; Ise T Distributed Generation Grid Integration Using Virtual Synchronous Generator with Ad 23. Kundur, P. 25. Alipoor,  J.;  Miura,  Y.;  Ise,  T.  Power  system  stabilization  using  virtual  synchronous  generator  with  alternating  moment  of  inertia. IEEE J. Emerg. Sel. Top. Power Electron. 2015, 3, 451–458, doi:10.1109/JESTPE.2014.2362530. References Power System Stability And Control; McGraw‐Hill, Inc.: New York, NY, USA, 1994; ISBN 0‐07‐035958‐X. 24 Ali J Mi Y I T Di ib d G i G id I i U i Vi l S h G i h Ad i Vi l 23. Kundur, P. Power System Stability And Control; McGraw‐Hill, Inc.: New York, NY, USA, 1994; ISBN 0‐07‐035958‐X. 24. Alipoor, J.; Miura, Y.; Ise, T. Distributed Generation Grid Integration Using Virtual Synchronous Generator with Adoptive Virtual  Inertia. In Proceedings of the IEEE Energy Conversion Congress and Exposition, Oregon, Portland, 23–27 September 2018. 24. Alipoor, J.; Miura, Y.; Ise, T. Distributed Generation Grid Integration Using Virtual Synchronous Gen Inertia. In Proceedings of the IEEE Energy Conversion Congress and Exposition, Oregon, Portland, 23– 25. Alipoor,  J.;  Miura,  Y.;  Ise,  T. Power  system  stabilization  using  virtual  synchronous  generator  with  alternating  moment  of  inertia. IEEE J. Emerg. Sel. Top. Power Electron. 2015, 3, 451–458, doi:10.1109/JESTPE.2014.2362530.
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Educação sistematizada: a morte lenta da cultura Parakanã
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o&s - Salvador, v.16 - n.50, p. 565-585 - Julho/Setembro - 2009 www.revistaoes.ufba.br EDUCAÇÃO SISTEMATIZADA: A MORTE LENTA DA CULTURA PARAKANÃ Rosimar Miranda Teixeira* Isabel Cristina dos Santos** Edson Aparecida de Araújo Querido Oliveira*** Rosimar Miranda Teixeira* RESUMO RESUMO t fO trabalho avaliou as interferências étnico-culturais ocasionadas pelo processo de Educação Sistematizada implantado nas aldeias Parakanã. O projeto de pesquisa foi aprovado pelo Comitê de Ética da Universidade e pelos órgãos envolvidos na Educação indígena e gestão da Aldeia, aos quais foi garantido o acesso aos seus resultados finais. Trata-se de uma pesquisa qualitativa, baseada em documentos, entre- vistas semi-estruturadas com os índios idosos e questionários aplicados aos professores e índios jovens. Foram tomados registros fotográficos cotidianos das duas aldeias pesquisadas. Os dados obtidos indicam a morte lenta da cultura e dos saberes empíricos típicos da etnia, uma vez que o conteúdo programático aplicado no processo de Educação Sistematizada, planejado e executado por professores não-indios, não os contempla. Constatou-se a existência de contradições entre a percepção dos professores e dos índios acerca das tradições e atitudes típicas. Há flagrantes barreiras na comunicação entre eles, pois os professores não dominam o dialeto, e uma clara dicotomia entre os índios jovens e idosos sobre a importância da manutenção dos usos e costumes da etnia, atualmente praticados pelos índios idosos. Observou-se o abandono dos adereços indígenas e a adoção do pa- drão de comportamento do homem civilizado, evidenciando o aculturamento daquele povo. O Palavras-chave: Educação sistematizada. Interferências étnico-culturais. Nação Parakanã. Saberes empíricos. SYSTEMATIZED EDUCATION: THE SLOW DEATH OF THE PARAKANÃ CULTURE SYSTEMATIZED EDUCATION: THE SLOW DEATH OF THE PARAKANÃ CULTURE ABSTRACT ABSTRACT ABSTRACT T his research investigates cultural interferences from the Systematized Educational Process implemented for the Parakanã People located in the Xingu area, west of the state of Para. This project was previously submitted to the University of Taubaté Ethics Committee and the Education Secretary of Belem do Pará Municipality, which has accessed its results. Methodological procedures were based on a qualitative approach supported by documental analysis, interviews and questionnaires. Furthermore, some of the most important cultural and religious events have been documented as a photographic diary. The data collected underwent interpretive analysis. The chosen sample reflected 10% of the whole population living in the same location. Research findings reveal that the educational program does not consider the Parakanã People’s culture. A dichotomy was noticed in the way teachers perceive the relevance of preserving Indian traditions and spontaneous attitudes. Moreover, there are strong communication barriers as teachers do not understand their dialect. Within the Indian group, there is a visible dichotomy between the youngest and the oldest ones about the maintenance of ethnic customs demonstrated by the abandonment of traditional clothing and adornments to adopt non-Indian behavioral standards which reveals a process of ongoing cultural change. T Key words: Education. Ethnic interference. Parakanã Nation. Experienced knowledge *Mestre pelo Programa de Mestrado em Gestão e Desenvolvimento Regional da Universidade de Taubaté–UNITAU. Profa. do Instituto de Desenvolvimento Educacional do Pará e da Universidade Estadual Vale do Acaraú – IDEPA/ UVA. Endereço: Rodovia Augusto Montenegro Conj. COHAB, Trav. SN 4 nº 230, GL – I, Nova Marambaia. Belém/PA. CEP: 66.623.278 . E-mail: rosimarm60@gmail.com **Doutora pela Escola Politécnica da Universidade de São Paulo. Profa. Assistente e Pesquisadora do Programa de Mestrado em Gestão e Desenvolvimento Regional da UNITAU. E-mail: isa.santos.sjc@gmail.com ***Doutor pelo Instituto Tecnológico de Aeronáutica (ITA). Prof. Assistente, Pesquisador e Coorde- nador Geral do Programa de Mestrado em Gestão e Desenvolvimento Regional da UNITAU. E-mail: edson@unitau.br o&s - Salvador, v.16 - n.50, p. 565-585 - Julho/Setembro - 2009 www.revistaoes.ufba.br 565 Rosimar Miranda Teixeira, Isabel Cristina dos Santos & Edson Aparecida de Araújo Querido Oliveira Introdução Introdução ãA questão indígena brasileira assume uma nova dimensão a partir da promul- gação da Constituição Federal de 1988. ABSTRACT A nova lei assegura ao índio brasi- leiro o direito à manutenção de sua identidade cultural, conferindo ao Esta- do o dever de proteger o cidadão índio e atribuindo ao Ministério da Educa- ção a responsabilidade de oferecer aos índios uma educação específica e de qua- lidade. Vale salientar que essa foi a primeira grande ação formal para a construção de uma Política Educacional específica para os povos indígenas, cujo princípio maior baseou-se no respeito à diversidade étnica e cultural dos índios e ao reconheci- mento dos saberes tradicionais, experienciados ao longo de várias gerações. A Tem-se, então, a abertura do diálogo acerca do reconhecimento das dife- renças culturais existentes na sociedade brasileira, bem como da importância de se gerar modelos educativos e práticas pedagógicas que assegurem e satisfaçam as necessidades básicas de educação do povo brasileiro, seja qual for sua etnia. Esse compromisso foi assumido a partir da LDBEN/96, bem como da elaboração do Plano Decenal de Educação Para Todos, que estabeleceu um programa adequado às minorias éticas do país e focou na valorização da imagem do índio brasileiro, figura marginalizada desde a descoberta do Brasil. Outro aspecto importante no que concerne à Educação Sistematizada dos Povos Indígenas é a abertura de caminhos para uma reflexão múltipla acerca do intercâmbio entre os saberes sistematizados considerados padrão pela socieda- de não indígena e os saberes empíricos vividos pelos povos indígenas. Esta pesquisa tem por objeto de estudo a Educação, especificamente o en- sino fundamental aplicado aos povos indígenas, por considerar que essa área configura um espaço de troca, diálogo e de descoberta. Um espaço que abriga uma grande riqueza de diversidade saberes e a oportunidade de compreender o papel do educador junto às comunidades indígenas e as interferências dessa re- lação no processo de desenvolvimento desses povos. o&s - Salvador, v.16 - n.50, p. 565-585 - Julho/Setembro - 2009 www.revistaoes.ufba.br A Evolução da Educação Indígena no Brasil Como se não bastasse, a Companhia contava ainda com uma estrutura de, aproximadamente, “25 residências, 36 missões e 17 colégios e seminários” em pleno funcionamento, sem contar as escolas de ler e escrever espalhadas por todo Brasil (HILSDOF, 2003). p p ( ) A situação ficou a tal nível insustentável que o Marquês de Pombal “atribuiu à Companhia o interesse de formar um ‘império temporal cristão’ na região das mis- sões” (ARANHA, 2006, p. 191). Sob essa ameaça, em 1759, o governo imperial de- creta a expulsão da Companhia de Jesus do território brasileiro, criando, assim, um hiato na função tanto missionário-religiosa quanto educacional, para as comunida- des à margem do acesso às escolas. Este era destinado, apenas, à elite social vigente. g Longe de ser uma solução para os problemas de relações internacionais entre a metrópole e a Espanha, algumas décadas mais tardes, Portugal passaria pelo risco eminente de invasão pelas tropas de Napoleão. A solução encontrada por D. João VI seria a fuga para a Colônia; um exílio que duraria mais de uma década. No retorno à metrópole, Dom João VI foi sucedido por seu filho Pedro, “o príncipe regente”, que proclamaria a independência do Brasil, em 1822. Naquele momento histórico, foi instituída a primeira Constituição Brasileira, a qual, entre outros temas, descrevia os direitos à Educação Básica, em referendo ao modelo já em prática na Colônia. A Constituição reforçava a concepção de que a Igreja e a família seriam responsáveis pela Educação, dispondo a gratuidade para o ensino primário apenas para os filhos de escravos nascidos livres ou de escravos liberta- dos. Cria, também, colégios e universidades, locais em que seriam ensinados os elementos das Ciências, Belas-artes e de outras áreas do conhecimento (ARANHA, 2006). ) Nos 81 anos de reinado imperial no Brasil, apesar de alguns avanços, a Educação foi colocada em segundo plano. Com isso, os grupos sociais que viviam em nível precário, principalmente, os negros e índios, viveram em total abandono, tendo seus direitos negados. Apesar da abolição da escravidão, os negros conti- nuaram sem poder exercer sua cidadania. Muitos não tiveram sequer lugar para morar e uma das alternativas de vidas comunitária, longe do poder opressor dos brancos, foi a formação dos quilombos, cujos vestígios remanescem até os dias atuais, em quase todo País. A Evolução da Educação Indígena no Brasil A Educação brasileira teve seu aporte ancorado nos princípios da Compa- nhia de Jesus e seus missionários coordenados pelo Padre Manoel da Nóbrega. Para Portugal, era necessário consolidar a subserviência e o sentimento da Colônia aos que viviam no território recém-descoberto. Para os nativos do Brasil, a Educação por eles praticada era sinônimo de resistência à nova ordem que se instalava, pois os curumins – crianças, na língua tupi-guarani, eram educados pe- los adultos da tribo - pais, avós e tios. Em algumas tribos, o pajé era o responsá- vel por passar os valores culturais a toda geração que se iniciava na comunidade. (RIBEIRO, 1986). ( ) Assim, a educação sistemática implantada no Brasil passa a desempenhar um novo papel, muito mais orientado pelo esforço de catequização e dissemina- ção do catolicismo, e dos seus ritos, do que pela tipicidade do trabalho agrícola, o qual prescindia de mão-de-obra especializada. Aranha (2006, p.139) descreve esse momento. As metrópoles européias enviaram ao Brasil religiosos para o trabalho missioná- rio e pedagógico, com a principal finalidade de converter os gentios e impedir que os colonos se desviassem da fé católica, conforme orientações da Contra- Reforma. Os missionários desempenharam papel fundamental no processo da educa- ção naquele momento, uma vez que o poder real era dominado pela Igreja Cató- lica, a qual, durante o Absolutismo, representava uma ferramenta importante para assegurar a unidade política na Colônia, de modo a uniformizar a consciência e a fé, facilitando, assim, o domínio da metrópole. Assim, a Educação assumia função o&s - Salvador, v.16 - n.50, p. 565-585 - Julho/Setembro - 2009 www.revistaoes.ufba.br 566 Educação Sistematizada: a morte lenta da cultura Parakanã de agente colonizador, por meio da união entre religião e estado. Situação que se manteria estável até 1759. de agente colonizador, por meio da união entre religião e estado. Situação que se manteria estável até 1759. Contudo, a animosidade entre Portugal e Espanha estava bastante acentu- ada em virtude das sete missões localizadas em frente à fronteira da Região do Rio da Prata, nos locais onde ocorreram às guerras guaraníticas. Nesse momento, crescia-se a aversão à Companhia de Jesus, pois a ordem jesuítica ainda tinha forte influência sobre a população, o que era tido como uma ameaça constante às atividades do governo. o&s - Salvador, v.16 - n.50, p. 565-585 - Julho/Setembro - 2009 www.revistaoes.ufba.br A Evolução da Educação Indígena no Brasil Com a queda do Império, e com início da Primeira República, em 1889, foi instaurado no Brasil o sistema de governo representativo, federal e presidencial. O federalismo deu autonomia aos estados na luta pelo poder. Destacaram-se os estados que possuíam certa estrutura, não só administrativa, mas, também políti- ca e econômica. Esses estados receberam incentivos para fomentar o seu desen- volvimento, o que, segundo Aranha (2006), teria acelerado o processo de distorção e desigualdade, favorecendo os estados de São Paulo, Rio de Janeiro e Minas Gerais. Com relação à questão indígena, em meio a controvérsias, foi criado o Ser- viço de Proteção ao Índio – SPI, por meio do Decreto-lei nº 8.072, de 20 de julho de 1910, que tinha como finalidade a organização das comunidades indígenas hos- tis e arredias, que deveriam ser treinadas e encaminhadas aos centros agrícolas. Nesses centros, sob os moldes do trabalho rural brasileiro, os indígenas recebiam um lote de terra para se instalarem junto aos sertanejos (RIBEIRO, 1986). p j j ( , ) Em 1940, foi instituído o I Congresso Indianista Interamericano, realizado em Patzcuaro, México, onde foi aprovada a recomendação de nº 59, proposta por 567 o&s - Salvador, v.16 - n.50, p. 565-585 - Julho/Setembro - 2009 www.revistaoes.ufba.br Rosimar Miranda Teixeira, Isabel Cristina dos Santos & Edson Aparecida de Araújo Querido Oliveira delegados indianistas do Panamá, Chile, Estados Unidos e México, que criou o Dia do Índio para os países americanos. O Brasil não enviou representação diplomáti- ca para este evento, oferecendo sinais da pouca relevância que atribuía ao tema. O congresso tinha como objetivo fazer um estudo a respeito da questão indígena nos diversos setores da educação e instituição de ensino (RAMOS, 1986). ç ç ( ) No Brasil, a questão indígena seria superficialmente tratada somente três anos mais tarde. O Decreto-lei nº 5.540, de 02 de junho de 1943, assinado pelo então Presidente Getulio Vargas e pelos ministros Apolônio Sales, da pasta da Agricultura, e Oswaldo Aranha, das Relações Exteriores, estabeleceu a data de 19 de abril como sendo o Dia do Índio. Já no ano seguinte, 1944, o Brasil celebraria a data com solenidades e ativi- dades educacionais e divulgação das culturas indígenas; movimento que aconte- ce até os dias atuais. A Evolução da Educação Indígena no Brasil Na maioria das vezes, as instituições de ensino prolongam esta ação por uma semana, o que de certa forma ainda não trata os povos indíge- nas com os direitos que lhes são devidos (RAMOS, 1986). Estas solenidades e atividades não passariam de ações livrescas, sem maior amplitude ou conseqüên- cias. A questão educacional indígena somente seria melhor definida no lançamen- to da Lei de Diretrizes e Bases da Educação Nacional de 1996. Í O Serviço de Proteção ao Índio, criado em 1910, durante o governo do Pre- sidente Nilo Peçanha, com a finalidade de assistir às populações indígenas, seria extinto em 1967, sob forte indício de corrupção e de descaso com a educação indígena. Para suprir as necessidades da causa indianista, no país, foi criada a FUNAI – Fundação Nacional do Índio, sob a lei nº 5.371, de 5 de dezembro de 1967, vinculada ao Ministério da Justiça. De acordo com Meira (2007), a FUNAI tem por finalidade exercer, em nome da União, a tutela dos índios e das comunidades, garantir o cumprimento da polí- tica indigenistas dentro dos princípios de respeito à pessoa do índio e às institui- ções e às comunidades tribais; à inalienabilidade e à posse das terras que ocu- pam e o usufruto exclusivo das riquezas nelas existentes. Além disso, cabe à FUNAI preservar o equilíbrio biológico e cultural na socie- dade nacional; resguardar a identidade diferenciada; gerir o patrimônio indígena; promover estudos, análises e pesquisas científicas sobre o índio, visando à pre- servação das culturas e a adequação dos programas assistenciais; promover a prestação de assistência médico-sanitária aos índios; promover a educação de base apropriada ao índio e o desenvolvimento comunitário; despertar, por meio de instrumentos de divulgação, o interesse coletivo para causa indígena; exerci- tar o poder de polícia nas áreas indígenas e nas matérias atinentes à proteção dos índios; e, ainda, cumprir e fazer cumprir as disposições do estatuto do índio, em vigor, desde a sua criação pela Lei no. 6,001, de 19 de Dezembro de 1973. É Í É importante ressaltar que a implantação do Estatuto do Índio, ainda que gradual, redirecionou o debate e o tratamento à causa indígena em um sentido mais humanizador e histórico. A sociedade brasileira inicia um processo de resga- te e de valorização dos povos indígenas. o&s - Salvador, v.16 - n.50, p. 565-585 - Julho/Setembro - 2009 www.revistaoes.ufba.br A Evolução da Educação Indígena no Brasil Foram muitos os desafios enfrentados por parte daqueles que estavam à frente das comunidades indígenas e que se empenharam para reorganizá-las e aproximá-las da cultura do homem não índio (ARAÚJO; GATT JR, 2002). ( ) Para Grupioni (2000), vários foram os problemas acrescidos à questão indí- gena, visto que grande parte do contingente de pessoas, designada para colocar em prática as ações que doravante foram instituídas pela nova ordem, não aten- dia às expectativas reais desses povos, ou por falta de conhecimento da realida- de indígena, ou por rigidez no entendimento dos conceitos a que se destina a lei. C d f à d ã i dí d i g p g q Contudo, no que se refere à educação indígena e apesar dos instrumentos regulatórios, o Brasil vivenciou cinqüenta e quatro anos de total obscuridade. Ain- da que tenha sido criada a FUNAI, em 1967, no período decorrido desde a Consti- tuição de 1934 até a de 1988, pouco resultado prático foi apresentado. O quadro foi alterado somente a partir do movimento criado pela sociedade brasileira, em prol da volta da democratização e de liberdade política no país, no final dos anos 568 o&s - Salvador, v.16 - n.50, p. 565-585 - Julho/Setembro - 2009 www.revistaoes.ufba.br Educação Sistematizada: a morte lenta da cultura Parakanã 70. Essa discussão reacende a chama tênue que mal aquecia o debate sobre a questão indígena. Porém, deve-se ressaltar que, sobre a Educação Indígena, se- ria necessário esperar até a formulação das Leis de Diretrizes e Bases da Educa- ção Nacional, em 1996. No texto constitucional de 1988, a democratização atingiria também os po- vos indígenas, garantindo-lhes acesso à Educação e à Cidadania, fundamentada nos princípios de igualdade de condições de acesso e permanência na escola, o pluralismo das idéias e concepções, a gratuidade do ensino público e a gestão democrática das instituições de ensino (GHIRALDELLI JR, 2000). A Nova Constituição estendeu o dever do estado para com a Educação Bá- sica a todos os cidadãos, às crianças de zero a seis anos e aos jovens e adultos que a ela não tiveram acesso em idade própria, além das crianças de sete a quatorze anos, incluindo a nação indígena, uma vez que evidencia o direito à Educação Básica a todos os cidadãos, independentemente,.de raça, sexo ou religião. A Evolução da Educação Indígena no Brasil Grupioni (2000) destaca que a Educação Básica para o povo brasileiro pas- sou a ser um direito público subjetivo, podendo os cidadãos acionar os governantes por negligência e omissão do seu dever de oferecê-la. Os recursos públicos volta- dos à Educação foram ampliados para 18% no âmbito federal e para 25% no estadual e no municipal. A educação escolar indígena ganhou nova forma e direcionamento, favo- recendo a abertura para a construção de uma concepção abrangente atrelada ao Sistema Nacional de Educação/SNE, no âmbito do Ministério da Educação. Essa transferência de responsabilidade, da FUNAI para o SNE, foi feita com a garantia de que fossem preservados os atributos particulares dos povos indí- genas, tais como: o uso da língua materna; a sistematização dos conhecimen- tos e saberes tradicionais; o uso de materiais didáticos adequados e prepara- dos pelos próprios professores índios; um calendário específico às necessida- des e rituais da vida indígena, um currículo diferenciado, bem como a participa- ção ativa da comunidade na definição dos objetivos e diretrizes para escola indígena (VEIGA; FERREIRA, 2005). A Lei de Diretrizes e Base da Educação Nacional/LDBEN/96 define que cabe ao Estado Brasileiro recuperar a memória e identidade dos povos indígenas, dis- pondo os conhecimentos técnico-científicos à sociedade nacional. Nessa ocasião, o Referencial Curricular Nacional para Escolas Indígenas/RCNEI tornou-se um mar- co significativo na história da educação indígena brasileira, visto que, pela primei- ra vez, a causa dos índios é tratada de forma apropriada. A Educação aos povos indígenas deve estar voltada, prioritariamente, à pre- servação das relações interculturais destes dentro de uma visão de respeito mú- tuo e de “tolerância”, não só ao tempo de aprendizagem de cada individuo, mas também, ao modo de vida das pessoas, de forma a impedir e punir a discriminação “de indivíduos que não se enquadram na chamada cultura nacional ou dominante” (MONTE, 2000, p.119). É dever do Estado assumir e garantir que a língua e as culturas indígenas sejam de interesse público e intocável. O RCNEI foi elaborado com a participação geral da sociedade brasileira. Pos- sui fundamentação histórica, jurídica, antropológica e pedagógica, que sustenta o ideal de educação estabelecido pela Constituição de 1988 – “escola indígena bilín- güe, intercultural e diferenciada” – , além de propor a formação do professor para atuar nas áreas indígenas. Grupioni (2000) considera que as alterações efetuadas na nova Legislação são positivas e possuem sentido de avanços consideráveis. o&s - Salvador, v.16 - n.50, p. 565-585 - Julho/Setembro - 2009 www.revistaoes.ufba.br A Evolução da Educação Indígena no Brasil Porém, só a lei não é suficiente. É necessária a sua efetivação, de fato e de direito, uma vez que, após vinte anos desde a promulgação da última Constituição, os resultados referentes à educação indígena têm sido insignificantes. Os povos indígenas, apesar de terem conquistado espaço com a nova legis- lação, perderam parte dos incentivos voltados para a sua educação especifica. Na região Norte, em especial no Estado do Pará, as escolas, nas em áreas indígenas, atuam como extensões das Secretarias Municipais, o que descaracteriza a pro- 569 o&s - Salvador, v.16 - n.50, p. 565-585 - Julho/Setembro - 2009 www.revistaoes.ufba.br Rosimar Miranda Teixeira, Isabel Cristina dos Santos & Edson Aparecida de Araújo Querido Oliveira Rosimar Miranda Teixeira, Isabel Cristina dos Santos & Edson Aparecida de Araújo Querido Oliveira posta de uma educação indígena para os índios. Apesar dos anos decorridos entre o esforço dos jesuítas e o esforço empre- endido pelas Secretarias Municipais da Educação, parece que os primeiros – os jesuítas – obtiveram resultados mais consistentes, segundo Aranha (2006), uma vez que, naquela circunstância, permitiu-se a introdução de valores de uma socie- dade com a qual os índios teriam imediata convivência. No caso da Educação apli- cada a comunidades indígenas tão distantes quanto a Parakanã, o conteúdo programático não se estabelece em prol da convivência intercultural, mas sim pela substituição dos referenciais da cultura indígena pelos padrões culturais da cultu- ra branca, ou civilizada. Os Povos Parkanã Ontem e Hoje no Cenário Brasileiro Os índios Parakanã possuem uma característica autodenominante de Awaeté, que significa “gente de verdade”. Essa denominação foi-lhes dada pelos índios Arara-Parir, já extintos. j Os Araweté chamam os Parakanã de “iriwá pepa yã”, que significa senhores das penas de urubus. Tal denominação é em virtude do costume dos Parakanã de se enfeitarem com penas de urubus, quando celebram os seus rituais. Os Parakanã vivem na terra indígena Parakanã, chamada de área indígena Apyterewa, que se localiza entre os municípios de Senador José Porfírio e São Feliz do Xingu, no Estado do Pará, com duas aldeias: o Posto Indígena Apyterewa, com uma população de 203 pessoas, e a Aldeia Xingu, com 161 pessoas (FUNASA, 2006). ) Ambas as aldeias estão situadas à margem esquerda do Rio Xingu, sentido Altamira - São Felix do Xingu, entre os igarapés São José e Bom Jardim. A Evolução da Educação Indígena no Brasil O acesso às terras Apyterewa é feito por barco, pelo Rio Xingu, e por via aérea. O acesso à terra indígena Xingu é feito exclusivamente por barco. Pela dificuldade de acesso às aldeias, a tribo tem pouca interação externa, à exceção de um pequeno comér- cio feito pelos índios jovens. A chegada dos representantes da FUNAI possibilitou o acesso aos serviços assistenciais que a instituição presta à população indígena e algumas facilidades do mundo moderno, como a televisão, que é alimentada por energia de um gera- dor à óleo diesel, e disponível por sinal de satélite, o que permite uma autonomia, de duas a quatro horas diárias; abriga o Jornal Nacional e a novela. Mas, a modernidade se limita aos poucos recursos de comunicação, uma vez que a região não tem cobertura de satélite, em tempo integral e, tampouco, alcança sinal de telefone. Os Parakanã vivem do cultivo da agricultura de subsistência, como: mandio- ca, milho, cará, batata doce, banana e arroz, da caça, ainda abundante na região, e da pesca. Na década de 1970, em pleno regime militar, a ordem política era integração do país, com o lema “integrar para não entregar”. Tendo esse objetivo político, a Região Norte passa a ser alvo de um processo de colonização acelerado a partir da construção da rodovia Transamazônica e Santarém-Cuiabá e da construção da hidrelétrica de Tucuruí (1974). Contribuiu para o pulso do crescimento regional, a retomada da constru- ção da estrada de ferro de Tocantins (iniciada no longínquo ano de 1895) e a corrida acelerada em busca dos grandes castanhais, situados na região, desde 1927. Esses dois movimentos induziram, em 1953, a campanha de pacificação dos índios, sob a coordenação do Serviço de Proteção ao Índio/SPI (FUNAI, 2007). Os povos Parakanã da aldeia Apyterewa e os da Aldeia Xingu são conside- Contribuiu para o pulso do crescimento regional, a retomada da constru- ção da estrada de ferro de Tocantins (iniciada no longínquo ano de 1895) e a corrida acelerada em busca dos grandes castanhais, situados na região, desde 1927. Esses dois movimentos induziram, em 1953, a campanha de pacificação dos índios, sob a coordenação do Serviço de Proteção ao Índio/SPI (FUNAI, 2007). Os povos Parakanã da aldeia Apyterewa e os da Aldeia Xingu são conside- rados guerreiros, por tudo que já viveram e conseguiram sobreviver. o&s - Salvador, v.16 - n.50, p. 565-585 - Julho/Setembro - 2009 www.revistaoes.ufba.br A Evolução da Educação Indígena no Brasil Há, porém, uma característica histórica que responde pela separação dos índios de uma al- deia e outra. Oliveira (1986) afirma que: 1927. Esses dois movimentos induziram, em 1953, a campanha de pacificação dos índios, sob a coordenação do Serviço de Proteção ao Índio/SPI (FUNAI, 2007). Os povos Parakanã da aldeia Apyterewa e os da Aldeia Xingu são conside- rados guerreiros, por tudo que já viveram e conseguiram sobreviver. Há, porém, uma característica histórica que responde pela separação dos índios de uma al- deia e outra. Oliveira (1986) afirma que: , ç ç ç ( , ) Os povos Parakanã da aldeia Apyterewa e os da Aldeia Xingu são conside- rados guerreiros, por tudo que já viveram e conseguiram sobreviver. Há, porém, uma característica histórica que responde pela separação dos índios de uma al- deia e outra. Oliveira (1986) afirma que: 570 Educação Sistematizada: a morte lenta da cultura Parakanã Os Parakanã do Xingu contam de sua história, que a cisão entre os grupos ocorreu em períodos distintos por motivos de brigas internas e também por doenças, como foi o caso de um surto de poliomielite em 1976, registrado pela FUNAI. (OLIVEIRA, 1986 apud DA SILVA, 1995, p. 26) No final de 1983, um grupo composto por cento e seis índios foi encontrado por uma equipe volante sob o comando de Joraroa, nome do índio-guia daquela equipe, num acampamento entre as nascentes do Bacajá e Bom Jardim. Em virtu- de da presença de garimpeiros na região e em face às dificuldades de acesso à localidade, a expedição da FUNAI transferiu o grupo para o baixo curso do igarapé Bom Jardim e, em março de 1994, um segundo grupo de índios da etnia Ajowyhá, com trinta e uma pessoas, juntou-se ao grupo maior. Foi constituído, então, o Posto Indígena Apeterewa-Parakanã, que somou cento e trinta e sete integrantes, estabelecendo, desta maneira, um ponto final à longa espera de um assentamento definitivo para esse povo, empreitada que se iniciara nos trágicos anos de 1928, quando aquele grupo foi quase dizimado pelo contágio de doenças do homem-branco, como a gripe e a diarréia. Esse fato coin- cide com a fundação do Posto de Tocantins. A Evolução da Educação Indígena no Brasil ç Os Parakanã, desde 1928 até o seu assentamento, lutaram para manter sua autonomia, como forma de manter viva a presença de seus antepassados, mas percebendo que estavam definitivamente cercados, acabaram por aceitar efe- tivamente a pacificação, o que, em noutras palavras, significa a aceitação do con- tato e da intervenção dos funcionários da FUNAI, e da obediência às orientações determinadas pela Fundação. p ç Para Fausto (2007), a pacificação não fora em vão: O esforço de todas essas décadas para manter a autonomia acabou sendo re- compensado: no primeiro ano de contato, houve apenas três mortes, sendo uma delas por picada de cobra. Descontando-se esta última, tivemos um declínio demográfico de apenas 1,5% - número que deixa a nu todas as “pacificações” realizadas anteriormente e estabelece um parâmetro para o futuro. Na ocasião, contou-se com recursos financeiros adequados, planejamento das ações, acom- panhamento médico, funcionários dedicados e uma pronta aceitação da media- ção pelos índios (FAUSTO, 2007, p. 6 a 8). Atualmente, os Parakanã do Xingu e da Apyterewa vivem numa relação har- moniosa com o homem branco. Suas aldeias estão localizadas às margens do Rio Xingu, o que tem facilitado o intercâmbio cultural e comercial. Sem contar que este acesso facilitou a assistência que recebem de órgãos como FUNAI, FUNASA, SEMEC- ATM, e de um grupo de profissionais da saúde pertencente à Universidade Federal do Pará, que visita as aldeias duas vezes por ano. O Papel do Professor na Educação dos Povos Indígenas No processo de integração nacional, os meios de comunicação têm o papel de homogeneização das culturas de grupos sociais distintos, com o intuito de torná-los indivíduos similares para o mercado de consumo. Assim, de acordo com Da Silva (1995, p. 193-194), “a supremacia econômica e tecnológica e as conseqüentes re- lações de poder, entre os países e mesmo no interior de uma nação, provocam a marginalização e inferiorizarão de certos grupos sociais em favor de outros”. A constituição histórica da educação brasileira é marcada por uma diversida- de de concepções curriculares que se manifestam no cotidiano escolar de acordo com a situação política, cultural, econômica e educacional de cada momento histó- rico. Apple (2001) afirma que; A educação está intimamente ligada à política da cultura. O currículo nunca é apenas um conjunto neutro de conhecimento, que de algum modo aparece nos textos e nas salas de aula da nação. o&s - Salvador, v.16 - n.50, p. 565-585 - Julho/Setembro - 2009 www.revistaoes.ufba.br A Evolução da Educação Indígena no Brasil Ele é sempre parte de uma tradição seleti- va, resultado da seleção de alguém, da visão de um grupo acerca do seja conhe- o&s - Salvador, v.16 - n.50, p. 565-585 - Julho/Setembro - 2009 www.revistaoes.ufba.br 571 571 Rosimar Miranda Teixeira, Isabel Cristina dos Santos & Edson Aparecida de Araújo Querido Oliveira Rosimar Miranda Teixeira, Isabel Cristina dos Santos & Edson Aparecida de Araújo Querido Oliveira cimento legítimo. É produto das tensões, conflitos e concessões culturais, políticas e econômicas que organizam e desorganizam um povo (APPLE, 2001, p. 59). Sacristán (2000) considera que o currículo escolar, como um instrumento de mediação da realidade social, deve, ao contrário do que representou por séculos de exclusão social, tornar–se inclusivo. Sua intervenção política e pedagógica não deve se prender tão somente ao ensinar a aprender, mas, acima de tudo, ensinar a compreender e a questionar o mundo, bem como aprender a aprender. O currí- culo deve servir para que as pessoas possam se sentir valorizadas em suas potencialidades culturais, étnicas e históricas, de forma a se reconhecerem como construtores da história acumulada para a Humanidade. Para Pimenta (2000), a educação escolar, na condição de veículo de propa- gação de saberes, deve ser compreendida a partir da análise das diversas reali- dades que cercam o trabalho docente, como: os níveis de classes sociais, as for- mas de preconceito, respeito às diferenças, as interferências étnicas, a promoção da identidade; tudo isto através dos conteúdos e das metodologias, de maneira dinâmica e não apenas repetitiva. Esses aspectos são fundamentais para a cons- trução do conhecimento. No entanto, entende-se que, para que esta ação se constitua, o processo perpassa por questões muito mais elaboradas, é o que nos afirma Morin (1993): Conhecimento não se reduz à informação. Esta é um primeiro estágio daquele. Conhecer implica um segundo estágio: o de trabalhar com as informações clas- sificando-as e contextualizando-as. O terceiro tem a ver com a inteligência, a consciência ou sabedoria. Inteligência tem a ver com a arte de veicular conheci- mento de maneira útil e pertinente, isto é, de produzir novas formas de progres- so e desenvolvimento (MORIN, 1993 apud PIMENTA, 2000, p. 21). o&s - Salvador, v.16 - n.50, p. 565-585 - Julho/Setembro - 2009 www.revistaoes.ufba.br Educação Sistematizada: a morte lenta da cultura Parakanã Educação Sistematizada: a morte lenta da cultura Parakanã Educação Sistematizada: a morte lenta da cultura Parakanã Fávero (2006) considera que um dos papéis da Universidade é fomentar e desenvolver, na formação dos professores, o ensino baseado na pesquisa, para que estes possam desempenhar suas ações, apoiados em concepção de resolu- ção de problemas. Só com a pesquisa desenvolvida na sala de aula, os professo- res terão condições de avançar e, assim, possibilitar que os alunos desenvolvam competências necessárias para enfrentar os problemas do dia-a-dia. Alves e Garcia (2006) defendem que os cursos de formação de professor oferecidos pelas Universidades devem acompanhar o movimento estabelecido no contexto escolar, ou seja, o currículo pensado para a formação desses professo- res deve congregar a base comum dos conhecimentos estabelecidos para formar os alunos das séries iniciais. As práticas desenvolvidas nas universidades devem priorizar ensinamentos que possibilitem ao futuro professor subsídios que sus- tentem sua prática, tão logo adentre em sala de sala. Para Veiga e Ferreira (2005), a variável sociolingüística é um fator prepon- derante no processo da educação dos povos indígenas e deve ser considerada tanto por educadores não índios como por educadores indígenas. Em muitas co- munidades, os índios não falam a língua dos Educadores, e o contrário é também verdadeiro. Esse fato dificulta o diálogo, tornando os esforços de entendimento pouco produtivos. No caso do educador não índio, é preciso que haja muito esfor- ço em compreender a língua falada por aquela comunidade, evitando, assim, que haja uma descaracterização da linguagem do grupo. j ç g g g p E, finalmente, não basta que o professor tenha competência para trabalhar os conteúdos previstos para com as comunidades indígenas. Acima de tudo, é fundamental que tenha compromisso político e social, para, assim, respeitar e, ao mesmo tempo, colocar em ponto de igualdade estes povos, por tanto tempo ex- cluídos do contexto político nacional. Metodologia Metodologia Para que a pesquisa acerca das interferências culturais ocasionadas pelo processo de Educação Sistematizada implantado nas aldeias Parakanã fosse exe- cutada, foi planejada uma estratégia de pesquisa mista, com procedimentos ade- quados à operacionalização de tal investigação, que conta com recursos tecnológicos mínimos ou inexistentes. A opção foi a adoção de uma abordagem qualitativa de caráter exploratório-descritivo; para o tratamento de dados foi feito um recorte quali-quantitativo. o&s - Salvador, v.16 - n.50, p. 565-585 - Julho/Setembro - 2009 www.revistaoes.ufba.br A Evolução da Educação Indígena no Brasil Um dos aspectos importantes dos saberes é o multiculturalismo existente no currículo, isto é, uma prática educativa cuja base estrutural seja a realidade das pessoas envolvidas na dinâmica do conhecimento, permitindo buscar no coti- diano do educando as percepções necessárias à promoção da cidadania, alcan- çando os interesses de aprender e ensinar daqueles que compõem um dado con- texto social. Realidade quase sempre em discordância com a da educação indíge- na brasileira (MACHAD0, 2002). Cabe, neste ponto de discussão, uma reflexão acerca do papel do educador, que não pode resumir-se ao de um de mero expectador da história. Tampouco, caberia ao educador o papel de um aplicador de conteúdos sistematizados. Ao educador cabe, como propõe Candau (1984), tornar-se desafiador da educação do seu tempo, construindo pedra sobre pedra para alcançar o projeto histórico forjado das relações diárias, a partir do currículo oculto de cada individuo, propon- do, intervindo na realidade de tal maneira que os sujeitos possam adquirir auto- nomia e liberdade suficientes para traçarem suas próprias metas de vida. O papel da escola e dos educadores atuais deve, necessariamente, estar com- prometido com a implantação de uma concepção de currículo com espaço reservado para o diálogo entre as diferentes culturas. Um espaço em que os grupos excluídos do currículo escolar, a exemplo dos indígenas, sejam verdadeiramente representados. Para Thrurie (2002), as reformas atuais colocam os professores frente a desafios primordiais: o de reinventar sua escola, considerando-a um espaço de trabalho e o desafio de reinventar a si próprio, como ator de uma profissão que exige atualização contínua e entrega. As questões convidam o educador a assu- mir e conviver com desafios intelectuais e emocionais que envolvem contextos de trabalho e situações bastante diversas daquelas que caracterizam o cenário es- colar no qual aprendeu seu ofício. Observa-se que os educadores do século XXI não só carecem de reinventar suas práticas pedagógicas e as relações entre colegas, mas, necessariamente, precisam introduzir em sua práxis novos conceitos de aprendizagem e permanen- tes arranjos didáticos, para que, assim, possam responder de maneira mais eficaz e com heterogeneidade aos saberes que ocupam o espaço da sala de aula. 572 Educação Sistematizada: a morte lenta da cultura Parakanã O método de pesquisa empregado foi baseado no uso de três técnicas de coleta de dados: pesquisa histórico-documental; observação participante, entre- vistas semi-estruturadas; e aplicação de questionários auto-dirigidos. A observação participante foi um procedimento metodológico adotado no acompanhamento dos principais eventos cotidianos da Aldeia, relacionados ao tema e ao objeto da pesquisa, incluindo o registro fotográfico dos eventos consi- derados mais relevantes à documentação dos resultados obtidos. As entrevistas foram dirigidas a uma amostra selecionada de índios idosos, não-alfabetizados na Língua Portuguesa, e, de acordo com a Constituição Federal do Brasil, de 1988, inimputáveis. Os questionários foram entregues aos jovens índios – alfabetizados na Língua Portuguesa, mas, ainda assim, inimputáveis – e aos demais sujeitos não-índios da pesquisa. A metodologia usada permitiu uma interpretação do cotidiano dos povos Parakanã e a compreensão da dinâmica nas relações entre as práticas pedagógi- cas desenvolvidas e suas possíveis interferências no processo de educação desse grupo étnico. g p As fontes de informações utilizadas basearam-se em estudos bibliográficos, o que permitiu a identificação das principais teorias acerca do objeto, estabele- cendo, por meio da análise documental, um quadro de referências teóricas e prá- ticas sobre o tratamento da questão indígena pelos órgãos responsáveis; bem como um levantamento da historicidade do processo educacional para os povos 573 o&s - Salvador, v.16 - n.50, p. 565-585 - Julho/Setembro - 2009 www.revistaoes.ufba.br Rosimar Miranda Teixeira, Isabel Cristina dos Santos & Edson Aparecida de Araújo Querido Oliveira indígenas. Estabeleceu-se, ainda, uma relação entre a proposta implantada nas aldeias e as Leis e Diretrizes Nacionais da educação indígena. A opção por diferentes tipos de pesquisa baseou-se na necessidade de apropriar à abordagem qualitativa diferentes meios de coleta de dados que abri- gassem as especificidades dos sujeitos envolvidos: do grupo alfabetizado, com capacidade de responder, de modo autônomo, os questionários; do grupo de ido- sos, que demandou interprete para a condução de entrevistas semi-estruturadas; e a coleta de impressões do cotidiano, mediante registro fotográfico, dos quais participam indistintamente ambos os sujeitos. A análise de dados trafegou por dois caminhos: o primeiro, de caráter des- critivo em relação aos achados documentais, e o segundo seguiu pautado pela análise interpretativa do conteúdo das entrevistas. A analise interpretativa resul- tou em uma categorização simples das respostas obtidas, justificada pelo fato dos índios idosos serem monolíngües, não usarem os conectivos gramaticais e, ainda, se valerem da entonação para evidenciar a emoção da fala. Educação Sistematizada: a morte lenta da cultura Parakanã Todos esses componentes da fala indígena, repleta de subjetividade, inviabilizariam a aplica- ção de uma técnica de análise de conteúdo mais apurada que, nos termos defini- dos por Bardin (1997, p.19), “tem por finalidade a descrição, sistemática e quanti- tativa do conteúdo manifesto na comunicação”. A amostra foi definida por critérios de acessibilidade, a partir de uma popu- lação total de 374 sujeitos, dos quais dez não pertencem à comunidade indígena e são funcionários da SEMEC e professores. Obteve-se a amostra de 35 partici- pantes, nos seguintes grupos: 23 índios jovens, sendo que 16 deles pertencem ao grupo da Aldeia Apyterewa e 07 da Aldeia Xingu. Eles se concentram na faixa etária de 14 a 30 anos, possuem domínio da Língua Portuguesa, e são alunos da 3ª e 4ª séries; res- pectivamente; 02 índios idosos, embora não tenham registro de idade, de acordo com as referências de fatos ocorridos, possuem mais de 60 anos. Ambos se disponibilizaram a participar do estudo. Pelo fato dos índios idosos não fala- rem português, foi necessário recorrer ao apoio de um intérprete. Para manter a fidelidade das informações, a entrevista foi gravada mediante autorização de ambos e do interprete e, posteriormente, transcrita na íntegra; 6 sujeitos não-índios professores que atuam diretamente nas comunidades indígenas estudadas; 6 sujeitos não-índios professores que atuam diretamente nas comunidades indígenas estudadas; g 3 sujeitos não-índios responsáveis pelos Postos Indígenas, pela FUNAI, nas aldeias Apyterewa e Xingu; 3 sujeitos não-índios responsáveis pelos Postos Indígenas, pela FUNAI, nas aldeias Apyterewa e Xingu; py g 01 sujeito não-índio funcionário da SEMEC: coordenadora da educação indíge- na do Município de Altamira. 01 sujeito não-índio funcionário da SEMEC: coordenadora da educação indíge- na do Município de Altamira. A coleta de dados foi consolidada após a aprovação do projeto de pesquisa pelo Comitê Ética da Universidade de Taubaté, e da autorização da Fundação Nacional do Índio e Secretaria Municipal de Educação do Município/SEMEC de Altamira. Nessa ocasião, foram entregues questionários aos sujeitos não-índios responsáveis pelos Postos Indígenas e ao sujeito não-índio funcionário da SEMEC. Para operacionalização do levantamento de campo, foram aplicados ques- tionários aos índios jovens das duas aldeias e aos sujeitos não-índios profes- sores. As entrevistas semi-estruturadas foram conduzidas in loco com os índios idosos, utilizando-se de interprete. o&s - Salvador, v.16 - n.50, p. 565-585 - Julho/Setembro - 2009 www.revistaoes.ufba.br o&s - Salvador, v.16 - n.50, p. 565-585 - Julho/Setembro - 2009 www.revistaoes.ufba.br Educação Sistematizada: a morte lenta da cultura Parakanã Educação Sistematizada: a morte lenta da cultura Parakanã Para o tratamento dos dados coletados, foram aplicados dois processos: a) os questionários foram submetidos à tabulação e classificados mediante aplicação de critérios da estatística descritiva; b) as entrevistas com os idosos foram sub- metidas às técnicas de análise e interpretação simples do conteúdo. Resultados e Discussão Resultados e Discussão A Constituição Brasileira de 1988 evidencia uma nova proposta educacional para os povos indígenas e tem como ponto diferencial o respeito à individualidade e aos saberes empíricos, concedendo-lhes liberdade para construir e gerenciar sua própria autonomia. Este é um anseio que se percebe na fala de Terena (2001) quando afirma que: Agora queremos começar um novo tempo, caminhar no novo século onde a terra dos sonhos de nossos antepassados começa a ter uma nova vida. Uma vida que nasce no coração dos mais jovens e onde as crianças indígenas e não indígenas, usando a mesma arma do homem branco, como o papel e a leitura, escrevem um novo texto na história da nossa gente. Escrevendo a nossa verda- deira historia! A verdadeira historia do nosso Brasil (TERENA, 2001, p. 5). Tal anseio, também, está expresso no propósito deste artigo, cujo objetivo foi o de conhecer o processo da educação sistematizada implantada nas comuni- dades indígenas Parakanã, de modo a compreender a relação existente entre a ação educativa, as disfunções do currículo trabalhado com esta etnia e as interfe- rências ocasionadas a partir desta ação. As informações coletadas permitiram o cotejamento entre as características socioculturais particulares do povo Parakanã, a percepção dos sujeitos não-índios professores e o conteúdo programático aplicado no processo de educação siste- matizada. O resultado da pesquisa e das observações do cotidiano das aldeias está apresentado a seguir. Educação Sistematizada: a morte lenta da cultura Parakanã No que se refere aos índios jovens, a apli- cação dos questionários foi feita por intermediação dos professores que atuam em sala de aula, após o esclarecimento acerca da pesquisa e da obtenção do livre consentimento dos referidos informantes. Quanto às entrevistas com os índios idosos, foi feita uma explanação, com auxílio de um intérprete, a respeito da pesquisa. Feitos os esclarecimentos neces- sários, os participantes foram inquiridos se concordavam ou não em participar do estudo, e se disponibilizariam as informações para publicação. 574 o&s - Salvador, v.16 - n.50, p. 565-585 - Julho/Setembro - 2009 www.revistaoes.ufba.br Educação Sistematizada: a morte lenta da cultura Parakanã Perfil sócio-demográfico dos índios jovens da Aldeia Apyterewa e da Aldeia Xingu Aldeia Apyterewa: no grupo de índios jovens da amostra, obteve-se a se- guinte constituição: 62,5% dos índios jovens estão na faixa etária entre 15 e 20 anos. Os demais índios jovens da amostra concentram-se na estreita faixa etária entre 20 e 25 anos; 62,5% dos índios jovens estão na faixa etária entre 15 e 20 anos. Os demais índios jovens da amostra concentram-se na estreita faixa etária entre 20 e 25 anos; 80% dos índios jovens são do sexo masculino, 20% do sexo feminino; 100% dos índios jovens possuem família e são alunos da 4ª serie do Ensino Fundamental. 80% dos índios jovens são do sexo masculino, 20% do sexo feminino; 100% dos índios jovens possuem família e são alunos da 4ª serie do Ensino Fundamental. Aldeia Xingu: no grupo de índios jovens da amostra, observou-se que: 42,8% dos índios têm entre 14 e 17 anos, e 57,2%, entre 24 e 28 anos; 67% dos índios jovens são do sexo masculino, 33% é do sexo feminino; A totalidade dos índios jovens possui família e cursa a 3ª série do Ensino Fun- damental 42,8% dos índios têm entre 14 e 17 anos, e 57,2%, entre 24 e 28 anos; 67% dos índios jovens são do sexo masculino, 33% é do sexo feminino; Embora se observe o acesso das índias às aulas, o nível de participação das mulheres na escola é, ainda, insignificante. Não há uma difusão do valor da apren- dizagem da Língua Portuguesa, fato que poderia colocá-las em uma condição mais favorável de lutar por seus direitos constitucionais, apesar do alto valor que as indias detêm nas comunidades. São elas que definem as decisões a serem segui- das pelo grupo, e repassam-nas aos seus companheiros para que sejam anuncia- das nas reuniões que acontecem na Casa do Guerreiro. Nem as mulheres da tribo, nem visitantes, índios de outras etnias ou não índios, têm acesso à referida casa, que representa o poder do pseudopatriarcado praticado pela cultura Parakanã. Um dado de relevância constatado ao longo da pesquisa refere-se à preco- ce maternidade praticada na cultura Parakanã. Nela, a menina, ao atingir a menarca, é entregue ao homem escolhido para ser seu parceiro na procriação. Raramente, as meninas Parakanã se casam com jovens da mesma idade. palavras da índia. palavras da índia. Os dois exemplos citados permitem vislumbrar, para além dos sentidos das palavras, o processo de ensinar e cuidar característico de uma cultura bastante sensorial e que se expressa pelo silêncio e pela capacidade de reprodução de comportamentos ancestrais, que estão sendo lentamente alijados do cotidiano das duas aldeias, cuja memória das tradições e dos saberes empíricos dessa civi- lização se perde, em agonia, no isolamento dos poucos índios idosos que restam. A seguir, são apresentados o perfil sócio-demográfico do povo Parakanã, suas percepções acerca do processo de aprendizagem de uma nova linguagem e de seus costumes e tradições, bem como a análise dos depoimentos dos índios idosos. Em seguida, expõem-se o perfil dos professores, suas trajetórias juntos aos Parakanã e suas percepções a respeito da comunidade indígena. Perfil sócio-demográfico dos índios jovens da Aldeia Apyterewa e da Aldeia Xingu Os seus companhei- ros são sempre índios mais velhos, o que justificaria o receio de assédio por índias mais jovens, aos índios já casados, uma vez que esta é a preferência dos índios mais maduros. O povo Parakanã O povo Parakanã Ambas as tribos são chamadas de Parakanã - nome da língua falada por esses índios. Esta língua está classificada na família Tupi-guarani. Uma das carac- terísticas da língua Parakanã é a inexistência do vocábulo “não”. Mesmo na rela- ção de ensino entre pais e filhos. Diferente do processo de educação sistematizada, em que há uma forte ênfase na busca e justificativa “do jeito certo de fazer”, no processo de aprendiza- gem típico desse povo indígena, as crianças aprendem por ensaios e erros, repe- tindo a ação tanto quanto for necessário. Durante a observação participante, o pesquisador não constatou nenhum tipo de intervenção durante o ensino, nas ocasiões ocorridas naquele período. Um exemplo dessa forma de ensinar foi observado pelo pesquisador: en- quanto a mãe produzia os colares de sementes, os filhos, que sempre estavam por perto, mexiam nos objetos usados pela mãe. Em uma das ocasiões, notou-se que as crianças espalhavam as sementes pelo chão. A mãe, pacientemente, jun- tava as sementes, depositando-as novamente na vasilha. Esse ato repetiu-se até que as crianças percebessem que as sementes deviam ficar na vasilha e não no chão. Em momento algum a mãe discorreu sobre “o jeito certo de fazer ou de agir”. g Como uma forma de cuidar silenciosa, outro fato foi observado. Este, porém, de cunho familiar. Em certo momento, a pesquisadora observou a atitude de uma índia adulta enquanto o marido dirigia-se ao rio para tomar banho. Por todo o caminho, a esposa índia seguia à distância o índio marido e se manteve vigilante e quieta até que ele terminasse o banho. Quando inquirida a respeito da atitude, respondeu que acompanhava “marida para outra mulher não pega”, segundo as 575 o&s - Salvador, v.16 - n.50, p. 565-585 - Julho/Setembro - 2009 www.revistaoes.ufba.br Rosimar Miranda Teixeira, Isabel Cristina dos Santos & Edson Aparecida de Araújo Querido Oliveira o&s - Salvador, v.16 - n.50, p. 565-585 - Julho/Setembro - 2009 www.revistaoes.ufba.br Percepções dos índios jovens sobre o processo de educação sistematizada Dado que 100% dos índios jovens, ainda que as faixas etárias difiram entre as aldeias, foram feitas algumas perguntas gerais sobre o processo de aprendiza- gem oferecido pelos professores que atendem as Aldeias. Foram obtidos os se- guintes resultados: g Todos os índios jovens, que compuseram a amostra, gostam e consideram 576 o&s - Salvador, v.16 - n.50, p. 565-585 - Julho/Setembro - 2009 www.revistaoes.ufba.br Educação Sistematizada: a morte lenta da cultura Parakanã importante aprender a Língua Portuguesa. É o que se constata no depoimento a seguir: importante aprender a Língua Portuguesa. É o que se constata no depoimento a seguir: Nós queremos estudar para conhecer as ciências, as pessoas, conhecer as ciên- cias através dos estudos. O povo Parakanã quer conhecer a ciências dos bran- cos e chegar à universidade através da sua própria inteligência e com ajuda dos Nós queremos estudar para conhecer as ciências, as pessoas, conhecer as ciên- cias através dos estudos. O povo Parakanã quer conhecer a ciências dos bran- cos e chegar à universidade através da sua própria inteligência e com ajuda dos brancos fazer nova descoberta. Nós queremos estudar para conhecer as ciências, as pessoas, conhecer as ciên- cias através dos estudos. O povo Parakanã quer conhecer a ciências dos bran- cos e chegar à universidade através da sua própria inteligência e com ajuda dos brancos fazer nova descoberta. Para os índios jovens, aprender um novo idioma é relevante, pois sem o domínio da Língua Portuguesa, dificilmente, terão condições de sobreviver no mundo moderno. O grau de bilingüismo é crescente, principalmente, entre os mais jo- vens, uma vez que são eles que viajam para as cidades vizinhas a fim de negoci- arem seus produtos, como artesanatos e castanha-do-pará, e, também, para se reunirem com as autoridades e agentes da FUNAI. Acerca da aprendizagem do idioma ‘civilizado’, Monte (2000) defende que à comunidade indígena seja oferecido o ensino bilíngüe, como assegura a Constitui- ção Federal de 1988, e reafirmado pelos Parâmetros Curriculares Nacionais de Educação para os Povos Indígenas. Quando os índios jovens, da Aldeia Apyterewa, foram inquiridos se os pro- fessores lhes ensinavam os costumes da comunidade, 68,8%, da faixa etária en- tre 15 a 20 anos, responderam negativamente, enquanto que 31,2% percebem que a cultura Parakanã é mantida pelo processo sistematizado de Educação Indí- gena. Percepções dos índios jovens sobre o processo de educação sistematizada Ainda no grupo dos índios jovens, os estudantes concentrados na faixa acima de 20 até 25 anos, em sua totalidade, respondeu que não. Aparentemente, os índios da faixa etária mais madura, dentro do grupo dos índios jovens, perce- bem com maior clareza o contraste entre o que é ensinado e a cultura Parakanã praticada pelos índios na Aldeia. Na Aldeia Xingu, constatou-se que 71,5% dos respondentes, que se encon- tram na faixa etária entre 14 e 17 anos, consideram que a educação sistematiza- da contribui para a manutenção da cultura indígena. Os 28,5% dos sujeitos, que correspondem aos indivíduos da faixa etária entre 24 e 28 anos, responderam que não. Embora, o resultado de 71,5% seja bastante significativo, é importante destacar que, no grupo dos 28,5%, existe uma liderança que é exercida por um jovem índio já bastante aculturado que, inclusive, fez várias viagens para a Euro- pa em eventos do interesse da etnia. Sua maneira de ser tem influenciado bas- tante os índios jovens do seu grupo etário, deixando claro, pelo uso de tênis de marca e roupas de grifes, uma distinção entre o índio em processo de aculturação, pelo convívio com o homem civilizado, e o índio maduro que manifesta, por meio dos trajes e do comportamento, o vínculo com a cultura daquela etnia. Os índios jovens, que compõem a amostra, foram argüidos, ainda, acerca de seguirem os costumes e as tradições que os mais velhos adotam e lhes ensinam. A totalidade dos índios jovens respondeu que segue os costumes ensinados e adotados pelos mais velhos. Mas, esse resultado é contraditório em relação à realidade vivida, e vista, nas aldeias. Os costumes ensinados pelos índios mais velhos aos novos, quando obser- vados in loco, revelam que alguns dos costumes e tradições foram abolidos. Por exemplo, os índios jovens não usam mais o adorno no lábio inferior e, também, não raspam mais a cabeça. Quando questionados acerca do motivo, os índios, responderam que “achamos feio furar o queixo e andar com a cabeça raspada”. O referido artefato, feito de ossos de animais, esculpido durante um ano até chegar à forma final é típico da cultura Parakanã. Entre os poucos vistos na Aldeia, um deles foi usado por um dos antepassados de um dos membros da comunidade, e está sendo preservado como relíquia. o&s - Salvador, v.16 - n.50, p. 565-585 - Julho/Setembro - 2009 www.revistaoes.ufba.br Percepções dos índios jovens sobre o processo de educação sistematizada A mudança de conduta do jovem índio em relação aos costumes e tradições, com ênfase ao conceito estético ‘civilizado’, pode refletir a influência da convivên- cia deste com o homem não índio, formada pelos arquétipos presentes na relação entre professor e aluno. Acredita-se que, em razão das observações e de informa- ções obtidas ao longo da pesquisa, o professor, não raro, ignora o fato de que as suas atitudes e posturas desenvolvidas em sala de aula, ou mesmo fora dela, no o&s - Salvador, v.16 - n.50, p. 565-585 - Julho/Setembro - 2009 www.revistaoes.ufba.br 577 Rosimar Miranda Teixeira, Isabel Cristina dos Santos & Edson Aparecida de Araújo Querido Oliveira âmbito da Aldeia, acabam por interferir na vida dos alunos com os quais convive Ai d b t t di õ f à d i âmbito da Aldeia, acabam por interferir na vida dos alunos com os quais convive. Ainda sobre os costumes e tradições, no que se refere à caça, quando inqui- ridos se gostam de caçar, 100% dos pesquisados responderam que sim, que gos- tam e praticam. Com relação aos artefatos que utilizam nesta prática, os sujeitos afirmaram utilizar arco, flexa, arma de fogo, facão, machado. Faz-se, aqui, uma ressalva: a arma de fogo atualmente utilizada pelos indígenas não é um instru- mento da cultura desse povo e, sim, do homem não-índio. O convívio dos índios com o homem branco adaptou-os ao uso da arma de fogo não só para caçar, mas também para se defenderem quando se sentem ameaçados. A necessidade de integração dos índios jovens com a cultura nacional, bem como a difusão, dentro do grupo, das informações recebidas por televisão, ainda que pelas parcas horas em que dura a geração de energia à diesel e a recepção do sinal de satélite, deveria ser considerada pelos educadores como um elemento significativo para o processo da educação sistematizada implantado nas aldeias, visto que estes sujeitos, de alguma maneira, estabelecem uma relação efetiva entre o conteúdo dos programas com a realidade em que vivem, nas poucas se- melhanças e nos numerosos contrastes. Compreende-se que quanto maior for a divergência entre os acervos culturais, maior será o interesse que a diferença entre cultura indígena e cultura branca despertará no jovem índio. o&s - Salvador, v.16 - n.50, p. 565-585 - Julho/Setembro - 2009 www.revistaoes.ufba.br Análise interpretativa dos depoimentos dos índios idosos da Aldeia Apyterewa O procedimento inicialmente previsto para essa etapa das entrevistas era a aplicação de uma entrevista aberta cujas respostas seriam tratadas por análise de conteúdo. Contudo, não foi possível em decorrência dos sujeitos entrevistados não dominarem o idioma português. Além dos idosos serem monolíngües, o idioma Parakanã caracteriza-se pela ausência de conectivos para estruturar as frases. A língua tem uma estrutura minimalista de diálogo, com predominância de significados múltiplos para os mes- mos vocábulos, o que inviabilizaria a etapa de transcrição de dados, prejudicando a análise de conteúdo. Tal relato é necessário, tendo em vista as dificuldades vivenciadas nesse processo. Na aproximação com esse grupo, apesar do inter- prete, o dialogo foi bastante difícil, pois muitas falas não foram possíveis de ser interpretadas, em razão do recurso fonético-gutural, típico da linguagem Parakanã, como forma direta de expressão de sentimentos, para além dos sentidos das palavras. Os respondentes escolhidos são os indios mais idosos da comunidade, com, aproximadamente, 60 anos de idade, apesar de não haver comprovação ou regis- tro qualquer sobre as suas datas de nascimento. São do sexo masculino, possuem família (três) e são aposentados pela FUNAI, que atua como tutora deles, uma vez que estes não possuem documentos que lhes possibilitem fazer transações co- mercias e financeiras. Para a argüição, optou-se pela abordagem mais simples possível para que o intérprete pudesse encaminhar o diálogo com os idosos, na presença da pesqui- sadora. Foi solicitado que os índios idosos fizessem um relato da história da comu- nidade, onde e como viviam antes do contato com a FUNAI. Os índios idosos responderam que, há muito tempo, os Parakanã eram muitos e unidos e que viviam longe dos brancos. Mas, com a construção da Transamazônica tudo mudou. Suas terras foram invadidas e tiveram que pro- curar outro lugar para morar. É um período, para os Parakanã, de perdas, pois muitas crianças, jovens e velhas morreram. Segundo os informantes, os Parakanã viviam fugindo do contato com o homem branco, apesar das tenta- tivas da FUNAI, na década de 1970. Os Parakanã julgavam-se livres e donos das matas. Com o assentamento no Bom Jardim, local de instalação inicial da A o&s - Salvador, v.16 - n.50, p. Análise interpretativa dos depoimentos dos índios idosos da Aldeia Apyterewa 565-585 - Julho/Setembro - 2009 www.revistaoes.ufba.br 578 Educação Sistematizada: a morte lenta da cultura Parakanã essas terras continuavam sendo invadidas por brancos e por grupo de mineradoras que estavam à procura de ouro, fato que tornou o convívio bastante conflituoso. Os garimpeiros e madeireiros, para terem acesso às riquezas naturais das reservas, usaram de todos os artifícios para conquistar os indígenas, davam-lhes presentes, como armas de fogo, bebidas alcoólicas, roupas, panelas, entre outros. Os índios idosos relataram que, ao mudarem para aquele local sob o coman- do da FUNAI, os Parakanã encontraram “muitas coisas, menos comida”. Segundo eles, a caça ficou escassa na região, a partir da presença dos invasores brancos. Disseram, ainda, que para pegar os animais tinham de andar vários dias na mata. Sobre a educação desenvolvida na comunidade, os índios idosos pouco co- mentaram a respeito. Embora, eles não participem do processo de educação sis- tematizada, ambos os entrevistados consideram importante aprender outra lín- gua, para que possam lutar por seus direitos. Eles ainda manifestaram que gosta- riam que os professores soubessem a língua materna Parakanã, para ajudar as crianças e jovens a se comunicarem com outros brasileiros. Com relação às tradições da comunidade, comentaram que os índios jovens não querem mais seguir alguns costumes. Por exemplo, não usam mais o adorno no lábio e bebem bebidas do homem branco, ao invés de prepararem sua própria bebida, e se interessam mais por futebol do que em participar das caçadas, embo- ra, para esta última ação, ainda se disponibilizem. Ainda os índios idosos entrevistados não falem o idioma português, ficou claro que eles compreendem a dinâmica dos movimentos ao seu redor. Mesmo aqueles indivíduos mais simples possuem concepções a respeito do que conside- ram como mais importante para suas vidas. O que fica claro quando se ouve de um índio por mais longe ou isolado que esteja, a seguinte frase: “queremos um futuro melhor para as crianças e jovens”. Indiferente à etnia, permanece a fé de que o amanhã será melhor. A passagem do tempo é um fenômeno de progresso para os povos indígenas, que lhes permite semear e alcançar a colheita, pegar os maiores peixes e outros eventos do cotidiano das aldeias. o&s - Salvador, v.16 - n.50, p. 565-585 - Julho/Setembro - 2009 www.revistaoes.ufba.br Perfil dos sujeitos não-índios professores Os professores que atuam no processo de Educação Sistematizada dos povos Parakanã, nas duas aldeias, apresentam o seguinte perfil sócio-demográfico: Faixa Etária: de 33 a 36 anos de idade. Gênero: 60% do grupo é formado por homens e 40% por mulheres. í é Escolaridade: 20% possuem o 3º grau completo e 80%, o nível médio (mag tério). Escolaridade: 20% possuem o 3º grau completo e 80%, o nível médio (magis- tério). Tempo de Docência: 80% possuem mais de 6 anos de docência e 20% entre 2 Escolaridade: 20% possuem o 3º grau completo e 80%, o nível médio (magis- tério). Tempo de Docência: 80% possuem mais de 6 anos de docência e 20%, entre 2 3 d iê i á p g p , ( g tério). Tempo de Docência: 80% possuem mais de 6 anos de docência e 20% entre 2 tério). Tempo de Docência: 80% possuem mais de 6 anos de docência e 20%, entre 2 e 3 anos de experiência nessa área. Tempo de Docência: 80% possuem mais de 6 anos de docência e 20%, entre e 3 anos de experiência nessa área. De acordo, com as informações recebidas do grupo, o processo de adapta- ção foi bastante sofrido, especialmente no que tange à adoção dos hábitos ali- mentares indígenas. Na cidade, os sujeitos estavam acostumados a uma alimen- tação variada e mais balanceada. Nas aldeias não há opção: ou eles comem o que os índios caçam, ou passam fome, ou desistem do trabalho. O convívio do homem branco, ou da cultura ‘civilizada’, no ambiente indíge- na, induziu à mudança de muitas posturas dos professores, pelas circunstâncias vivenciadas nas aldeias. Por exemplo: para que possam ser aceitos pelos indíge- nas, estes precisam passar por experiências, como, por exemplo, comer alimentos e bebidas preparadas pelos índios. As experiências junto à comunidade permitiram observar que as intermediações entre os saberes estabelecidos no contexto da sala de aula cami- nham de forma unilateral: os alunos só ouvem e nunca questionam. Portanto, os saberes expressos são sempre ditos por uma única voz, a do professor, e, se compreendidas, correm o risco de serem consideradas verdades absolutas. p , Os resultados obtidos na pesquisa, em relação à prática pedagó 579 o&s - Salvador, v.16 - n.50, p. Perfil dos sujeitos não-índios professores 565-585 - Julho/Setembro - 2009 www.revistaoes.ufba.br Rosimar Miranda Teixeira, Isabel Cristina dos Santos & Edson Aparecida de Araújo Querido Oliveira respeito à cultura Parakanã indicaram que 60% dos professores reconhecem que as práticas pedagógicas desenvolvidas nas aldeias não respeitam a diversidade cultural dos indígenas. Para 40% dos pesquisados, as práticas pedagógicas im- plantadas respeitam a cultura Parakanã. p p Quando argüidos sobre suas percepções quanto às interferências que a educação sistematizada tem ocasionado aos povos Parakanã, os professores enfatizaram as seguintes respostas: Penso que não existe muita interferência, pois os indígenas querem muito aprender nossa língua, para viverem melhor (I-P-B); Esta é uma situação muito complicada de se explicar, pois ao mesmo tempo em que os índios buscam novos conhecimentos, muitos acabam assumindo outras posturas, como por exemplo, aqui na aldeia Apyterewa, os mais jovens não usam mais o adorno de osso no lábio inferior, como os mais velhos. E outra, a educação trabalhada na aldeia não tem respeitado a identidade desse povo. Reconheço que existem falhas, é preciso urgentemente que estas possam ser modificadas (I-P-A); Eu acredito que não houve interferência, porque o objetivo maior da educação sistematizada é de prepará-los para viver em sociedade (I-P-E). O que se percebe nos depoimentos dos professores são algumas contradi- ções ou a falta de compreensão do que sejam tais interferências na vida dos povos Parakanã. Na observação participante, reconhece-se o segundo depoimen- to como aquele que mais revela o contexto observado, uma vez que aponta a necessidade dos indígenas buscarem novos conhecimentos, bem como o fato de estarem modificando suas atitudes e hábitos. Grupioni (2006) pondera que a escola indígena de hoje não deve mais servir para ‘domesticar os indígenas’, como fora feito outrora, mas que possibilite a esse povo desenvolver competências e adquirir consciência política e social, para convi- ver no mundo globalizado. Quando questionados acerca da percepção que tinham sobre a utilidade do processo de educação sistematizada na vida dos índios Parakanã, os professores ofereceram alguns depoimentos, dos quais são descritos os mais expressivos, mediante códigos de identificação: Penso que tenho fomentado o processo de aculturação, visto que os valores dos índios não estão sendo respeitados. Apenas trabalhamos os conteúdos (I-P-A). Acredito que ainda tenho muito que aprender sobre os Parakanã, mas de uma coisa tenho certeza, gosto do que estou fazendo, apesar das dificuldades, que não são poucas (I-P-C). o&s - Salvador, v.16 - n.50, p. 565-585 - Julho/Setembro - 2009 www.revistaoes.ufba.br Perfil dos sujeitos não-índios professores Acredito que ainda tenho muito que aprender sobre os Parakanã, mas de uma coisa tenho certeza, gosto do que estou fazendo, apesar das dificuldades, que não são poucas (I-P-C). Os possíveis equívocos presentes nas falas dos professores parecem-nos compreensíveis, se for considerado que estes, em sua maioria, em torno de 80%, possuem somente o ensino médio, ou seja, não foram preparados para a ativida- de docente. O depoimento que melhor justifica a visão dos professores a respeito da percepção do processo de aculturação está relatado a seguir: Com relação à questão da aculturação, penso que seja inevitável, pois a partir do momento em que se compreende que o mundo globalizado exige de qualquer pessoa mudanças para poder sobreviver, e acredito que isto não seja diferente com as classes indígenas (I-P-B). Com relação à questão da aculturação, penso que seja inevitável, pois a partir do momento em que se compreende que o mundo globalizado exige de qualquer pessoa mudanças para poder sobreviver, e acredito que isto não seja diferente com as classes indígenas (I-P-B). É bem provável que esse professor tenha razão. No mundo atual, a tecnologia regula, em grande parte, as relações sociais e econômicas e define, em certa medida, a inclusão ou a exclusão, dos indivíduos ou dos grupos sociais. Observa-se a exclusão tecnológica dos povos indígenas que, como os Parakanã, se concentram em regiões distantes, em espaços não cobertos por sinal de satélite. Assim posto, tem sentido a citação de Santos (2002), quando este avalia que os espaços não apenas se globalizam, mas, principalmente, as pessoas, pois 580 o&s - Salvador, v.16 - n.50, p. 565-585 - Julho/Setembro - 2009 www.revistaoes.ufba.br Educação Sistematizada: a morte lenta da cultura Parakanã são elas que modificam os espaços onde vivem, adaptando-os às necessidades, o que, de certa forma, já está acontecendo com os povos indígenas Parakanã. O documento denominado “Referencial Curricular Nacional para as Escolas In- dígenas” (BRASIL, 1998) explicita que seria necessário fazer uma avaliação contínua das práticas pedagógicas desenvolvidas no contexto da sala de aula, para que, des- ta forma, se possa assegurar aos alunos indígenas o exercício pleno da cidadania e da interculturalidade, respeitando-se suas particularidades lingüístico-culturais. Perfil dos sujeitos não-índios professores , p p g Moreira e Da Silva (2001) consideram que o currículo, para ser implantado em qualquer contexto educacional, deve priorizar a manutenção da identidade ideológica, política, cultural e social do grupo, o que não foi observado nas duas aldeias estudadas. Destacam-se, abaixo, depoimentos considerados significativos sobre o cur- rículo escolar: Este ainda não existe nas aldeias atendidas pela Secretaria Municipal de Educa- ção SEMEC de Altamira. O trabalho desenvolvido nas aldeias, infelizmente, se- gue o mesmo padrão das outras escolas (I-P-D). Este ainda não existe nas aldeias atendidas pela Secretaria Municipal de Educa- ção SEMEC de Altamira. O trabalho desenvolvido nas aldeias, infelizmente, se- gue o mesmo padrão das outras escolas (I-P-D). Não sei se existe este currículo, porém, trabalho com os conteúdos que a SEMEC determina (I-P-E). O currículo é trabalhado de forma que venha favorecer uma melhor relação com o mundo globalizado. Entretanto, não há nenhuma participação sequer de um membro desta comunidade na elaboração do mesmo (I-P-A). O currículo é trabalhado de forma que venha favorecer uma melhor relação com o mundo globalizado. Entretanto, não há nenhuma participação sequer de um membro desta comunidade na elaboração do mesmo (I-P-A). Considera-se que um dos maiores problemas da educação brasileira, em geral, esteja centrado na questão curricular, uma vez que na maioria das escolas este documento inexiste. Muitos educadores não conseguem fazer diferença en- tre grade curricular e um currículo propriamente dito. Pode-se considerar o currícu- lo como um instrumento vital no processo de ensino e aprendizagem, pois é a partir dele que se delineiam as metas a serem alcançadas no processo. Com base nos depoimentos acima, pode-se afirmar que as ações educacio- nais desenvolvidas nas aldeias não estão ancoradas nos princípios básicos da legislação educacional brasileira dedicada aos povos indígenas, uma vez que não asseguram o respeito à cultura desses povos. o&s - Salvador, v.16 - n.50, p. 565-585 - Julho/Setembro - 2009 www.revistaoes.ufba.br A percepção dos professores com relação aos Parakanã Quando inquiridos sobre a sua percepção de como vivem os Parakanã e sobre como o conteúdo programático mantém as tradições, os professores apon- taram algum conhecimento a respeito desses povos, porém de uma forma bastan- te superficial. Há uma considerável dificuldade em discernir como se processa a dialógica entre o que é fundamental preservar como cultura e o que pode ser acrescentado como valores. Os depoimentos abaixo descritos mostram tal lacuna. Os Parakanã vivem atualmente de maneira harmoniosa, lutam pela sobrevivência. Com a influência do homem branco, a manutenção das tradições está ameaçada. Os rituais já não acontecem como antes. Há 15 anos atrás os Parakanã se enfeitavam com penas de urubu para fazer suas danças, hoje não vê mais esta ação (I-P-A). O povo Parakanã é feliz, pois eles mantêm vivas suas tradições que são as danças de agradecimentos a Deus e, por sua vez, vivem da pesca, da caça e das belezas de seus artesanatos (I-P-B). Não tenho parâmetro para falar sobre esta questão (I-P-E). Observou-se que os educadores pouco sabem a respeito dessa etnia. Ques- tionados sobre como são preparados os xamãs (preparação dos pajés), os pro- fessores não souberam informar. A religião deve ser considerada um aspecto im- portante para o convívio entre professor e índios, pois esta é uma questão que pode colocar em risco a cultura e a identidade dos Parakanã, nas práticas desen- volvidas em sala de aula. o&s - Salvador, v.16 - n.50, p. 565-585 - Julho/Setembro - 2009 www.revistaoes.ufba.br 581 Rosimar Miranda Teixeira, Isabel Cristina dos Santos & Edson Aparecida de Araújo Querido Oliveira Os resultados gerais da pesquisa apontaram para a instalação de um pro- cesso de aculturamento dos índios Parakanã. Dadas as diferentes percepções sobre o valor intrínseco da memória cultural, traduzidas pelos artefatos, os sabe- res empíricos daquela nação indígena são alijados do processo educacional, que os substitui pelos valores da cultura branca, ou não indígena. A própria linguagem da tribo vai sendo, gradualmente, substituída pelos jargões expressos nas nove- las e no jornal, cujo acesso se dá pela duração da energia do gerador a óleo e pela recepção do sinal de satélite, diariamente, no intervalo das 18 às 22 horas. Conclusão e Sugestões Conclusão e Sugestões O conceito de nação deve considerar, acima dos limites geográficos, a varie- dade de grupos étnicos, histórias, culturas e línguas distribuídos por todo o terri- tório nacional. o&s - Salvador, v.16 - n.50, p. 565-585 - Julho/Setembro - 2009 www.revistaoes.ufba.br A percepção dos professores com relação aos Parakanã Esta diversidade sociocultural é, sem dúvida, uma riqueza que deve ser preservada (BRASIL, 1993). Os Povos Indígenas representam, cultural e lingüisticamente, uma soma ex- traordinária de experiências sociais diversificadas, impregnadas de valores éticos e estéticos que, ao longo do tempo, têm contribuído na criação da arte, da música, da dança e da culinária e na linguagem nacional. Portanto, acima do valor históri- co, as comunidades indígenas, desde sempre, têm influenciado o acervo da cultu- ra nacional. Este estudo buscou compreender como se processa a relação entre os sa- beres sistematizados e os saberes empíricos dos índios Parakanã, localizados nas Aldeias Apyterewa e Xingu, na Região oeste do Estado do Pará. E, ainda, procurou descrever o convívio entre os sujeitos índios, nas categorias pesquisadas, e os sujeitos não-índios que desempenham o papel de professores e os funcionários da FUNAI instalados na Aldeia com a missão de prover assistência aos índios aldeados, Desse modo, os dados obtidos a partir da realização da pesquisa sus- tentam os seguintes entendimentos: A educação desenvolvida nas aldeias Parakanã tem contribuído para o proces- so de aculturação dos índios. Embora, o processo não seja assim denominado, observou-se que a estética ”civilizada” tem prevalecido na forma de vestir e agir dos índios jovens; Notou-se adesão ao comportamento do homem branco seja no uso de armas desassociadas da cultura típica da etnia, seja na aquisição de hábitos como o uso de bebida alcoólica industrializada; Não houve um processo participativo para adequar o conteúdo curricular às necessidades dos indígenas. O que prevaleceu foi o currículo aplicado à edu- cação do homem não-índio. Pequenas adaptações nos materiais utilizados, bem como na disposição dos espaços de aula podem ser reputadas às circuns- tâncias e consideradas irrisórias; Os professores não foram formalmente capacitados para trabalhar especifica- mente com a etnia em questão, e desconhecem a língua Parakanã. Portanto, as dificuldades para desenvolverem as práticas pedagógicas são consideráveis; A presença do homem não-índio influencia negativamente a manutenção das tradições das comunidades Parakanã, servindo como um modelo de referên- cia, principalmente nos hábitos de vestir e de se comunicar; Tristemente, observou-se existir um processo de exclusão dos índios mais ve- lhos pelos índios jovens, em franco andamento. Educação Sistematizada: a morte lenta da cultura Parakanã Educação Sistematizada: a morte lenta da cultura Parakanã Em suma, em relação à educação sistematizada desenvolvida nas aldeias Parakanã, percebeu-se o risco de degradação das características histórico- antropossociais da cultura Parakanã. Por tendência, e pela moderada expectativa de vida dos povos indígenas isolados, em uma ou duas gerações, imagina-se que esses povos não terão mais identidade, porque perdendo sua cultura e suas tra- dições, não serão nem índio e nem serão considerado homens brancos. Desse modo, acredita-se que o papel do Estado, bem como de outras insti- tuições de apoio, deve ser o de fortalecer e incentivar a ação educativa comunitá- ria, de maneira a valorizar não só a cultura, mas fazer com que os direitos dos indígenas sejam respeitados. Para que isso ocorra, deve-se priorizar uma formação adequada e valoriza- ção do trabalho dos profissionais envolvidos com o desafio de trabalhar nas aldei- as indígenas. Pondera-se que todo projeto de educação voltado para as nações indígenas deve ser pensado, planejado, construído e mantido pela vontade livre e consciente das comunidades que deles se beneficiarão. Por fim, entende-se que este estudo não tem a pretensão de esgotar a discussão em torno do objeto da pesquisa. Pelo contrário, espera-se que, a partir desta iniciativa acadêmica, novas buscas sejam empreendidas. E, por meio do método científico, outras demandas da comunidade indígena, no âmbito do De- senvolvimento Cultural, sejam identificadas, debatidas e, então, atendidas. A percepção dos professores com relação aos Parakanã Sendo aqueles os multiplicadores tradicionais da cultura Parakanã, é possível inferir que o isola- mento entre grupos etários, dentro da mesma zona de convivência, poderá culminar, como já é percebido, na morte da cultura típica dessa etnia; Desconsiderados os saberes empíricos daquele povo, mediante a instalação de um processo de educação baseada na assimilação do “jeito certo de fazer e de agir”, nos moldes da educação “civilizada”, cristalizar-se-á um modo de viver e de compreender a realidade incompatível com a ambiência na selva. Desconsiderados os saberes empíricos daquele povo, mediante a instalação de um processo de educação baseada na assimilação do “jeito certo de fazer e de agir”, nos moldes da educação “civilizada”, cristalizar-se-á um modo de viver e de compreender a realidade incompatível com a ambiência na selva. 582 o&s - Salvador, v.16 - n.50, p. 565-585 - Julho/Setembro - 2009 www.revistaoes.ufba.br Educação Sistematizada: a morte lenta da cultura Parakanã Diante do exposto e visando amenizar os problemas detectados com a rea- lização da pesquisa, ao que se refere à Educação Sistematizada oferecida à comu- nidade, elenca-se alguns aspectos considerados básicos que poderão ser inseri- dos no Projeto Educacional para as escolas indígenas Parakanã Apyterewa e Xingu: Investir na capacitação dos educadores no sentido de rever as metodolog utilizadas na sala de aula; Investir na capacitação dos educadores no sentido de rever as metodologias utilizadas na sala de aula; Planejar as atividades a serem desenvolvidas nas salas de aula, para que as avaliações realizadas sirvam para mediar a aprendizagem e não para quantificar resultados; Buscar compreensão a respeito das necessidades dos índios, na perspectiva de definir o que deve ser ensinado e aprendido; Considerar os saberes empíricos dos indígenas; q p ; Considerar os saberes empíricos dos indígenas; Elaborar um alfabeto na língua Parakanã; Elaborar um projeto pedagógico com metas definidas a curto, médio e longo pra Propor e fomentar a construção de um currículo, ancorado nas teorias que embasam a construção do conhecimento diferenciado, bilíngüe intercultural, comunitário, bem como que seja apoiado nas experiências de vida dos indíge- nas, permitindo, assim, a preservação cultural e étnica desses povos. Para uma formação adequada aos professores que atuam nas aldeias, de modo geral, é necessário que haja um grupo profissional que domine a língua materna desses povos para, então, ensinar àqueles que se disponham a traba- lhar nas aldeias. Acredita-se que essas sugestões podem, de alguma forma, contribuir com as instituições responsáveis pelo processo de educação sistematizada dos Parakanã, de maneira que as ações pedagógicas a serem desenvolvidas no contexto escolar indígena favoreçam o desenvolvimento dessa comunidade, sem que se perca de vista a manutenção e preservação de sua identidade cultural. Referências ALVES, Nilda; GARCIA, Regina L. A construção de conhecimento e o currículo dos cursos de formação de professores na vivência de um espaço. In: ALVES, N. (org). Formação de professores: pensar e fazer. São Paulo: Cortez, 2006. (Col. Questão da Nossa Época. v.1). ALVES, Nilda; GARCIA, Regina L. A construção de conhecimento e o currículo dos cursos de formação de professores na vivência de um espaço. In: ALVES, N. (org). Formação de professores: pensar e fazer. São Paulo: Cortez, 2006. (Col. Questão da Nossa Época. v.1). ALVES, Nilda; GARCIA, Regina L. A construção de conhecimento e o currículo dos cursos de formação de professores na vivência de um espaço. Educação Sistematizada: a morte lenta da cultura Parakanã In: ALVES, N. (org). Formação de professores: pensar e fazer. São Paulo: Cortez, 2006. (Col. Questão da Nossa Época. v.1). 583 o&s - Salvador, v.16 - n.50, p. 565-585 - Julho/Setembro - 2009 www.revistaoes.ufba.br Rosimar Miranda Teixeira, Isabel Cristina dos Santos & Edson Aparecida de Araújo Querido Oliveira APPLE, Michael W. A política do conhecimento oficial: faz sentido a idéia de um currículo nacional? In: MOREIRA, Antônio Flávio Barbosa; DA SILVA, Tomaz Tadeu (orgs). Currículo cultura e sociedade. Tradução de Maria Ap. Baptista. São Paulo: Cortez, 2001. ARANHA, Maria L. A. História da educação e da pedagogia. São Paulo: Moderna, 2006. BARDIN, Laurence. Análise de conteúdo. Tradução de Luiz Antero Reto e Augusto Pinheiro. Lisboa/Portugal: Edições 70 ltda., 1997. BRASIL. Referencial Curricular Nacional para Escolas Indígenas. Ministério da Educa- ção/ Secretaria de Educação Fundamental. Brasília: MEC/SE, 1998. BRASIL. Conselho Nacional de Educação. Resolução CEB 3/99. Diário da União, Brasília, 17 de novembro de 1999, Seção 1, p.19. BRASIL. Constituição Federal Brasileira. Criação do Serviço de Proteção ao Índio. Disponível em: http://pt.wikipedia.org/wiki/. Constituições Brasileiras. Acesso 19 set. 2007. BRASIL. Lei de Diretrizes e Bases da Educação Nacional - LDBEN. Lei Nº 9394/96. Disponível em http://www.planalto.gov.br/ccivil_03/LEIS/l9394.htm. Acesso em 19 de setembro de 2007. BRASIL. Ministério da Educação e Desporto. Plano Decenal de Educação para Todos. Brasília: MEC, 1993 (versão acrescida 136 p.). CANDAU. Vera Maria. A didática em questão. Petrópolis. Ed. Vozes. SP: 1994. CHIZZOTTI, A. Pesquisa em ciências humanas sociais. São Paulo: Cortez 2003. DA SILVA, Aracy L.; GRUPIONI, Luiz D. Bebzi (orgs.) A temática indígena na escola: no- vos subsídios para professores de 1º e 2º graus. Brasília: MEC/MARI/UNESCO, 1995. FÁVERO, Maria de Lourdes de Albuquerque. Universidade fonte de conhecimento, de tecnologia e cultura. In: ALVES, Nilda, (org.). Formação de professores pensar e fazer. 9ª ed. São Paulo: Cortez, 2006. (Coleção Questões da nossa Época. V.1) FAUSTO, Carlos. Povos indígenas do Brasil – ISA. Disponível em: http:// www.socioambiental.org/pib/epi/parakana/parakana. Acesso em 30 de setem- bro, 2007. FUNASA. Fundação Nacional de Assistência a Saúde. Censo Populacional. Pólo Altamira-Pa. 2006. FUNAI -Fundação Nacional do Índio. Portaria nº 2.364 do Ministério da Justiça de 29 de Dezembro de 2006. GHIRALDELLI JR. História da educação. 2ª ed. São Paulo: Cortez, 2000. GRUPIONI, Luiz Donizete. A política de educação escolar indígena. Outubro/ 2000. http://www. Povos indígenas no Brasil – ISA - em 30/04/2007. HILSDORF, M.L.S. História da educação brasileira: leitura. São Paulo: Pioneira, 2003. LAKATOS, E. o&s - Salvador, v.16 - n.50, p. 565-585 - Julho/Setembro - 2009 www.revistaoes.ufba.br Educação Sistematizada: a morte lenta da cultura Parakanã Mª, MARCONI, M. A. Fundamentos da metodologia científica. São Pau- lo: Atlas, 2005. MACHADO, Cristina Gomes. Multiculturalismo: muito mais além da riqueza e da diferença. Rio de janeiro: DP&A, 2002. MEIRA, Márcio. Fundação Nacional do Índio – Competências. Disponível em: http:// www.funai.gov.br. Acesso em 16 de setembro de 2007. MONTE, Nietta Lindenberg. E agora, cara pálida? Educação e povos indíginas, 500 anos depois. Revista Brasileira de Educação, São Paulo, nº. 15, set./dez., p. 118-133, 2000. 584 o&s - Salvador, v.16 - n.50, p. 565-585 - Julho/Setembro - 2009 www.revistaoes.ufba.br o&s Educação Sistematizada: a morte lenta da cultura Parakanã MOREIRA, A. F. B.; DA SILVA, Tomaz T. Sociologia e teoria crítica do currículo: uma introdução. In: MOREIRA, A. F. B.; DA SILVA, T. T. (Orgs). Currículo, cultura e socie- dade. Trad. In: 6Maria Ap. Baptista. 5ª ed. São Paulo: Cortez, 2001. PIMENTA, Garrido Selma (Org). Saberes pedagógicos e atividade docente. 3ª ed. São Paulo: Cortez, 2000 (Saberes da Docência). RAMOS, Alcida. Sociedade indígena. São Paulo: Ática, 1986. (Série Princípios). RAMOS, Alcida. Sociedade indígena. São Paulo: Ática, 1986. (Série Princípios). RIBEIRO, Darcy. Os índios e a civilização: a integração das populações indígenas no Brasil moderno. 5ª ed. Petropolis-RJ: Vozes,1986. RIBEIRO, Darcy. Os índios e a civilização: a integração das populações indígenas no Brasil moderno. 5ª ed. Petropolis-RJ: Vozes,1986. SACRISTÁN, J. Gemem. O currículo: uma reflexão sobre a prática. Tradução de Ernane da F. Rosa. 3ª ed. Porto Alegre: ArtMed, 2000. SANTOS, Milton. Por uma nova geografia: da crítica da geografia a uma geografia crítica. São Paulo: Ed. da Universidade de São Paulo, 2002. (Coleção Milton Santos). TERENA, Marcos. Programa Raízes: povos indígenas no Pará. Belém, 2001. THRURIE, M. G. O desenvolvimento profissional dos professores: novos paradigmas, novas práticas. In: PERRENOUD, Philippe et al. As competências para ensinar no século XXI. Trad. Cláudia Schilling e Fátima Murad. Porto Alegre: Artmed, 2002. VEIGA, Juracilda; FERREIRA, M. B. R. (Org). Desafios atuais da educação escolar in- dígena. Campinas: ALB ; Brasília: Núcleo de Cultura e Educação Indígena, 2005. Artigo recebido em 22/08/2008 Artigo aprovado, na sua versão final, em 01/07/2009 585 o&s - Salvador, v.16 - n.50, p. 565-585 - Julho/Setembro - 2009 www.revistaoes.ufba.br
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Levelling the playing field for the international migration of nurses: the India English Language Programme
BMC nursing
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Abstract Background  This article presents evaluation findings of the India English Language Programme, an innovative programme aimed at providing Indian nurses with an opportunity to participate in an ethical and mutually benefi- cial learning programme aimed at supporting migration into the United Kingdom’s National Health Service (NHS). The programme provided 249 Indian nurses wishing to migrate to the NHS on an ‘earn, learn, and return’ basis with funding to support English language learning and accreditation sufficient to apply for Nursing and Midwifery Council (NMC) registration. The Programme provided English language training and pastoral support to candidates, in addi- tion to the availability of remedial training and examination entry for those not meeting NMC proficiency require- ments on their first attempt. Methods  Descriptive statistical analysis of programme examination results and cost-effectiveness analysis is pre- sented to demonstrate programme outputs and outcomes. Descriptive economic analysis of programme costings is presented alongside programme results to investigate the value-for-money provided by this programme. Results  A total of 89 nurses were successful in meeting NMC proficiency requirements, representing a pass rate of 40%. Those undertaking OET training and examination(s) were more successful, compared to those undertaking Brit- ish Council provision, with over half of candidates passing at the required level. This equates to an overall programme cost-per-pass of £4139 and represents a model to support health worker migration, in line with WHO guidelines, delivering individual learning and development, mutual health system gain, and value-for-money. Conclusions  Taking place during the coronavirus pandemic, the programme evidences the effective delivery of online English language training to support health worker migration during a highly disruptive period for global health. This programme demonstrates an ethical and mutually beneficial pathway for English language improvement amongst internationally educated nurses to facilitate migration to and global health learning in the NHS. It provides a template through which healthcare leaders and nurse educators, working in policy and practice environments in the NHS and other English-speaking countries, can design future ethical health worker migration and training pro- grammes to strengthen the global healthcare workforce. Levelling the playing field for the international migration of nurses: the India English Language Programme Ross Goldstone1*   , Rose McCarthy2, Ged Byrne2 and David Keen2 © The Author(s) 2023. Open Access This article is licensed under a Creative Commons Attribution 4.0 International License, which permits use, sharing, adaptation, distribution and reproduction in any medium or format, as long as you give appropriate credit to the original author(s) and the source, provide a link to the Creative Commons licence, and indicate if changes were made. The images or other third party material in this article are included in the article’s Creative Commons licence, unless indicated otherwise in a credit line to the material. If material is not included in the article’s Creative Commons licence and your intended use is not permitted by statutory regulation or exceeds the permitted use, you will need to obtain permission directly from the copyright holder. To view a copy of this licence, visit http://​creat​iveco​mmons.​org/​licen​ses/​by/4.​0/. The Creative Commons Public Domain Dedication waiver (http://​creat​iveco​ mmons.​org/​publi​cdoma​in/​zero/1.​0/) applies to the data made available in this article, unless otherwise stated in a credit line to the data. BMC Nursing BMC Nursing BMC Nursing Goldstone et al. BMC Nursing (2023) 22:169 https://doi.org/10.1186/s12912-023-01308-7 Open Access Open Access Abstract Keywords  Education & training, Migration, Human resource, Workforce, Ethical, Global health *Correspondence: Ross Goldstone Ross.goldstone@hee.nhs.uk; ross.goldstone@hee.nhs.uk 1 Global Health Partnerships, NHS England, 3 Piccadilly Place, Manchester M1 3BN, UK 2 Global Health Partnerships, NHS England, Manchester, UK *Correspondence: Ross Goldstone Ross.goldstone@hee.nhs.uk; ross.goldstone@hee.nhs.uk 1 Global Health Partnerships, NHS England, 3 Piccadilly Place, Manchester M1 3BN, UK 2 Global Health Partnerships, NHS England, Manchester, UK © The Author(s) 2023. Open Access This article is licensed under a Creative Commons Attribution 4.0 International License, which permits use, sharing, adaptation, distribution and reproduction in any medium or format, as long as you give appropriate credit to the original author(s) and the source, provide a link to the Creative Commons licence, and indicate if changes were made. The images or other third party material in this article are included in the article’s Creative Commons licence, unless indicated otherwise in a credit line to the material. If material is not included in the article’s Creative Commons licence and your intended use is not permitted by statutory regulation or exceeds the permitted use, you will need to obtain permission directly from the copyright holder. To view a copy of this licence, visit http://​creat​iveco​mmons.​org/​licen​ses/​by/4.​0/. The Creative Commons Public Domain Dedication waiver (http://​creat​iveco​ mmons.​org/​publi​cdoma​in/​zero/1.​0/) applies to the data made available in this article, unless otherwise stated in a credit line to the data. Introduction Table 1  IELTS and OET benchmarking Similar to most health systems globally, the National Health Service (NHS) continues to face workforce challenges [2, 3], with nursing shortages a key area of concern for the public, the workforce and those in man- agement and leadership roles at service delivery level (National Audit Office, 2020 [9];). Mechanisms through which nursing workforce shortages can be addressed include both supply- and demand-side changes, includ- ing funding national education and training, investing and upskilling the current workforce, and international recruitment. International recruitment in the NHS con- tinues to grow and there are increasing calls for a more ethical practice across the health system, specifically that which complies with the WHO Code of Conduct on International Recruitment of Health Professionals and is consistent with the Global strategy on human resources for health: Workforce 2030 (WHO, 2016) [14]. This Code of Practice was created in 2004 by the World Health Assembly in response to a growing concern regard- ing the growth in demand for health workers globally in a context of national workforce shortages in a multi- tude of countries, particularly but not  exclusively high- income countries. The Code of Practice is underpinned by the principle of mutuality, meaning that international recruitment is permitted from any country via a mutually beneficial government-to-government agreement, even where a constituent country is among those deemed to have a critical shortage of health professionals [6]. In the UK, the Code of Practice was translated into regulations that  stipulate the countries from which recruitment of health professionals is permitted in order to avoid health system workforce depletion and undermine efforts to achieve universal health coverage (UHC) [8, 15]. competence and English language proficiency require- ments. These requirements were an overall IELTS score of 7, with minimum scores of 7 in reading, listening and speaking, and no less than 6.5 in writing or equivalent. International English Language Testing System (IELTS) test takers receive a score ranging from 1 to 9 in each of the four components, with the alternative examination type available being the Occupational English Test (OET) which grades candidates from E-A and numerically from 0 to 500. 1  During the initiation phase of the India English Language Programme, Health Education England conducted an in-country assessment of English language provision in January 2020, with members of the assessment panel including nursing professionals and an English language academic from a UK higher education institution (HEI). Quality assurance assessments were con- ducted at eight English language providers in three Indian states adopting a mixed-methods approach, including observations, interviews, focus groups and document analysis. . Open Access T d i di ib Goldstone et al. BMC Nursing (2023) 22:169 Goldstone et al. BMC Nursing (2023) 22:169 Page 2 of 10 Table 1  IELTS and OET benchmarking CEFR Benchmark IELTS OET (incl. Numerical Score) C2 8.0–9.0 A (450–500) C1 7.0–7.5 B (350–440) B2 6.5 C+ (300–340) 5.5–6.0 C (200–290) B1 4.0–5.0 D (100–190) A2 4.0 E (0–90) The India English Language Programme A total of 249 Indian nurses were enrolled onto the India English Language Programme, all of which had demonstrated English language proficiency at Common European Framework of Reference (CEFR) C1 level [5]. Nurses were recruited via a number of established part- ner organisations working in seven Indian states: Kerela, Tamil Nadu, Telangana, Andhra Pradesh, Punjab, and Delhi NCR. Partner organisations, most of which were aligned to local state governments, were required to pass a rigorous due diligence process where each organisation demonstrated: Nurses who were successful in meeting NMC English language proficiency requirements would be permitted to progress onto the HEE Global Learners Programme (GLP). This was a programme offering overseas nurses with an opportunity to work in the NHS on an ‘earn, learn, and return’ basis. As part of the GLP, nurses would receive a suite of support to assist arrival in the United Kingdom, including full funding for flight, initial accom- modation and visa costs, a structured induction and training programme at an NHS employer, and a full NHS salary for the duration of the programme. The aims of the intervention were as follows: – A track record in effectively working with the HEE Global Health Partnerships English language team during the Global Learners Programme – Positive GLP candidate feedback – Capacity to run English language training pro- grammes – Compliance with General Data Protection Regula- tion (GDPR); and – A commitment to recruiting nurses directly and not subcontracting the recruitment of nurses to other suppliers – Provide Indian nurses with an opportunity to partici- pate in high-quality English language upskilling.i – Provide Indian nurses with an opportunity to partici- pate in high-quality English language upskilling.i Each candidate was requested to make a bond pay- ment totalling £50 upfront, which would be returned upon completion of the English language training and examinations. This was to maximise the personal investment made in the funded learning by each can- didate and to reduce the withdrawal rate. In order to optimise programme success and value-for-money, and create an achievable offer for participants, programme entry was based on proficiency level. This decision was based on existing research on English language learn- ing which demonstrates that, on average, 100 hours of face-to-face teaching and 100 hours of independent study is necessary to move from CEFR C1 to CEFR C2 [13]. Introduction Both examination options are benchmarked against the Common European Framework of Reference for Languages (CEFR) (Table 1).h The project focused on English language support because existing research shows that obtaining suffi- cient English language proficiency to meet UK health regulatory bodies’ standards is one of the largest issues obstructing health professionals, who are trained inter- nationally, to migrate to the NHS or other English-speak- ing countries (Jamal et  al., 2019 [10]). Although Hindi and English are the official languages of India, access to high-quality English language training opportunities is not universal and standards were found to vary substan- tially during a quality assurance assessment conducted in India during programme initiation.1 This means that English language proficiency and requirements stipulated by regulatory bodies, such as the NMC, remain a bar- rier to the migration of health professionals to the UK. In this context, the United Kingdom (UK) Government commissioned Health Education England’s (HEE, now NHS England) Directorate of Global Health Partner- ships to assist in increasing the number of nurses work- ing in the NHS. This was one conduit through which the UK Government would meet its target of increasing the number of nurses working in the NHS by 50,000 by March 2024 [8]. To contribute to the number of nurses in the NHS in such a timeframe requires an ethical pro- gramme of international recruitment to be designed and initiated to supplement the continued training of those living in the UK aspiring to enter the profession. Therefore, the India English Language Programme was initiated by HEE to support the ethical migration of nurses from India, an active supplier of health workers globally, to the NHS. The programme aimed to provide funding for English language training and examination to a cohort of Indian nurses who are required to meet Nursing and Midwifery Council (NMC) professional Goldstone et al. Introduction BMC Nursing (2023) 22:169 Page 3 of 10 Therefore, the programme would be of mutual benefit to the individual nurse through enabling professional and individual development via English language training and global learning opportunities [4], the NHS by increasing both the volume and diversity of the nursing workforce [1], and also the Indian health system and economy by providing employment and development opportunities to Indian nurses who (a) return with heightened skills associated with global learning and working and (b) are known to send remittance back to family whilst working abroad, which stimulates the local and national economy [11]. Moreover, those Indian nurses that are unsuccessful in meeting NMC English language proficiency require- ments will still benefit from the English language upskill- ing enabled via education and training received. for facilitating the migration of healthcare professionals more generally. Concluding remarks are then provided. The India English Language Programme Moreover, the total number of face-to-face teaching and independent study hours required for improvement increases as an individuals’ English lan- guage proficiency level descends the CEFR. Therefore, it was imperative to ensure nurses enrolled onto the programme with a sufficient level of English language proficiency to enable progression to NMC require- ments. Prospective candidates were able to demon- strate sufficient English language proficiency by either providing examination transcripts for a recognised English language examination undertaken in the previ- ous 2 years (Route A) or undertaking a British Council y – Support nurses in meeting English language profi- ciency standards required by the NMC. – Facilitate the ethical recruitment of highly skilled Indian nurses by NHS Trusts via supporting them to meet the English language requirements of the NMC. Thus, the programme aims to contribute to levelling the playing field and expanding opportunity for active, economic migration for the international healthcare workforce, an activity which has traditionally been the preserve of health professionals from wealthier, devel- oped countries [9]. In doing so, it offers an ethical con- duit through which a ‘triple win’ can be achieved, seeing benefit for the NHS and service providers, the health professional, and the partner country (in this case, India). The remainder of this article is as follows. Firstly, the India English Language Programme is outlined in fur- ther detail. Thereafter, information on the methodologi- cal approach taken in this programme evaluation and article is discussed. This is followed by a presentation of programme results, cost-effectiveness analysis and a dis- cussion of the lessons that can be taken from this model Thus, the programme aims to contribute to levelling the playing field and expanding opportunity for active, economic migration for the international healthcare workforce, an activity which has traditionally been the preserve of health professionals from wealthier, devel- oped countries [9]. In doing so, it offers an ethical con- duit through which a ‘triple win’ can be achieved, seeing benefit for the NHS and service providers, the health professional, and the partner country (in this case, India).h The remainder of this article is as follows. Firstly, the India English Language Programme is outlined in fur- ther detail. Thereafter, information on the methodologi- cal approach taken in this programme evaluation and article is discussed. Methods Evaluation data was collected from English language providers on individual candidates’ progression and pro- gramme outcomes, of which the variables used in this article are: – Candidate enrolment – Candidate enrolment All teaching and learning were based on a Quality Assurance Framework, which was created in conjunc- tion with language specialists at the University of Salford, England. The programme operated from November 2020 to September 2021, with all English language training, including relearn opportunities, completed by May 2021. All examinations were completed by September 2021. – Candidate programme withdrawal – Candidate English language course completion – Candidate post-course examination result – Candidate destination data Method An ex-post evaluation of the India English Language Programme was conducted following programme completion. The India English Language Programme Most (82%) enrolled candidates were Route A candidates. 1. Preparation and support prior to coming to England, including Computer Based Test (CBT) preparation, NHS introductory learning materials, and support transitioning to UK living. 1. Preparation and support prior to coming to England, including Computer Based Test (CBT) preparation, NHS introductory learning materials, and support transitioning to UK living. Each enrolled candidate undertook a course of Eng- lish language study delivered by British Council or Occupational English Test (OET) providers in India based on the candidate’s preferred English language examination. British and OET were chosen in this programme because they were the only providers able to quality assure teaching and examination support. Almost two-thirds (65%) of candidates chose OET provision, with the remaining 35% opting for British Council examinations. In response to the coronavirus pandemic and national restrictions imposed across India during the programme, all learning and most English language examinations were delivered online. A summary of the British Council and OET provi- sion, both of which lasted for 12-weeks, is provided in Table 2.f 2. Orientation, preparation and support to gain NMC registration after arrival in England. 3. Post-NMC registration support and development, including enrolment on a preceptorship programme and engagement in other local professional develop- ment opportunities. 4. Continued support mechanisms, such as educational opportunities at each respective organisation, men- toring and buddy schemes. Where candidates were unsuccessful in meeting the NMC English language proficiency requirements in the funded English language examinations, they were unfortunately unable to be supported further by this programme. It is for this reason that entry onto the pro- gramme required a high level of starting proficiency in order to minimise examination failure. OET candidates were offered a place on one of two packages: (1) the Fully Managed Service (FMS) and (2) the Lite service. Allocation to each package depended on region and availability. Both packages were com- prised of core specifications outlined in the second column of Table  2, but the FMS contained additional support services from OET to HEE, which are outlined in the third column. OET candidates who failed to meet NMC English language proficiency requirements in the post-course examination had the opportunity to undertake relearn provision. This delivered additional learning and coaching, examination preparation and pastoral support to candidates who wished to under- take a second attempt to meet NMC English language requirements. The India English Language Programme This is followed by a presentation of programme results, cost-effectiveness analysis and a dis- cussion of the lessons that can be taken from this model Page 4 of 10 Goldstone et al. BMC Nursing (2023) 22:169 Goldstone et al. BMC Nursing (2023) 22:169 Table 2  English language provision summary British Council OET Lite & FMS OET FMS One-hour orientation Minimum learning time of 200 hours, inclusive of self-study, homework, and mock examinations Work with suppliers to support marketing and recruitment to the courses. IELTS Coach lessons & App, comprising 30 hours of both taught and self-directed reading and listening practice Performance of a needs analysis by the provider with assistance from OET Manage all aspects of communication to the candidates on course details & queries from candidates. Road to IELTS, where participants were able to access authentic test materials and test strategies (access provided for a year). Textual analysis/peer correction tasks, providing seven-and-a-half hours of weekly tasks focusing on the language and style neces- sary to achieve the required 6.5 examination score Creation of individual candidate learning plans by the EL provid- ers Development of a sense of network and collegial support between candidates. Provide wrap-around support for candidates ensuring excellent communication and guidance is in place, dealing with any issues which are raised by candidates and ensuring that candidates have a smooth journey through the programme. Weekly writing tasks, enabling students to engage in 15-hours of self-directed writing activities with individual feedback provided by an EL trainer. Classes to have a minimum 80% focus on skills and 20% mock examination time Work with the provider to manage candidates’ journeys, track attendance & engagement with the provider &, where appropri- ate, communicate with candidates to encourage engagement in the course or identify issues that they may have. One-to-one mid-course meetings with EL trainers Four teacher feedback sessions for candidates Work with candidates to ensure they know their exam date & encourage attendance. Tutor Group, consisting of five hours spent in collaborative learn- ing groups Relearn opportunity, where additional learning, coaching, examination preparation and pastoral support was delivered before a second examination Goldstone et al. BMC Nursing (2023) 22:169 Goldstone et al. BMC Nursing (2023) 22:169 Page 5 of 10 or Occupational English Test (OET) baseline screening test (Route B). Most (82%) enrolled candidates were Route A candidates. or Occupational English Test (OET) baseline screening test (Route B). Analysis This financial analysis enables an assessment of (a) the relative value-for-money of each provider’s service and (b) the cost of facilitating the migration of international nurses into the NHS via the model adopted in this programme compared to other forms of nurse recruitment. Table 5  Overall programme results, inclusive of post-course and relearn results Tests (N) Passes (N) Pass Rate (%) Route Route A 178 70 39 Route B 45 19 42 Partner OET 150 77 51 British Council 73 12 16 Overall 223 89 40 Ethics In line with the internal ethical review process at Health Education England, programme candidates provided consent for programme data to be used for evaluation and research purposes. Consent was gained via comple- tion of a data protection agreement signed by the candi- date at enrolment stage. No personal or identifiable data is presented in any output included in this publication and this research did not involve animal subjects. All data collected was stored on encrypted Health Education England (HEE) servers and stored in password-protected files to ensure data security. As previously outlined, OET English language provid- ers delivered remedial relearn opportunities for many nurses who were unsuccessful in meeting NMC English language proficiency requirements in the post-course examination. Table 4 shows that the majority of nurses completing the relearn opportunity were Route A can- didates (81%) and OET candidates (91%). Pass rates by route of entry did not differ substantially, with a single percentage point difference between Route A (54%) and Route B (53%) pass rates. Analysis Indian nurses who were successful in meeting NMC English language proficiency requirements would be permitted to progress onto the HEE GLP. This aimed to facilitate the appointment of international nurses seeking educational and employment opportunities in participat- ing English NHS trusts. The programme would support candidates and NHS trusts at all stages of the recruitment process, including application submission, screening and shortlisting, as well as interviewing, issuing of employ- ment offers and conducting pre-employment checks. Once appointed by an English NHS trust, a four stage support package was available to GLP recruited nurses: Descriptive data analysis of programme statistical data at programme completion was conducted using Micro- soft Excel to investigate the number of course comple- tions, examination completions, examination passes at the NMC English language proficiency requirements, and course pass rates according to enrolment route and English language provision type (i.e., British Council or OET). In order to assess the added value of the relearn opportunity provided by OET providers, data is also presented of programme pass rates for relearn candi- dates and overall programme pass rates. In addition, an analysis was conducted of financial costings relative to Goldstone et al. BMC Nursing (2023) 22:169 Goldstone et al. BMC Nursing (2023) 22:169 Page 6 of 10 Table 3  Post-course examination results by route and type of English language provision Tests (N) Passes (N) Pass Rate (%) Route Route A 179 34 19 Route B 44 11 25 Partner OET 150 33 22 British Council 73 12 16 Overall 223 46 21 Table 3  Post-course examination results by route and type of English language provision Table 3  Post-course examination results by route and type of English language provision Tests (N) Passes (N) Pass Rate (%) Route Route A 179 34 19 Route B 44 11 25 Partner OET 150 33 22 British Council 73 12 16 Overall 223 46 21 Table 4  Relearn course test results by route and type of English language provision Tests (N) Passes (N) Pass Rate (%) Route Route A 65 35 54 Route B 15 8 53 Partner OET 73 43 59 British Council 7 0 0 Overall 80 43 54 Table 4  Relearn course test results by route and type of English language provision Table 5  Overall programme results, inclusive of post-course and relearn results pass rates for each English language provision type. Participants Data was obtained and analysed for all 249 participants on the India English Language Programme. Demo- graphic data is unavailable for programme participants in line with a data sharing agreement agreed during the programme. Inclusion criteria for this study was that the nurses must have possessed a minimum English language proficiency level of CEFR B2 (IELTS 6.5 or equivalent). English language training and the post-course examina- tion, an overall pass rate of 21% was achieved. Pass rates were highest among candidates entering the programme following completion of a baseline screening test (Route B) compared to those entering via Route A (25% com- pared to 19%). Likewise, candidates completing OET English language training and undertaking the OET examination achieved a higher pass rate than British Council candidates (22% compared to 16%). Results Of the 249 enrolled candidates enrolled onto the India English Language Programme, a total of 26 withdrew either before starting provision or promptly after begin- ning English language training. These candidates are excluded from analysis on programme pass rates pro- vided in Tables  3, 4 and 5 yet are included in finan- cial assessment data presented in Table 6 as costs were incurred during enrolment. The majority (59%) of OET candidates undertaking the relearn opportunity successfully met NMC English language proficiency requirements. Only seven Brit- ish Council candidates pursude the OET relearn oppor- tunity, all of which were unsuccessful in meeting NMC English language proficiency requirements. i Table  5 combines post-course and relearn examina- tion data to present overall programme results. This shows an overall programme pass rate of 40%. Dif- ferences in pass rates are negligible when comparing the route of entry into the programme. Yet, a large Table 3 displays the number of tests and passes at the NMC English language proficiency requirement and pass rates by programme entry route and type of English lan- guage provider. Among the 223 candidates completing Goldstone et al. BMC Nursing (2023) 22:169 Page 7 of 10 Table 6  Programme costings by type of English language provision Total Costs Enrolled Candidates Cost Per Candidate Completed Exams Cost Per Exam Passing Candidates Cost Per Pass British Council 97239 87 1118 73 1332 12 8103 OET 271145 162 1674 150 1808 77 3521 Total 368384 249 1485 223 1652 89 4139 Fig. 1  Destination Data for India EL Programme GLP candidates by NHS Region. Sample: 65. Note: The status is currently unknown for six candidates Table 6  Programme costings by type of English language provision Fig. 1  Destination Data for India EL Programme GLP candidates by NHS Region. Sample: 65. Note: The status is currently unknown for six candidates Fig. 1  Destination Data for India EL Programme GLP candidates by NHS Region. Sample: 65. Note: The status is currently unknown for six candidates Table  6 combines programme results data with pro- gramme financial data to enable an assessment of which form of provision offered the highest value-for-money for HEE during this programme. Overall, this demonstrates that £4139 per Indian nurse passing at the NMC English language proficiency requirement was achieved in this programme. Table  5 stratifies programme costings by type of English language provider used. Results This shows that OET offered the strongest returns on investment and highest value-for-money by achieving £3521 per pass- ing candidate, as compared to British Council provision which achieved a cost per pass of £8103. difference is observed in programme pass rates between OET and British Council candidates. Post-course examination results showed a 6-percentage point dif- ference between type of English language provision (22% compared to 16%) (Table  3). However, follow- ing the inclusion of OET relearn examination results the differential increases to 35-percentage points (51% compared to 16%). This data suggests that OET English language provision provided as part of the India Eng- lish Language Programme is a more effective delivery method for improving the English language proficiency for Indian nurses interested in migrating to the United Kingdom to work in the NHS, especially following the provision of remedial relearn learning opportunities to candidates. Discussion However, the enhanced English language training and support provided via the OET delivery model, including the Relearn opportunity, may have also influenced the pass rate achieved. Also, the number of passes almost doubled (from 46 to 89 nurses) following relearn course and examination completion, most of which were among OET candidates. This find- ing underlies the importance of high-quality English lan- guage training which is comprised of remedial support for those candidates that are unsuccessful on their first attempt.h Given the increasing recognition that the NHS work- force is recognised as both its most valuable asset and in need of further investment, these findings are of con- temporary significance to the NHS. The programme illustrates how workforce challenges faced by nurse management can be addressed through a combination of high-quality education and training and international recruitment facilitated via education. Ethical Interna- tional recruitment is shown in this programme to be able to deliver value-for-money and mutual benefit to the NHS and its service providers, the health profes- sional, and the partner country. Benefit for the NHS is achieved through investment in its long-term work- force needs, contributing further to the diversity of the NHS workforce, and to the Indian diaspora working in the NHS and representing the second largest national- ity among NHS employees [7, 12]. For health profes- sionals, these programmes offer access to learning and development opportunities in the NHS, access to which is known to be inequitable and necessitates an uncer- tain and expensive journey with no guarantee of success. Through creating more equitable migration pathways for health professionals, ethical recruitment programmes can offer benefits to origin country health systems too. This is demonstrated in this programme through sup- porting the Indian Government in creating migratory opportunities to highly trained health professionals who would otherwise have no employment in healthcare in India, which is supported by Indian government agencies like Overseas Development and Employment Promo- tion Consultants (ODEPC) [16]. Furthermore, whilst the programme might be perceived to involve the depletion of local Indian health systems of highly trained nursing professionals, HEE did work in partnership with state governments in India when establishing this programme. Hence, this programme is consistent with the principle of mutuality underpinning the WHO Code of Practice, yet we actively appreciate the tension implicit in work of this kind. Discussion However, the enhanced English language training and support provided via the OET delivery model, including the Relearn opportunity, may have also influenced the pass rate achieved. Also, the number of passes almost doubled (from 46 to 89 nurses) following relearn course and examination completion, most of which were among OET candidates. This find- ing underlies the importance of high-quality English lan- guage training which is comprised of remedial support for those candidates that are unsuccessful on their first attempt. The results of this programme also suggest that prior programmes aimed at improving English language pro- ficiency among health professionals and ensuring that those most able to benefit from such education and train- ing are supported. proficiency requirements, and (b) value for money, where the OET achieved a cost-per-pass more than half the value of British Council candidates. However, Brit- ish Council did not provide a relearn opportunity for candidates, resulting in only seven British Council can- didates pursuing the relearn opportunity, all of which were unsuccessful in meeting NMC English language proficiency requirements. This may be one factor for the differential pass rate achieved. This is for two reasons. Firstly, because OET candidates received further tuition following their first examination attempt (if unsuccess- ful). Secondly, among the seven who did undertake the relearn course, the content was designed for the OET examination, thus limiting its applicability for IELTS preparation. Furthermore, the difference between British Council and OET examinations may be partially respon- sible for these findings. OET is an English language test designed specifically for healthcare professionals, which assesses the language and communication skills of inter- national healthcare workers who wish to enter clinical practice in an English-speaking country. On the other hand, the International English Language Testing Sys- tem (IELTS) examination is a general academic English language examination which examines a candidates’ lis- tening, reading, writing, and speaking skills. Whilst OET is designed principally to facilitate healthcare profes- sional migration to English-speaking countries, IELTS is not specially designed for health professionals and is the standard examination used by prospective students from non-English speaking countries aspiring to enter a Higher Education Institution in the United Kingdom. Thus, the greater vocational relevance of the OET examination may assist in the higher pass rates achieved by Indian nurses participating in this programme. Discussion Findings presented in this article demonstrate that OET English language provision and examinations produced stronger results, relative to those candidates undertak- ing British Council provision, among Indian nurses wish- ing to migrate to the NHS. Stronger results are achieved both in terms of (a) overall pass rates, with more than half of OET candidates meeting NMC English language Of the 89 successful programme candidates, 71 (80%) opted to pursue NHS employment via the GLP, which offered the Indian nurses an opportunity to work in the NHS on an ‘earn, learn, and return’ basis. Figure 1 dis- plays destination data for these candidates by NHS region. Goldstone et al. BMC Nursing (2023) 22:169 Goldstone et al. BMC Nursing (2023) 22:169 Page 8 of 10 proficiency requirements, and (b) value-for-money, where the OET achieved a cost-per-pass more than half the value of British Council candidates. However, Brit- ish Council did not provide a relearn opportunity for candidates, resulting in only seven British Council can- didates pursuing the relearn opportunity, all of which were unsuccessful in meeting NMC English language proficiency requirements. This may be one factor for the differential pass rate achieved. This is for two reasons. Firstly, because OET candidates received further tuition following their first examination attempt (if unsuccess- ful). Secondly, among the seven who did undertake the relearn course, the content was designed for the OET examination, thus limiting its applicability for IELTS preparation. Furthermore, the difference between British Council and OET examinations may be partially respon- sible for these findings. OET is an English language test designed specifically for healthcare professionals, which assesses the language and communication skills of inter- national healthcare workers who wish to enter clinical practice in an English-speaking country. On the other hand, the International English Language Testing Sys- tem (IELTS) examination is a general academic English language examination which examines a candidates’ lis- tening, reading, writing, and speaking skills. Whilst OET is designed principally to facilitate healthcare profes- sional migration to English-speaking countries, IELTS is not specially designed for health professionals and is the standard examination used by prospective students from non-English speaking countries aspiring to enter a Higher Education Institution in the United Kingdom. Thus, the greater vocational relevance of the OET examination may assist in the higher pass rates achieved by Indian nurses participating in this programme. Discussion Ultimately, what this programme indicates is the global asset the NHS represents for the UK and how it is a con- duit through which the UK can contribute to both its national challenges, its global responsibilities and form- ing health partnerships with partner health systems.h The results of this programme also suggest that prior demonstration of English language proficiency is not an indicator of higher proficiency level and probability of meeting NMC English language requirements. On the contrary, enrolled candidates entering the programme via Route B had a slightly higher pass rates overall than Route A counterparts (42% compared to 39%). This find- ing, although requiring future research to explore further, suggests that baseline testing is significantly important in This article does possess some limitations. Firstly, it should be noted that this programme was conducted in a single country – India – which legally stipulates Eng- lish as one of its official languages. This raises a poten- tial limitation on the generalisability of the findings of Goldstone et al. BMC Nursing (2023) 22:169 Goldstone et al. BMC Nursing (2023) 22:169 Page 9 of 10 the results presented, but moreover demonstrates the difficulty experienced by international nurses in meet- ing the English language proficiency requirements of the NMC. Secondly, entry onto the India English Language Programme was only available for Indian nurses with a high level of prior English language proficiency. There- fore, it is unclear how representative the results of this project are to those Indian nurses who have lower levels of proficiency. Thirdly, the absence of demographic and multivariate analyses associated with such data limits the explanatory power of conclusions made. Fourthly, results only focus on direct and immediate results and costings from the project, ignoring the indirect and long-term impacts of participation in the programme and migration for the individual, NHS system and Indian health system. This inhibits a complete analysis of the mutually ben- eficial nature of this programme and the trajectories fol- lowed by participants. Furthermore, this is compounded by the incomplete responses on the current status of programme candidates and GLP entrants (see Fig. 1). Further research and evaluation should be conducted on similar programmes of work to supplement the findings of this article. with partner countries for mutual benefit. Funding This work was supported by India English Language Project funding from the Department of Health and Social Care, UK Government. Acknowledgements Additional thanks are extended to Andrew Fearon, George Leeming and Simon Finnigan in the collection and management of project evaluation data and related work. Authors’ contributions RG conducted data analysis of project evaluation data and wrote the major- ity of the manuscript. RM provided oversight of the evaluation design and assisted in drafting the manuscript. GB helped draft the manuscript. DK pro- vided oversight of the evaluation design and was involved in the collection of project evaluation data. The authors read and approved the final transcript. Conclusion To conclude, the India English Language Programme was designed to facilitate the ethical migration of Indian nurses to the UK to work in the NHS. It uniquely pro- vided a structured and funded educational opportu- nity to Indian nurses to migrate and engage in global health learning and development in the NHS. In doing so, it aimed to achieve a ‘triple-win’ by: (a) contributing to increasing the NHS nursing workforce, (b) providing Indian nurses with an opportunity to work in the NHS and develop an array of skills associated with working in other health systems, (c) which will enable them to contribute to the Indian health system in the future. It is hoped that this model of healthcare professional migra- tion, which placed principals of working ethically and mutual benefit at the heart of its design, will be of value to those involved in managing, educating and supporting the nurse workforce, particularly nursing management, in English-speaking countries that are currently facing and are projected to continue to encounter workforce shortages in the years to come. However, it also provides a template to improve the design and enhance the ethi- cal nature of recruitment activity in countries across the world. Availability of data and materials The datasets generated and/or analysed during the current study are not publicly available due regulations governing the use of personal data but are available from the corresponding author on reasonable request. Competing interests All authors are current employees at the Directorate for Global Health Partner- ships, Health Education England. Consent for publication Not applicable. Discussion The results also suggest important factors that nursing management in the NHS and other anglophone health system should consider when providing English language upskilling to support recruitment of international nurses. This is of heightened importance given recent developments in NMC English language standards and the interest NHS service providers has shown in proposed changes. Abbreviations CEFR Common European Framework of Reference CBT Computer Based Test GDPR General Data Protection Regulation HEE Health Education England IELTS International English Language Testing System GLP Global Learners Programme NHS National Health Service NMC Nursing & Midwifery Council OET Occupational English Test UHC Universal Health Coverage WHO World Health Organization Abbreviations CEFR Common European Framework of Reference CBT Computer Based Test GDPR General Data Protection Regulation HEE Health Education England IELTS International English Language Testing System GLP Global Learners Programme NHS National Health Service NMC Nursing & Midwifery Council OET Occupational English Test UHC Universal Health Coverage WHO World Health Organization Ethics approval and consent to participate Ethical oversight was provided by Health Education England, Directorate for Global Health Partnerships, India English Language Programme Steering Com- mittee. All programme candidates consented to the collection and use of data for evaluation and research purposes upon enrolling onto the programme. No personal or identifiable data is presented in any output included in this publication. References Health Education England; 2021. 14. World Health Organization. Global strategy on human resources for health: Workforce 2030. Available at: https://​apps.​who.​int/​iris/​bitst​ream/​ handle/​10665/​250368/​97892​41511​131-​eng.​pdf. Accessed 22 Feb 2023. 15. World Health Organization. WHO Global Code of Practice on the Interna- tional Recruitment of Health Personnel. 2010. Available at: https://​www.​ who.​int/​hrh/​migra​tion/​code/​code_​en.​pdf. Accessed 01 Oct 2021. 16. World Health Organization. Review of international migration of nurses from the state of Kerela, India. 2022. Available at: https://​cdn.​who.​int/​ media/​docs/​defau​lt-​source/​searo/​india/​publi​catio​ns/​review-​of-​inter​ natio​nal-​migra​tion-​of-​nurses-​from-​the-​state-​of-​keral​a--​india-.​pdf?​sfvrsn=​ 524df​fc1_2. Accessed 14 Mar 2023 . • fast, convenient online submission • thorough peer review by experienced researchers in your field • rapid publication on acceptance • support for research data, including large and complex data types • gold Open Access which fosters wider collaboration and increased citations maximum visibility for your research: over 100M website views per year • At BMC, research is always in progress. Learn more biomedcentral.com/submissions Ready to submit your research Ready to submit your research ? Choose BMC and benefit from: ? Choose BMC and benefit from: • fast, convenient online submission • thorough peer review by experienced researchers in your field • rapid publication on acceptance • support for research data, including large and complex data types • gold Open Access which fosters wider collaboration and increased citations maximum visibility for your research: over 100M website views per year • At BMC, research is always in progress. Learn more biomedcentral.com/submissions Ready to submit your research Ready to submit your research ? Choose BMC and benefit from: ? Choose BMC and benefit from: References 1. Baker C. NHS staff from overseas: statistics. Briefing paper 7783. London: House of Commons Library; 2021. 1. Baker C. NHS staff from overseas: statistics. Briefing paper 7783. London: House of Commons Library; 2021. 2. Beech J, Bottery S, Charlesworth A, Evans H, Gershlick B, Hemmings N, Imison C, Kahtan P, McKenna H, Murray R, Palmer B. Closing the gap key areas for action on the health and care workforce. 2019. Available at: https://​www.​kings​fund.​org.​uk/​sites/​defau​lt/​files/​2019-​06/​closi​ng-​the-​ gap-​full-​report-​2019.​pdf. Accessed 31 Oct 2021. 3. Britnell. Human: Solving the global workforce crisis in healthcare. Oxon: Oxford University Press; 2019. 4. Button L, Green B, Tengnah C, Johansson I, Baker C. The impact of inter- national placements on nurses’ personal and professional lives: literature review. J Adv Nurs. 2004;50(3):315–24. 5. Council of Europe. Common European framework of reference for languages: learning, teaching, assessment. Strasbourg: Council of Europe Publishing; 2020. 6. Clemens MA, Dempster H. Ethical recruitment of health workers: using bilateral cooperation to Fulful the World Health Organization’s global code of practice. Centre for Development, Policy Paper 212. 2021. Available at: https://​www.​cgdev.​org/​sites/​defau​lt/​files/​PP212-​Cleme​ns-​ Demps​ter-​Ethic​al-​recru​itment-​health-​worke​rs-​WHO-​Code.​pdf 6. Clemens MA, Dempster H. Ethical recruitment of health workers: using bilateral cooperation to Fulful the World Health Organization’s global code of practice. Centre for Development, Policy Paper 212. 2021. Available at: https://​www.​cgdev.​org/​sites/​defau​lt/​files/​PP212-​Cleme​ns-​ Demps​ter-​Ethic​al-​recru​itment-​health-​worke​rs-​WHO-​Code.​pdf 7. Crisp N. Turning the world upside down the search for global health in the ­21st century. London: Routledge; 2010. 8. Department of Health & Social Care. Guidance Code of practice for the international recruitment of health and social care personnel in England. 2021. Available at: https://​www.​gov.​uk/​gover​nment/​publi​catio​ns/​code-​ of-​pract​ice-​for-​the-​inter​natio​nal-​recru​itment-​of-​health-​and-​social-​care-​ perso​nnel/​code-​of-​pract​ice-​for-​the-​inter​natio​nal-​recru​itment-​of-​health-​ and-​social-​care-​perso​nnel-​in-​engla​nd#​WHO-​safeg​uard-​list. Accessed 31 Oct 2021. 9. House of Commons Public Accounts Committee. NHS nursing workforce Eighteenth Report of Session 2019–21. (2020). Available at: https://​ commi​ttees.​parli​ament.​uk/​publi​catio​ns/​2675/​docum​ents/​26512/​defau​ lt/. Accessed 31 Oct 2021. 10. Jalal M, Bardhan KD, Sanders D, Illing J. Overseas doctors of the NHS: migration, transition, challenges and towards resolution. Future Health- care J. 2019;6(1):76–81. 11. Kingma M. Nurses on the move: a global overview. Health Serv Res. 2007;42(3):1281–98. 11. Kingma M. Nurses on the move: a global overview. Health Serv Res. 2007;42(3):1281–98. 12. National Audit Office. The NHS nursing workforce. 2021. Available at: https://​www.​nao.​org.​uk/​wp-​conte​nt/​uploa​ds/​2020/​03/​The-​NHS-​nursi​ ng-​workf​orce.​pdf. Accessed 31 Oct 2021. 13. Veysey C. Options appraisal examining the potential for a rollout of Eng- lish language testing to overseas trained nurse (OTN) health care support workers (HCSWs): independent report produced for the Directorate of Global Health Partnerships, health education England. Implications for nursing managementhi Received: 11 April 2022 Accepted: 14 April 2023 Received: 11 April 2022 Accepted: 14 April 2023 This article provides exemplifies how nursing manage- ment in the NHS and other English-speaking countries can design ethical recruitment practices in collaboration Page 10 of 10 Goldstone et al. BMC Nursing (2023) 22:169 Goldstone et al. BMC Nursing (2023) 22:169 • fast, convenient online submission • thorough peer review by experienced researchers in your field • rapid publication on acceptance • support for research data, including large and complex data types • gold Open Access which fosters wider collaboration and increased citations maximum visibility for your research: over 100M website views per year • At BMC, research is always in progress. Learn more biomedcentral.com/submissions Ready to submit your research Ready to submit your research ? Choose BMC and benefit from: ? Choose BMC and benefit from: Publisher’s Note S N Springer Nature remains neutral with regard to jurisdictional claims in pub- lished maps and institutional affiliations.
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Acoustic adaptation to dynamic background conditions with asynchronous transformations
Computer speech & language
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cc-by
11,262
Abstract This paper proposes a framework for performing adaptation to complex and non-stationary background conditions in Automat- ic Speech Recognition (ASR) by means of asynchronous Constrained Maximum Likelihood Linear Regression (aCMLLR) trans- forms and asynchronous Noise Adaptive Training (aNAT). The proposed method aims to apply the feature transform that best compensates the background for every input frame. The implementation is done with a new Hidden Markov Model (HMM) to- pology that expands the usual left-to-right HMM into parallel branches adapted to different background conditions and permits transitions among them. Using this, the proposed adaptation does not require ground truth or previous knowledge about the back- ground in each frame as it aims to maximise the overall log-likelihood of the decoded utterance. The proposed aCMLLR trans- forms can be further improved by retraining models in an aNAT fashion and by using speaker-based MLLR transforms in cascade for an efficient modelling of background effects and speaker. An initial evaluation in a modified version of the WSJCAM0 corpus incorporating 7 different background conditions provides a benchmark in which to evaluate the use of aCMLLR transforms. A relative reduction of 40.5% in Word Error Rate (WER) was achieved by the combined use of aCMLLR and MLLR in cascade. Finally, this selection of techniques was applied in the transcription of multi-genre media broadcasts, where the use of aNAT train- ing, aCMLLR transforms and MLLR transforms provided a relative improvement of 2–3%. © 2016 The Authors. Published by Elsevier Ltd. This is an open access article under the CC BY license (http://creativecommons.org/ g, p p © 2016 The Authors. Published by Elsevier Ltd. This is an open access article under the CC BY license (http://creativecommons.org/ licenses/by/4.0/). Keywords: Speech recognition; Acoustic adaptation; Factorisation; Dynamic background; Media transcription Acoustic adaptation to dynamic background conditions with asynchronous transformations Oscar Saz *, Thomas Hain Speech and Hearing Group, University of Sheffield, 211 Portobello St., Sheffield S1 4DP, UK Received 11 January 2016; received in revised form 23 May 2016; accepted 25 June 2016 Available online 4 July 2016 Available online at www.sciencedirect.com Computer Speech and Language 41 (2017) 180–194 www.elsevier.com/locate/csl ScienceDirect Available online at www.sciencedirect.com Computer Speech and Language 41 (2017) 180–194 www.elsevier.com/locate/csl ScienceDirect Available online at www.sciencedirect.com Computer Speech and Language 41 (2017) 180–194 www.elsevier.com/locate/csl ScienceDirect * Corresponding author at: Speech and Hearing Group, University of Sheffield, 211 Portobello St., Sheffield S1 4DP, UK. Fax: +44 (0) 114 222 1810. E-mail addresses: o.saztorralba@sheffield.ac.uk (O. Saz). http://dx.doi.org/10.1016/j.csl.2016.06.008 0885-2308/© 2016 The Authors. Published by Elsevier Ltd. This is an open access article under the CC BY license (http://creativecommons.org/ licenses/by/4.0/). http://dx.doi.org/10.1016/j.csl.2016.06.008 0885-2308/© 2016 The Authors. Published by Elsevier Ltd. This is an open access article under the CC BY license (http://creativecommons.org/ licenses/by/4.0/). 1. Introduction Methods like Parallel Model Combination (PMC) (Gales and Young, 1996) or Vector Taylor Series (VTS) (Moreno et al., 1996) have been especially targeted to speech recognition in noisy environments, while adaptation techniques like Maximum a Posteriori (Gauvain and Lee, 1994) and Maximum Likelihood Linear Regression (MLLR) (Gales and Woodland, 1996) have been used for adaptation to different speakers or different background conditions. Other types of model-based methods are adaptive training regimes, where the parameters of the GMM–HMM are re- estimated jointly with the parameters of some of the previously mentioned techniques. In Speaker Adaptive Training (SAT), for instance, MLLR transforms trained from a set of target speakers are used to update the model parameters (Anastasakos et al., 1996). Extending this, other types of adaptive training regimes have been used for adaptation to the background effects (Kalinli et al., 2010; Liao and Gales, 2007). g The assumption of stationarity and synchrony of the background noise is true for corpora such as NOISEX (Varga and Steeneken, 1993) or Aurora (Hirsch and Pearce, 2000), traditional benchmarks for noise adaptation and compensation techniques. These corpora were generated by adding noise to clean speech signals. This process guaranteed that a single type of noise was added to each utterance. However, in naturally occurring audio, the assumption of stationarity is often not valid. Non-stationary background effects, such as music or overlapping speech, can be common in many tasks, including the multimedia domain and meeting recognition. Furthermore, acoustic background conditions can, by nature, be independent, and hence asynchronous to the target speaker. Typical examples of asynchronous acoustic events can be applause, laughter or door slamming. The common feature of both non-stationary and asynchronous events is that their acoustic properties are not tied to the beginning and end of a speaker utterance; hence, modelling them as a single static environment does not have to be optimal. The work in this paper aims to deal with asynchrony and non-stationarity of the background in ASR tasks, performing a thorough evaluation of the benefits that an explicit modelling of non-stationary backgrounds can provide. The initial technique will be asynchronous CMLLR (aCMLLR) transforms, which will provide adaptation to dynamic acoustic backgrounds in the feature space. 1. Introduction Complex and dynamic acoustic backgrounds usually cause significant loss of performance on Large Vocabulary Continuous Speech Recognition (LVCSR) systems in many scenarios. Research has focused mostly on situations where the background is stationary or, at least, synchronous with the speech, following the assumption that the character- istics of the background noise remain unchanged through each utterance to decode. Multiple techniques, designed for ASR systems based on Hidden Markov Models (HMMs) and Gaussian Mixture Models (GMMs), have been O. Saz, T. Hain/Computer Speech and Language 41 (2017) 180–194 181 reported to provide solid improvements in ASR tasks (Li et al., 2014). These techniques can be categorised depend- ing on whether they operate in the acoustic space, the feature space or in the model space. Acoustic-based techniques aim to remove the background noise in the audio via some speech enhancement tech- niques like Wiener filtering or Minimum Mean-Square Error (MMSE) (Ephraim and Malah, 1984, 1985). Several works have reported significant improvement in recognition rates on benchmark tasks using such techniques (Astudillo et al., 2009; Paliwal et al., 2010). In a similar approach are techniques based on missing features that aim to reconstruct the clean speech signal from the input noisy signal, also with successful results (Cooke et al., 2001). More recently, tech- niques based on exemplars and Non-negative Matrix Factorisation (NMF) have provided also substantial gains in several tasks (Raj et al., 2010; Schuller et al., 2010). Techniques in the feature space aim to enhance or transform the input features in order to reduce the mismatch with the GMM–HMM model used for decoding. These include Stereo-based Piecewise Linear Compensation for En- vironment (SPLICE) (Droppo et al., 2001) or Multi-Environment Model-based Linear Normalization (MEMLIN) (Buera et al., 2007), which have been successfully employed in conventional benchmarks for robust ASR. Another well- known technique is Constrained Maximum Likelihood Linear Regression (CMLLR) (Gales, 1998), which has been widely used to reduce variability caused by multiple sources, like speaker or background. Model space techniques aim to re-estimate and adapt the parameters of the GMM–HMM model used for recog- nition. 2. Asynchronous background adaptation with feature transforms Constrained Maximum Likelihood Linear Regression (CMLLR) (Gales, 1998) is an adaptation technique initially defined for adapting GMM-based HMMs to a specific speaker, where the same linear transform is applied to both the means and the covariances of the GMM. Due to this property, CMLLR can be equally interpreted as a linear trans- form applied directly to the input feature vector, which is very useful in many practical situations. The linear trans- form is given by a transform matrix (A) and a bias vector (b), which are estimated from the data of the desired speaker. Modelling then uses the transformed feature vectors y, as given by Equation 1, to perform decoding. (1) y Ax b = + For a speaker spk, the pair of transform matrix and bias vector W A b spk spk spk = { } , is further referred to as the CMLLR transform for that speaker. Such a transform can also be trained on several utterances from different speakers in a given acoustic background bck, for the purpose of background adaptation: W A b bck bck bck = { } , . As in all the family of MLLR-based adaptation techniques, CMLLR can be used for supervised adaptation, with manually transcribed data, or for unsupervised adaptation, using the output of an initial recognition stage. Since adaptation data are usually sparse, CMLLR and MLLR techniques use regression classes in order to cluster model parameters together. All phonemes or acoustic units within a regression class will share the same transform, and the number of regression classes can be optimised based on the amount of data available. For the purpose of background adaptation, it is usually required to have a priori knowledge of the acoustic back- ground that is present in every given utterance. If this information is not available an assumption has to be made as to the background of a given utterance, either by known context or by an initial system for background detection and classification. Furthermore, CMLLR applies the same linear transform throughout the whole utterance, implicitly as- suming that the background has stationary properties during the utterance. The use of CMLLR on non-stationary back- grounds or backgrounds whose conditions change asynchronously with the target speech will result in suboptimal modelling and a loss in the potential improvement provided by the adaptation. This paper proposes the use of asynchronous CMLLR (aCMLLR) transforms. 2. Asynchronous background adaptation with feature transforms In the aCMLLR framework, the trans- form applied to the input feature vector x(t) for each frame is different, as in Equation 2, with the objective of pro- ducing a frame-by-frame adaptation to the acoustic background present across the utterance. (2) y t A t x t b t bck bck ( ) = ( ) ( )+ ( ) The implementation of Equation 2 is complex, as it would require a continuous space of background transforms that would optimise the search for each frame t, so a set of constraints and assumptions has to be made to develop an implementation of this technique. The specifics of performing speech recognition with aCMLLR transforms as well as the training regime of the transforms are described next. 1. Introduction This work will be then expanded with two further techniques: an asynchronous Noise Adaptive Training (aNAT) regime will be defined to provide asynchronous adaptation in the model space; and factorisation using cascading aCMLLR and MLLR transforms following work in Seltzer and Acero (2011, 2012). The proposed techniques will be evaluated in state-of-the-art GMM–HMM systems, with acoustic front-ends like Perceptual Linear Predictive (PLP) features (Hermansky, 1990), and Deep Neural Network (DNN)-front-ends like bottlenecks features (Grezl and Fousek, 2008; Liu et al., 2014). This paper expands and describes a common framework for the techniques briefly introduced in Saz and Hain (2013) and Saz et al. (2015). This paper is organised as follows: Section 2 will introduce a novel technique to perform asynchronous back- ground adaptation with feature transforms. Section 3 will describe the two extensions to this method for adaptive train- ing and factorisation. Section 4 will evaluate the proposed techniques with asynchronous transforms in a controlled scenario with WSJCAM0, and Section 5 will provide the results on the automatic transcription of Multi-Genre Broad- casts (MGB). Finally, Section 6 will present the conclusions to this work. O. Saz, T. Hain/Computer Speech and Language 41 (2017) 180–194 182 2.1. Decoding with aCMLLR transforms The usual three-state left-to-right HMM topology with an entry and an exit state is modified by creating two sequences of states from entry to exit. The HMM states in the upper and lower branches share the same GMMs (state 1 with state 4, state 2 with state 5, etc.), but these are modified by two different CMLLR transforms. While states 1, 2 and 3 are transformed by Wbck 1 ; states 4, 5 and 6 are transformed by Wbck 2 . Additional transitions between the upper and lower paths are included in order to allow the ability to change from one back- ground transform to the other with each new input frame. With the topology in Fig. 1 decoding can be done following the Maximum Likelihood (ML) criterion and the Viterbi decoding algorithm. On the optimal path, each frame will be transformed by the background transform that provides the highest increase in the overall likelihood. Fig. 1 can be slightly modified by removing the transitions between the upper and lower branches. In this case, the same CMLLR transform will be applied to the whole phonetic unit, and changes from one background to another will only be allowed when the phonetic unit changes. This possibility will be referred to as phone synchronous, while the original one in Fig. 1 will be referred to as fully asynchronous. Given that this decoding topology involves applying different CMLLR transform across time, the Jacobian of each trans- form must be included in the likelihood calculation, as it is the case when using multiple regression classes in stan- dard CMLLR adaptation. Given the expansion in the model structure shown in Fig. 1, an increase in computation can be expected, which without further optimisation can limit the use of such model in tasks where speed is required, such as online decoding. This frame-by-frame asynchronous decoding is similar to the proposal for online Vocal Tract Length Normaliza- tion (VTLN) in Miguel et al. (2008). In that work the model space was augmented to consider different VTLN warping values, and the decoder automatically chose the path that maximised the total likelihood through the augmented space. This approach was shown to improve over traditional static VTLN (Lee and Rose, 1998). 2.1. Decoding with aCMLLR transforms In order to develop an implementation of Equation 2, the first assumption will be regarding the set of transforms available. This work will assume that there is a finite number, N, of previously trained CMLLR transforms to apply (W W W bck bck n bck N 1 , , , , … … ). Under this constraint, Equation 2 is simplified into Equation 3: y t A x t b bck c t bck c t ( ) = ( )+ ( ) ( ) (3) where c(t) is the index of the pre-existing transform Wbck n , which better compensates the background for the acoustic frame x(t). The problem in Equation 2 has been simplified to finding the optimal sequence c of backgrounds for each frame from the pool of N existing backgrounds. where c(t) is the index of the pre-existing transform Wbck n , which better compensates the background for the acoustic frame x(t). The problem in Equation 2 has been simplified to finding the optimal sequence c of backgrounds for each frame from the pool of N existing backgrounds. One approach to perform this search could be to use a system that would classify each frame x(t) as being con- taminated by one of the N valid background conditions. In order to train such classification system, it is required the existence of sufficient data where the acoustic background has been fully annotated at a frame level. Semi- supervised and unsupervised training techniques could overcome the lack of such data. Even a classification system O. Saz, T. Hain/Computer Speech and Language 41 (2017) 180–194 183 with good classification performance might not produce significant improvements in recognition rates, mainly because the objective function of classification, namely maximise frame classification rate, does not match the objective func- tion of the decoder, which is to maximise the overall likelihood. An alternative solution will be used in this paper to overcome these limitations. This approach uses Viterbi de- coding as an on-line framewise classifier, setting as only objective in the whole process the overall maximisation of the likelihood during the Viterbi search. A new HMM topology is proposed for this as shown in Fig. 1. This figure presents model structure changes with two possible background transforms, Wbck 1 and Wbck 2 , but it easily generalises to any number, N, of backgrounds. 3.1. Asynchronous Noise Adaptive Training As in other adaptation techniques using (C)MLLR transforms, an adaptive training setup can be implemented using aCMLLR transforms. This asynchronous Noise Adaptive Training (aNAT) is performed following the same proce- dure as described in the literature (Anastasakos et al., 1996; Kalinli et al., 2010; Liao and Gales, 2007). After the full procedure for aCMLLR training is performed, alignment of the train data can be done using the asynchronous topol- ogy in Fig. 1. Again, statistics for each state are collected and a full retraining of the GMM–HMM parameters is per- formed. At this stage, the Gaussians belonging to the states in the parallel paths in Fig. 1 are not shared anymore, as they will have been retrained on new statistics. Following this, new aCMLLR transforms are trained on top of the aNAT model and decoding is done as described previously. 2.2. Training of aCMLLR transforms So far the discussion has concentrated on recognition in an ML framework. However this does not immediately allow to infer appropriate training regimes. Usually, transforms are trained following the same assumption that each utterance presents a stationary acoustic background. This way, all the frames from the utterances that share the same background will be used in the estimation of the transform Wbck. This is not the optimal way for estimation of the transforms in the case of non-stationary noise, as not at all the frames in an utterance will share the same background. The same topology presented in Fig. 1 can be used when learning transforms from adaptation data. Supposing an initial set of background CMLLR transforms exists, trained in a synchronous manner, this topology allows alignment of the input speech to the best sequence of states, as in regular CMLLR training, but also provides the optimal se- quence of backgrounds for each frame. With this alignment information, a new set of transforms can be updated from the training data statistics. The complete procedure for training of aCMLLR transforms can then be summarised as follows: All the training utterances will be separated into N classes according to their acoustic background assuming that this is invariant for the utterance. Then, N background CMLLR transforms will be trained on the adaptation data. The data are then pooled and the CMLLR transforms are used to produce an asynchronous alignment to these data with the topology in Fig. 1. Finally, the aCMLLR transforms are then re-estimated with all the frames from the complete set of utterances which have been aligned to each of the asynchronous transforms. This re-estimation process can be iterated in order to produce better alignments and obtain a better estimation of the transforms. While this approach requires a certain knowledge of the backgrounds in the training data to initialise the transforms, it will be seen how loose and unreliable informa- tion can be sufficient to perform this procedure. 2.1. Decoding with aCMLLR transforms Furthermore, the presented topology can be seen similar to approaches for decomposing speech and noise in HMMs (Varga and Moore, 1990) or to Subspace Gaussian Mixture Models (SGMMs) (Povey et al., 2011a) where different subspaces can be trained to model different background conditions. The proposal in this paper is more flexible than these two cases, which re- quired to retrain the GMMs in order to cover new backgrounds, while the use of CMLLR transforms requires less acoustic data for adaptation and is more modular to include new background conditions. Fig. 1. Asynchronous decoding with two background transforms ( Wbck 1 and Wbck 2 ). State self transitions have been removed for clarity. Fig. 1. Asynchronous decoding with two background transforms ( Wbck 1 and Wbck 2 ). State self transitions have been removed for clarity. O. Saz, T. Hain/Computer Speech and Language 41 (2017) 180–194 184 2.2. Training of aCMLLR transforms 3.2. Factorisation of asynchronous background and speaker Earlier in GMM–HMM-based systems, factorisation of the different sources of variability has been proposed as a way to further improve the performance of ASR systems in varying conditions (Gales, 2001). Typically the sources of variability considered for factorisation approaches are the speaker variability against the environmental factors, in- cluding channel and background conditions. Techniques based on joint factorisation of sources of variability, for example Joint Factor Analysis (JFA) (Yin et al., 2007), as used in speaker verification tasks, are now being considered for use in ASR tasks. SGMMs aim to incorporate the factorisation directly in the HMM topology (Povey et al., 2011a) via the use of subspace models. Other approaches are based on jointly combining transforms for the speakers and the environments. This has been done by combining Vector Taylor Series (VTS) and MLLR transforms in Wang and Gales (2011), CMLLR transforms in Seltzer and Acero (2011), and CMLLR and MLLR transforms in Seltzer and Acero (2012). Factorisation techniques based in eigenspace MLLR adaptation have also been studied recently (Saz and Hain, 2014). Seltzer and Acero (2011) propose factorisation by means of CMLLR transforms applied in cascade. Here back- ground transforms Wbck are trained for every possible background and across all speakers. Further speaker transforms Wspk are trained on top of the background transforms for each speaker across all backgrounds. In decoding stage, for O. Saz, T. Hain/Computer Speech and Language 41 (2017) 180–194 185 O. Saz, T. Hain/Computer Speech and Language 41 (2017) 180–194 185 every input utterance x spoken by speaker spk in background bck the feature vectors are transformed to y as in Equation 4. every input utterance x spoken by speaker spk in background bck the feature vectors are transformed to y as in Equation 4. y A A x b b spk bck bck spk = + ( )+ (4) Using both transforms in cascade was shown to improve results over conventional CMLLR adaptation on envi- ronment and speaker. Also, the speaker transforms, which had been estimated on feature frames already adapted to the environment, were shown to perform well when used across previously unseen backgrounds. 3.2. Factorisation of asynchronous background and speaker It is straightforward to generalise this proposal to deal with non-stationary and asynchronous backgrounds following Equation 5: y t A A x t b b spk bck c t bck c t spk ( ) = ( )+ ( ) + ( ) ( ) (5) Similar factorisation can be achieved following the work in Seltzer and Acero (2012) using CMLLR and MLLR transforms. In this case, a background-based CMLLR transform is used to transform the input features, while a factorised speaker-based MLLR transform is used to transform the models. Using asynchronous adaptation on the CMLLR trans- forms, it is also straightforward to provide factorisation with cascading aCMLLR/MLLR transforms. Further work in factorised adaptation for ASR has argued the need for the components of the factorisation to be orthogonal (Seo et al., 2014) in order to avoid correlation between the different factorised elements. Although the use of feature-space and model-space MLLR transforms does not involve orthogonality, Seltzer and Acero (2012) argue that it achieves a better factorisation between the different variability factors in speech than, for instance, using cascading feature-space transforms. 4. Benchmark results: WSJCAM0 An initial evaluation of the proposed techniques was performed on a modified version of the WSJCAM0 corpus. WSJCAM0 is a re-recording of the original WSJ sentences uttered by a collection of British speakers (Robinson et al., 1995). WSJ is a very common benchmark for the evaluation of acoustic modelling techniques and speaker adaptation tasks in ASR (Paul and Baker, 1992) and it was the base for the creation of Aurora4 (Parihar et al., 2004), which is also commonly used as a benchmark in background adaptation for robust ASR. For the purpose of our experiments, 7387 utterances from 86 speakers were used for training, and 1315 utterances from 18 speakers were used for eval- uation. Besides this Clean data, new train and test sets were generated including highly diverse background condi- tions, which will be referred to as Diverse data. In the Diverse data sets, 7 possible background conditions appear with the distribution of segments seen in Table 1 for Train and Test data. The Signal-to-Noise Ratio (SNR) of the new utterances in the Diverse data was uniformly distributed from 5 db to 15 dB. Furthermore, in the Diverse sets, segments were drawn randomly for the recordings using the close-talking microphone and the table-top microphone, with a 50% distribution of a given sample being from either source. The Clean sets corresponded only to the close- talking microphone recordings. The ASR experiments were performed on two of the original WSJ tasks: the 5000-word closed vocabulary task with a 2-gram Language Model (LM); and the 20,000-word open vocabulary task with a 3-gram LM. The baseline ASR system used was built using a Hidden Markov Model Toolkit (HTK) (Young et al., 2006) setup. Crossword triphone models with 3 states per model and 16 Gaussians per state were used. A total of 1816 physical states were trained using the Maximum Likelihood (ML) criterion. Thirty-nine-dimension feature vectors were used with 13 PLP fea- tures (Hermansky, 1990) and their first and second derivatives. Cepstral Mean Normalization (CMN) was applied to the static features for each utterance. The standard WSJ lexicons and language models were used in decoding. Table 1 Distribution of segments in the Diverse data set. Clean Music Noisy Orchestral Popular Traffic Restaurant Applause Outdoors Train 2,504 1,238 1,249 598 582 630 586 Test 433 226 215 120 101 118 102 186 O. Saz, T. 4.1. Adaptation experiments The next set of experiments studied different types of adaptation, speaker and background adaptation, in these data sets. For background adaptation, single-regression-class block-diagonal CMLLR transforms were used, while for speaker adaptation 5-regression-class block-diagonal MLLR transforms were used. Background adaptation was performed in supervised and unsupervised fashion, depending on whether the adaptation was made on data from the training set, with ground truth transcriptions, or from the test set, with errorful transcriptions from ASR. Speaker adaptation was only studied in unsupervised mode, as none of the speakers in the test set appeared in the training set. The results for these experiments are shown in Tables 3 and 4. Speaker adaptation achieved a 15% relative im- provement on the Clean test set over Clean models, and outperformed background adaptation on the Diverse test set for both models. The gains were more pronounced in the mismatched condition with Clean models, with back- ground adaptation only providing 3% improvement over Diverse models. For the Clean models, the use of super- vised CMLLR adaptation to the 7 backgrounds using the training set improved the use of unsupervised adaptation. Asynchronous background adaptation was then performed on this setup. The topology used for asynchronous ad- aptation was based on 7 CMLLR transforms, previously trained in a synchronous fashion for the 7 types of back- ground included in the Diverse data. Fig. 2 shows the results for four possible cases depending whether the GMM– HMM models used were trained on Clean on Diverse data and whether the adaptation was made unsupervised or supervised. Four possible conditions were also defined based on the situations where the topology in training and testing was Phone synchronous or Fully asynchronous according to the definition explained in Section 2.1. From these results, it was observed that using a Phone synchronous topology in training and Fully asynchronous in decoding provided the largest improvements. The best result in the condition with Clean models was 22.9%, which was an improve- Table 3 Speaker-based MLLR adaptation results for modified WSJCAM0. Train Test 5K set 20K set Total Rel. impr. Clean Clean 4.7% 11.4% 8.1% 14.7% Clean Diverse 18.9% 30.1% 24.6% 25.7% Diverse Diverse 13.1% 22.1% 17.6% 13.3% Table 4 Background-based CMLLR adaptation results for modified WSJCAM0. Train Test Condition 5K set 20K set Total Rel. impr. 4. Benchmark results: WSJCAM0 Hain/Computer Speech and Language 41 (2017) 180–194 Table 2 Baseline recognition results (WER) for modified WSJCAM0. Train Test 5K set 20K set Total Clean Clean 5.7% 13.0% 9.4% Clean Diverse 27.0% 39.1% 33.1% Diverse Diverse 14.9% 25.5% 20.3% The baseline results in Word Error Rate (WER) achieved with this setup are presented in Table 2. The results in the Diverse testset showed considerable decrease in performance compared to the Clean testset, 33.1% against 9.5%. This indicated that the background conditions included in the data had a negative influence in ASR performance. The use of models trained on Diverse data showed an improvement, reaching 20.3% WER, but performance was still far from the result on Clean test data. 4.1. Adaptation experiments Clean Diverse Supervised 20.2% 31.7% 26.0% 21.5% Unsupervised 21.3% 33.4% 27.4% 17.2% Diverse Diverse Supervised 14.2% 24.9% 19.6% 3.4% Unsupervised 14.2% 24.8% 19.6% 3.4% O. Saz, T. Hain/Computer Speech and Language 41 (2017) 180–194 187 Fig. 2. Results for different topologies in training and decoding of aCMLLR transforms (first letter indicates training topology, second letter in- dicates testing topology, P stands for Phone synchronous, and F stands for Fully asynchronous as defined in Section 2.1). Fig. 2. Results for different topologies in training and decoding of aCMLLR transforms (first letter indicates training topology, second letter in- dicates testing topology, P stands for Phone synchronous, and F stands for Fully asynchronous as defined in Section 2.1). ment of 30.8% over the baseline, 9% better than the synchronous background adaptation. With the use of Diverse models, the best result achieved was 19.5%, only 4.0% below the baseline and barely 0.6% better than the case with synchronous background adaptation. The results in Fig. 2 showed a divergence in the performance of the aCMLLR framework in the Clean and Diverse train conditions. While large gains were achieved with Clean models, no significant changes were seen with Diverse models. Also, the initial gain for using background-based CMLLR transformations over the baseline was smaller (3.4% relative) in the Diverse train conditions. This effect in what is a classical multicondition training scenario might arise from the way the modified WSJCAM0 corpus was built. In this case, the same 7 types of noises were used in train and test, and the baseline GMM–HMM models will have implicitly learnt the characteristics of each background, thus giving little room for improvement for any type of background-based adaptation. This highlights the needs for real- istic scenarios in robust ASR, where a variety of backgrounds and noises appear differently in the train and test data. 4.3. Computational complexity When discussing the new HMM structure shown in Fig. 1, it was expected that computational complexity would increase as the extra paths in the HMM are added to model different backgrounds. To evaluate the extent of such increase, the Real Time Factors (RTF) of the decoding of both WSJCAM0 tasks were studied in 3 cases: Standard HMM structure, phone synchronous HMM structure and fully asynchronous HMM structure. The results are pre- sented in Table 7 and show increases of 4× and 3× in RTF for the phone synchronous structure in the 5k and 20k tasks, respectively, and of 11× and 7× for the fully asynchronous structure. All results were achieved in similar con- ditions, where the decoding of the test set was submitted as an array job to a computing grid using the OpenSGE grid scheduler. The actual physical machines in the grid where the processes ran had 32 hyper-threaded Intel Xeon cores at 2.6 GHz each. This indicated that when time is a constraint in the decoding stage, the phone synchronous structure in decoding should be preferred. Although a limitation for some tasks, such as online decoding, the increase in computation time does not impair the proposed method, especially when performance is the main goal. A way of reducing this increase in time can be reducing the number of modelled backgrounds, as this will reduce the number of extra paths added to the HMM structure. Also, according to the measurements in Table 7, the extra increase in decoding time becomes less relevant as the vocabulary size and language model complexity increase, possibly due to the acoustic decoding accounting for less of the actual computation time. The increase in computation time is linked to the ability of the new HMM structure to switch backgrounds. Fig. 3 presents the actual background paths for two files in the 5K task. Fig. 3(a) and 3(c) shows this for a clean signal using phone synchronous and fully asynchronous HMMs, while Fig. 3(b) and 3(d) shows them for a signal contaminated with music. Using a Phone synchronous HMM structure yields a much lower rate of background switching, with only 0.18% and 0.57% of frames being decoded with a different background than their precedent frame. In the Fully asyn- chronous structure, changes occur more frequently, up to 1.16% and 4.28% of the total frames change the back- ground compared to their precedent frame. 4.3. Computational complexity As the figures show, a more non-stationary background like music produced an increase in background changes across frames. 4.2. Factorisation experiments the backgrounds with the highest degradation, like popular music, traffic noise or applause, achieved relative im- provements of up to 45%. the backgrounds with the highest degradation, like popular music, traffic noise or applause, achieved relative im- provements of up to 45%. 4.2. Factorisation experiments Factorisation techniques were then studied, based on the use of CMLLR/MLLR cascading transforms. Both syn- chronous and asynchronous CMLLR background transforms were used, together with subsequent MLLR speaker trans- forms. The results in Table 5 show that the WER in the mismatched condition was reduced to 19.7% with the use of asynchronous background transforms (40.5% relative improvement), while synchronous background adaptation only achieved 34.7% relative improvement. However, in the Diverse models, asynchronous adaptation produced an in- crease of 0.3% in WER compared to the synchronous case. These results were consistent in an early exploratory work carried out with a more limited number of background conditions (Saz and Hain, 2013). A final analysis of these results was done regarding the ability of the proposed method to adapt the Clean models to the different types of backgrounds existing in the Diverse set. Table 6 shows the results for the baseline and the best result (aCMLLR/MLLR cascade) for the 7 background conditions. The proposed method improved significantly even in the Clean background and in the Outdoors noise background, which had the lowest initial WER. Meanwhile, Table 5 Factorisation results for modified WSJCAM0. Train Test Adaptation 5K set 20K set Total Rel. impr. Clean Diverse CMLLR/MLLR 16.9% 26.2% 21.6% 34.7% aCMLLR/MLLR 14.6% 24.7% 19.7% 40.5% Diverse Diverse CMLLR/MLLR 12.5% 21.5% 17.1% 15.8% aCMLLR/MLLR 12.8% 21.9% 17.4% 14.3% O. Saz, T. Hain/Computer Speech and Language 41 (2017) 180–194 188 unds with the highest degradation, like popular music, traffic noise or applause, achieved of up to 45%. Table 6 Recognition results per background condition in Clean trained models for baseline model and aCMLLR/MLLR factorised adaptation. Clean Music Noisy Orchestra Popular Traffic Outdoors Restaurant Applause Baseline 14.1% 36.9% 48.0% 40.4% 28.9% 37.3% 58.2% aCMLLR/MLLR 10.6% 20.9% 27.8% 22.0% 17.7% 22.0% 32.1% Rel. Impr. 33.0% 43.4% 42.1% 45.5% 38.8% 41.0% 44.8% Table 7 RTFs of the decoding for different model architectures. HMM Phone synchronous HMM Fully asynchronous HMM 5K task 5.5 22.4 65.2 20K task 12.8 43.9 102.8 s per background condition in Clean trained models for baseline model and aCMLLR/MLLR i Table 6 Recognition results per background condition in Clean trained models for baseline model and aCMLLR/MLLR factorised adaptation. the backgrounds with the highest degradation, like popular music, traffic noise or applause, achieved relative im- provements of up to 45%. Table 8 Table 8 Distribution of train and test data for experimentation with media broadcasts. Distribution of train and test data for experimentation with media broadcasts. Genre Training Testing Shows Audio Speech Shows Audio Speech Advice [ADV] 264 193.1 h. 155.2 h. 4 3.0 h. 2.5 h. Children’s [CHI] 415 168.6 h. 112.5 h. 8 3.0 h. 2.0 h. Comedy [COM] 148 73.9 h. 50.8 h. 6 3.2 h. 2.2 h. Competition [COP] 270 186.3 h. 142.8 h. 6 3.3 h. 2.8 h. Documentary [DOC] 285 214.2 h. 149.9 h. 9 6.8 h. 4.6 h. Drama [DRA] 145 107.9 h. 68.8 h. 4 2.7 h. 1.4 h. Events [EVE] 179 282.0 h. 206.9 h. 5 4.4 h. 2.2 h. News [NEW] 487 354.4 h. 309.9 h. 5 2.0 h. 1.8 h. Total 2193 1580.4 h. 1196.7 h. 47 28.4 h. 19.6 h. work of other evaluations like Hub4 (Pallett et al., 1996), TDT (Cieri et al., 1999), Ester (Galliano et al., 2006), Albayzin (Zelenak et al., 2012) and MediaEval (Larson et al., 2013). All experiments are based on the official MGB challenge training set and evaluated on the official development set. Table 8 presents the statistics of these data in terms of number of shows, and amount of audio and speech in the training and testing sets. One of the goals of the task was to study recognition performance across diverse broadcast genres, for that reason both training and test data were labelled ac- cording to 8 possible genres: advice, children’s, comedy, competition, documentary, drama, events and news. work of other evaluations like Hub4 (Pallett et al., 1996), TDT (Cieri et al., 1999), Ester (Galliano et al., 2006), Albayzin (Zelenak et al., 2012) and MediaEval (Larson et al., 2013). All experiments are based on the official MGB challenge training set and evaluated on the official development set. Table 8 presents the statistics of these data in terms of number of shows, and amount of audio and speech in the training and testing sets. One of the goals of the task was to study recognition performance across diverse broadcast genres, for that reason both training and test data were labelled ac- cording to 8 possible genres: advice, children’s, comedy, competition, documentary, drama, events and news. 5. Transcription of multi-genre broadcasts Full evaluation of the proposed techniques was conducted on the data available for Task 1 of the Multi-Genre Broad- cast (MGB) challenge, which is speech-to-text transcription of broadcast television (Bell et al., 2015). The MGB chal- lenge aimed to evaluate and improve several speech technology tasks in the area of media broadcasts, extending the O. Saz, T. Hain/Computer Speech and Language 41 (2017) 180–194 189 e-wise backgrounds selected in decoding for two 5K task files with Phone synchronous and Fully asynchronous HMM unds (indexes 0 to 6). Fig. 3. Frame-wise backgrounds selected in decoding for two 5K task files with Phone synchronous and Fully asynchronous HMMs with 7 pos- sible backgrounds (indexes 0 to 6). Fig. 3. Frame-wise backgrounds selected in decoding for two 5K task files with Phone synchronous and Fully asynchronous HMMs with 7 pos- sible backgrounds (indexes 0 to 6). Table 8 Distribution of train and test data for experimentation with media broadcasts. Table 8 work of other evaluations like Hub4 (Pallett et al., 1996), TDT (Cieri et al., 1999), Ester (Galliano et al., 2006), Albayzin (Zelenak et al., 2012) and MediaEval (Larson et al., 2013). All experiments are based on the official MGB challenge training set and evaluated on the official development set. Table 8 presents the statistics of these data in terms of number of shows, and amount of audio and speech in the training and testing sets. One of the goals of the task was to study recognition performance across diverse broadcast genres, for that reason both training and test data were labelled ac- cording to 8 possible genres: advice, children’s, comedy, competition, documentary, drama, events and news. The baseline system configuration used for this task was a DNN–GMM–HMM system with the following setup. A DNN was used as a front-end for extracting a set of 26 bottleneck features. Such DNN took as input 15 contiguous log-filterbank frames and consisted of 4 hidden layers of 1745 neurons plus the 26-neuron bottleneck layer, and an output layer of 8000 triphone state targets. The state-level Minimum Bayes Risk (sMBR) criterion was used as the optimisation criterion and Stochastic Gradient Descent (SGD) was used for parameter updating. DNN training used The baseline system configuration used for this task was a DNN–GMM–HMM system with the following setup. A DNN was used as a front-end for extracting a set of 26 bottleneck features. Such DNN took as input 15 contiguous log-filterbank frames and consisted of 4 hidden layers of 1745 neurons plus the 26-neuron bottleneck layer, and an output layer of 8000 triphone state targets. The state-level Minimum Bayes Risk (sMBR) criterion was used as the optimisation criterion and Stochastic Gradient Descent (SGD) was used for parameter updating. DNN training used 190 O. Saz, T. Hain/Computer Speech and Language 41 (2017) 180–194 the TNet (Vesely et al., 2010) and Kaldi (Povey et al., 2011b) toolkits. The input feature vectors for training the GMM– HMM system were 65-dimensional, including the 26 dimensional bottleneck features, as well as 13 dimensional PLP features together with their first and second derivatives. GMM–HMM models were trained using 16 Gaussian com- ponents per state and around 8000 distinct triphone states. p p p The manual segmentation as provided for the development set was used; no automatic speech segmentation was required for the experiments. Table 8 However, for speaker adaptation ground truth was not available, so automatic speaker clustering had to be used. The clustering system used was based on the Bayesian Information Criterion (BIC) (Chen and Gopalakrishnan, 1998) and was similar to the one used by the University of Sheffield in the system submitted for the longitudinal diarisation of broadcast television task of the MGB challenge, with a speaker error rate of 41.7% (Milner et al., 2015). The diarisation task proves especially challenging in broadcast data, as shown by the general results achieved by the participating groups in the MGB challenge (Bell et al., 2015). For these experiments single- regression-class block-diagonal CMLLR and 5-regression-class block-diagonal MLLR transforms were used. The only transcription available for the 1200 hours of training speech was the original BBC subtitles, aligned to the audio data using a lightly supervised approach (Long et al., 2013). Given that this can produce unreliable tran- scripts for some segments, the training data were filtered and only 700 hours of speech were used for training. For filtering, a segment-level confidence measure was calculated based on posterior estimates obtained with a DNN as in Zhang et al. (2014). Only segments with higher values of confidence were maintained in the training set, with the threshold set to obtain 700 hours of speech. Decoding was carried out in two stages; in a first stage, lattices were generated using a 2-gram LM; this was fol- lowed by rescoring of these lattices using a 4-gram LM and obtaining the 1-best output. The outputs were scored with the official MGB scoring package (Bell et al., 2015), which was based on NIST scoring tools (Fiscus, 2007), and the evaluation done in terms of global WER and genre-specific WERs. Both language models were built using the SRI LM toolkit (Stolcke, 2002) from more than 700 million of words from subtitles provided as material for the challenge. The vocabulary size used in decoding was a 50,000 word list, constructed from the most frequent words in the subtitles provided for language model training. Pronunciations were obtained using the Combilex pronuncia- tion dictionary (Richmond et al., 2010), which was provided to the challenge participants. When a certain word was not contained in the lexicon, automatically generated pronunciations were obtained using the Phonetisaurus toolkit (Novak et al., 2012). These pronunciations were expanded to incorporate pronunciation probabilities, learnt from the alignment of the acoustic training data (Hain, 2005). 5.1. Results Several experiments were carried out in this setup. All results are presented in Table 9. The initial baseline per- formance obtained with the unadapted system was 31.0% WER. A large variability in results could be observed across genres, ranging from 16.3% WER for news shows, to 44.7% for comedy shows. Synchronous adaptation was studied first by means of show-specific CMLLR transforms, targeted to capture variability due to the background condition Table 9 Table 9 WER and relative improvement for transcription of multi-genre broadcasts with ML-trained models. ADV CHI COM COP DOC DRA EVE NEW Total Baseline Baseline 25.2% 30.8% 44.7% 27.3% 28.9% 42.1% 34.9% 16.6% 31.0% Synchronous adaptation Show CMLLR 25.2% 30.3% 44.5% 27.2% 28.7% 42.0% 34.3% 16.3% 30.8% Asynchronous adaptation aCMLLR 25.1% 30.6% 44.3% 27.0% 28.8% 42.0% 34.5% 16.3% 30.7% + Show aCMLLR 24.8% 30.1% 44.1% 26.9% 28.4% 41.3% 34.3% 16.2% 30.5% Asynchronous adaptive training aNAT 25.0% 30.5% 44.2% 27.3% 28.6% 42.0% 34.6% 16.2% 30.7% + Show aCMLLR 24.6% 29.7% 43.7% 26.7% 28.2% 41.4% 34.1% 15.9% 30.3% + Speaker MLLR 24.5% 29.4% 43.5% 26.5% 28.2% 41.1% 33.7% 15.9% 30.1% Rel. impr. 2.8% 4.5% 2.7% 2.9% 2.4% 2.4% 3.4% 4.2% 2.9% O. Saz, T. Hain/Computer Speech and Language 41 (2017) 180–194 191 Table 10 WER and relative improvement for transcription of multi-genre broadcasts with MPE-trained models. ADV CHI COM COP DOC DRA EVE NEW Total Baseline 23.6% 28.5% 42.3% 25.5% 27.5% 39.7% 32.8% 15.5% 29.2% aNAT+CMLLR+MLLR 23.1% 28.1% 41.4% 25.2% 27.0% 39.1% 32.0% 15.1% 28.6% Rel. impr. 2.1% 1.4% 2.1% 1.2% 1.8% 1.5% 2.4% 2.6% 2.0% in each show. This gave a slight improvement of 0.2%, which showed the difficulty of trying to model the types of backgrounds present in broadcast shows by using traditional approaches. in each show. This gave a slight improvement of 0.2%, which showed the difficulty of trying to model the types of backgrounds present in broadcast shows by using traditional approaches. An initial set of aCMLLR transforms were trained on the training data using the following procedure. First, 8 genre- based CMLLR transforms were trained from the training set. Assuming that each genre will present certain distinct background conditions, these transforms were used as initialisation in the training of a global aCMLLR transform with 8 possible backgrounds. The use of this transform achieved 0.3% absolute improvement over the baseline, also improving the use of the show-based CMLLR transforms. 5.1. Results Finally, this global aCMLLR transform was used as initialisation for training show-based aCMLLR transforms on the test shows, adding an extra 0.2% absolute reduction of the WER. The final set of experiments involved an adaptive retraining of the GMM–HMM parameters following the aNAT procedure. This new model only provided an improvement of 0.3%, similar to using the aCMLLR transforms on the baseline GMM–HMM model. However, training show-based aCMLLR transforms on top of the adaptively trained model boosted the improvement to 0.8% absolute. This showed how adaptive training provided a better flexibility of the model to adapt to specific background conditions existing in each show. Finally, the factorisation approach using MLLR speaker transforms on top of the aNAT model and show-based aCMLLR transforms was tested. This only increased the improvement to 0.9% absolute (2.9% relative), which reflects the difficulty of performing accurate speaker clustering in this task and how this actually hampers speaker adaptation. Finally, Minimum Phone Error (MPE) training (Povey and Woodland, 2002) was performed in this dataset, since it is well-known to provide significant improvements in GMM–HMM systems with bottleneck features (Grezl et al., 2009). The results of the baseline models and the MPE–aNAT retrained models with aCMLLR and MLLR transfor- mations are presented in Table 10. The use of the MPE training criterion provides a 1.8% absolute improvement over the ML baseline. This gain may seem lower than those usually reported using MPE over ML, but in the MGB tasks the transcriptions of the training set are errorful, which has been reported to produce a decrease in MPE performance (Long et al., 2013). Finally, the use of MPE–aNAT with asynchronous CMLLR and MLLR reduces the WER to 28.6%. Although the relative gain over the MPE baseline is reduced to 2.0% (from 2.8% using ML models), this was found to still be significant. 6. Conclusions As a summary, this paper has presented a complete set of tools for improving the performance of ASR systems in complex background conditions. It has been shown how asynchronous CMLLR transforms can be successfully trained and used in the decoding of large vocabulary speech. Furthermore, two extensions to this asynchronous adaptation have also been proposed. In the first one, it has been shown how it is possible to generate adaptively trained models using asynchronous transforms, leading to a more flexible modelling of the backgrounds. Also, the possibility of stack- ing transforms to deal with multiple sources of variability, like background and speaker, can be enhanced by the use of asynchronous modelling of the background. An evaluation of the proposed techniques in a benchmark task, a modified version of WSJCAM0, has shown large improvements, up to 40% in overall when using Clean trained models on a very Diverse test set. This improvement occurs across a very varied range of acoustic conditions, with significant improvement being achieved also for clean test data. The evaluation in WSJCAM0 provided a good insight into the strengths of the techniques and into how to achieve the best performance from them. Finally, an evaluation of the techniques in a very complex scenario has shown that they can achieve gain in a real environment. The transcription of multi-media broadcasts, going beyond the transcription of broadcast news, is a dif- ficult task, where the existence of multiple and dynamic background conditions (noise, music, overlapping speech, etc.) is a major cause of performance degradation. This is better exemplified by the challenging performance achieved O. Saz, T. Hain/Computer Speech and Language 41 (2017) 180–194 192 in some genres like comedy or drama, over 40% WER. The proposed techniques have been shown to reduce absolute WER from 31.0% to 30.1% using ML models and from 29.2% to 28.6% using MPE models, which represents a sig- nificant improvement for this task. The techniques have also been successfully used as part of a more complex system, submitted to the MGB challenge (Saz et al., 2015), and that provided one of the top performances in the overall eval- uation (Bell et al., 2015). This indicates that these techniques can perform well in large tasks and in complex environments. 7. Data access management The original WSJCAM0 corpus is available via the Linguistic Data Consortium with catalogue number LDC95S24. The modified version of WSJCAM0 used in the article is available with DOI 10.15131/shef.data.3363466. All the data related to the MGB challenge, including audio files, subtitle text and scoring scripts, are available via special licence with the BBC on http://www.mgb-challenge.org/. All recognition outputs and scoring results are available with DOI 10.15131/shef.data.3248584. Acknowledgement This work was supported by the EPSRC Programme Grant EP/I031022/1 (Natural Speech Technology). 6. Conclusions In further analysis, the proposed aCMLLR background adaptation technique has been shown to work in situations where some knowledge about the background conditions exists, as in WSJCAM0 experiments, and where no knowl- edge of the background conditions is present, as in broadcast shows. 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Mohan and Habib BMC Res Notes (2019) 12:76 https://doi.org/10.1186/s13104-019-4107-5 Mohan and Habib BMC Res Notes (2019) 12:76 https://doi.org/10.1186/s13104-019-4107-5 BMC Research Notes BMC Research Notes Open Access © The Author(s) 2019. This article is distributed under the terms of the Creative Commons Attribution 4.0 International License (http://creat​iveco​mmons​.org/licen​ses/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://creat​iveco​mmons​.org/ publi​cdoma​in/zero/1.0/) applies to the data made available in this article, unless otherwise stated. Abstract Objective:  Campylobacter is a major cause of gastroenteritis in humans and pet ownership is a risk factor for infec- tion. To study the occurrence, species distribution and sequence-based types of Campylobacter spp. in pet cats, 82 faecal samples were collected from cats in New Zealand. The PCR positive samples of Campylobacter jejuni were characterized by multilocus sequence typing (MLST), major outer membrane protein gene (porA) and flagellin A gene (flaA) sequence typing. Results:  Seven faecal samples were tested positive for Campylobacter spp. (9%, or 4–17% at 95% confidence interval), of which six were identified as C. jejuni, and one was C. upsaliensis. The six C. jejuni isolates were characterised by MLST; four belonged to ST-45 clonal complex and two of the isolates could not be typed. Two flaA-SVR types were identi- fied: three samples were flaA-SVR type 8 and one belonged to 239. By combining all data, three isolates were indistin- guishable with allelic combinations of ST-45, flaA-SVR 8, porA 44, although no epidemiological connection between these isolates could be established. To conclude, healthy cats can carry C. jejuni, whose detected genetic diversity is limited. The isolated sequence type ST-45 is frequently reported in human illnesses. Keywords:  Campylobacter, Pets, Cats, MLST, Genotyping, porA, flaA typing number of studies from other countries have indicated that pets, in particular, young animals, can transmit these pathogens to their owners and that, household pets pose a significant risk to their owners which was reviewed by Pintar, Christidis [13]. Campylobacteriosis incidence in New Zealand was reported to be 396 cases per 100,000 population in 2003 [14] which was the highest rate com- pared to other developed countries worldwide. The inci- dence dropped to 157 cases per 100,000 in 2008 which remained stable until 2012 [15]. However, the current incidence is reported to be 1.5 to 3 times higher than countries including Australia, England and Wales, and several other Scandinavian countries with a likelihood of more than 1% of New Zealanders acquiring the dis- ease each year [16, 17]. Moreover, in 2016, a total of 964 waterborne campylobacteriosis cases were reported, that included 941 cases from the Hawkes Bay region District Health Board (DHB) and 23 cases from other DHBs and this outbreak was reported to be a largest waterborne outbreak in New Zealand [18]. Multilocus sequence typing (MLST), porA and flaA typing of Campylobacter jejuni isolated from cats attending a veterinary clinic Vathsala Mohan1*  and Ihab Habib2,3 *Correspondence: lingvathsala@gmail.com 1 Institute of Veterinary, Animal and Biomedical Sciences, Massey University, Palmerston North, New Zealand Full list of author information is available at the end of the article Introduction Campylobacter spp. is the major cause of bacterial gas- troenteritis in many countries, including New Zealand [1–3]. Most human infections are due to Campylobacter jejuni and C. coli, and other Campylobacter spp. can be commonly isolated from clinical cases of campylobacte- riosis [4–7]. Risk factors of human campylobacteriosis include ingestion of untreated water, undercooked meat particularly poultry meat, raw milk, cross-contamina- tion of foods, and contact with animals including pets and wild birds [8–10]. Different foodborne transmis- sion pathways have been extensively studied to reveal the epidemiology of C. jejuni in New Zealand [3, 11, 12], however, animal contacts and transmission of Campylo- bacter through pets has been studied less extensively. A *Correspondence: lingvathsala@gmail.com 1 Institute of Veterinary, Animal and Biomedical Sciences, Massey University, Palmerston North, New Zealand Full list of author information is available at the end of the article Page 2 of 6 Mohan and Habib BMC Res Notes (2019) 12:76 Mohan and Habib BMC Res Notes (2019) 12:76 Mohan and Habib BMC Res Notes Bacterial isolation and DNA preparation Although New Zealand has high numbers of human campylobacteriosis clinical cases as against other developed countries, there is still only a very limited data available on the prevalence of C. jejuni in pets in NZ [19] and comparatively more data is available for dogs than cats [20, 21]. Bacterial isolation and DNA preparation Bacterial isolation and DNA preparation were carried as described elsewhere [20]. Faecal material was collected in transport media and directly streaked onto modified charcoal cefoperazone-deoxycholate plates (mCCDA) (Fort Richards, Auckland) and also directly inoculated into Bolton’s enrichment broth; both were incubated for 48  h at 42  °C under microaerophilic conditions. Campylobacter presumptive pure colonies were tested for oxidase reduction (oxidase strips, Fort Richards, Auckland) and positive isolates were transferred into 1 mL of 2% (weight/volume) Chelex solution in distilled water and boiled for 10  min. Following centrifugation, at 13,000 rpm for 10 min, the supernatants were directly used as a template for PCR reactions and MLST typing. The estimates of C. jejuni prevalence in cats varies widely between countries, ranging from 1.3 to 16.8% [22–28] with higher prevalence in kittens (14.3%) and diarrhoeal cats (23.8%) [29]. Although kittens may thus pose a larger risk of Campylobacter carriage than adult animals, owners are more typically exposed to adult animals than to kittens. Thus, we concentrated on ani- mals more than 6 months of age or older. Collection of faecal material Faecal material was collected from 74 cats attending the Massey University Small Animal Veterinary Clinic for routine procedures such as vaccination, de-worm- ing and neutering and four cats (adults) belonging to staff and students of Massey University and a commer- cial cattery (Table 1). Multilocus sequence typing, flaA typing and porA typing All the C. jejuni positive isolates were subjected to MLST characterization as described and the primers used were adapted from previous reports on MLST characteriza- tion [32, 34]. The PCR conditions and primers for flaA and porA typing were obtained from the PubMLST data- base and their allelic numbers were assigned by referring to the same Campylobacter PubMLST database. Sample collection continued from March 2008 through July 2010. A total of 82 faecal samples were collected, the majority of which (n = 69) came from cats under 2 years of age. Characterisation of C. jejuni by PCR Characterisation of C. jejuni by PCR All samples were subjected to a PCR amplifying the 16s rRNA gene to confirm the genus Campylobacter using published primers (forward: 5′ GGA​TGA​CAC​TTT​TCG​ GAG​C 3′; reverse: 3′ CAT​TGT​AGC​ACG​TGT​GTC​ 3′) [21]. Isolates confirmed by PCR to belong to the genus Campylobacter were further speciated as C. jejuni based on amplification of the membrane-associated protein A (mapA) gene using published primers (forward: 5′ CTT​ GGC​TTG​AAA​TTT​GCT​TG 3′; reverse: 3′ GCT​TGG​ TGC​GGA​TTG​TAA​A 5′) [32]. C. upsaliensis primers, PCR reaction and conditions were adapted from a previ- ously published report [33]. Introduction In order to evaluate the role of cats in transmitting Campylobacter species to humans, feline samples must be typed by means of methods also applied to human samples. For this, we selected multilocus sequence typing (MLST) [30]. By using MLST, isolates are char- acterized by partial sequencing of seven housekeep- ing genes whose allele combination groups strains into sequence types (ST) which in turn can be grouped into clonal complexes (CC) [31].To add additional discrimi- nation power, we combined this method with typing of flaA and porA sequences [32]. Results and discussion We could not establish whether the presence of the C. jejuni was the cause or consequence of the diarrhoea, but treatment with antibiotics (details of the antibiotics not known) was reported to have resolved the problem. Two other adult cats from the Massey University staff were receiving antifungal or antimicrobial treatment for fungal infection, therefore we expected that these samples to be negative for C. jejuni and so they were.h Of 82 faecal samples obtained from in this study, 7 were positive for Campylobacter sp. based on the 16S rRNA PCR, of which 6 were positive for C. jejuni, based on the sequence of their mapA gene (the seventh isolate was determined as C. upsaliensis). This corresponds to an estimated carriage rate of 9% for Campylobacter spp. (95% CI, 4–17%) and of 7% (95% CI 3 to 15%) for C. jejuni, which is within the range of feline Campylobac- ter carriage reported from other studies. The prevalence of Campylobacter species in cats has been consolidated in few studies that had reported the Campylobacter spp. to range from 0.8 to 78%; C. jejuni from 1 to 31%; C. upsaliensis from 5 to 66% and C. lari from 0–4% [26, 36]. Our prevalence in kittens is lower than the reported prevalence of C. jejuni in kittens (14.3%) and cats with diarrhoea (23.8%) [29]. The authors of the latter work commented on a striking difference between cats below the age of 1 year and adult animals, as they found only C. jejuni-positive animals among the positive kittens. Simi- larly, in our study, there were two kitten samples from the entire pool of 82 samples and both were positive for C. jejuni. Other studies also reported higher prevalence in young cats (eg. 30% in cats under 2 years of age compared to 3% in adult animals [28], and some studies reported C. upsaliensis or C. helveticus to be prevalent [37]. Nev- ertheless, studies suggest that age was not a risk factor Campylobacter carriage in cats and dogs [22, 37]. In our study, most (n = 69) of the sampled cats were younger than 2 years. The majority of the sampled animals were reared in households and a number of cats were per- manently kept indoors, which may have caused a lower prevalence due to lack of exposure opportunities. Results and discussion Nev- ertheless, our results show that even under these condi- tions healthy kittens, young but adult cats can harbour C. jejuni and can act as possible sources of this pathogen to their owners. The six C. jejuni isolates obtained were subjected to MLST typing, but only four C. jejuni isolates could be successfully typed. For two isolates even after repeated attempts with superior polymerase enzyme and opti- mised magnesium chloride concentrations (2.5  mM) not all alleles could be amplified, which we consider was due to lack of primer consensus, in particular near to the 3′-end of the primer, which would have hampered cor- rect annealing and amplification [44]. Thus, these two isolates remained with incomplete profile and could not be evaluated by MLST. However, alternate primers can be designed to type these difficult alleles. Due to limited resources and small number of isolates, further attempts with alternate primers and modified conditions were not carried out at that time. Nevertheless, we acknowledge that these factors should be addressed. The four MLST typed samples were assigned to ST-45 (n = 3) one of them was from the adult cat with diarrhoea and ST-583 (n = 1), both belonging to Clonal Complex (CC) 45. In an attempt to increase discrimination their flaA and porA alleles were also determined. This showed the three ST45 isolates from kittens to be indistinguishable, with flaA allele 8 and porA allele 44, while the ST-583 isolate produced flaA allele 239 and porA allele 73 which was from the adult cat with diarrhoea (Table 2). Two samples could not be typed after repeated attempts. There are studies on multilocus sequence typing for dog C. jejuni isolates [21, 45–47], while few studies have carried out using random amplified polymorphism (RAPD) analy- sis [23]. One recent study reported that in cats two iso- lates belonging to ST-696 and one ST-48 were detected from cats’ rectal samples [19] from the same geographi- cal area as that of our study. While interrogating our data for the occurrence of these ST across different sources with the mEpiLab database (IVABS, The Hopkirk Insti- tute, Massey University, NZ), it was evident that these STs are frequently encountered in human clinical cases in that geographical area. Data analysis Descriptive analysis of the data was carried out using epiR [35] statistical package, with the calculation of exact binomial 95% confidence interval. Table 1  Faecal material collected from cats from March 2008 to July 2010 a  Massey University staff and student Kittens (< 6 months) Young adults (9 to < 24 months) Adults (> 24 months) Massey University clinic healthy Massey University clinic healthy Massey University clinic from SPCA healthy Wet pets shop Received medication for fungal ­infectiona Diarrhoeaa Healthy ­householda Cattery Total 2 69 3 2 2 1 2 1 82 Table 1  Faecal material collected from cats from March 2008 to July 2010 Mohan and Habib BMC Res Notes (2019) 12:76 Mohan and Habib BMC Res Notes (2019) 12:76 Page 3 of 6 Mohan and Habib BMC Res Notes Results and discussion Even one of the isolates for which a complete MLST profile could not be established produced a combined flaA-239, porA-73 genotype, sug- gesting it might have been similar to the ST-583 (CC45) and another isolate without a complete MLST profile produced a porA-73. Such a low level of diversity in feline isolates was unexpected and could suggest a link between the animals producing these isolates based on the date of Gastrointestinal health has been indicated as a risk fac- tor for isolating Campylobacters from pets, and intesti- nal symptoms have been identified as a risk factor for the isolation of C. jejuni and C. upsaliensis [38]. The single cat with diarrhoea of our study was positive for C. jejuni, however, the owner stated that it was an outdoor cat that only returned home during the night. It has been observed that diverse Campylobacter spp. may be oppor- tunistic colonizers in diarrhoeal pets [39]; similarly, evi- dence indicates humans with diarrhoea can carry up to 5 species of Campylobacter or related organisms [7]. Inten- sive housing and open drains were reported to increase the carriage rate by 2 times in cats [40]. A number of studies suggested the absence of a correlation between the presence of diarrhoea or intestinal disorders and iso- lation of Campylobacter in cats [22, 37, 38, 41–43]. Mohan and Habib BMC Res Notes (2019) 12:76 Mohan and Habib BMC Res Notes Page 4 of 6 Table 2  C. jejuni genotypes from 6 feline faecal samples This table describes the source, frequency of sequence type (ST), clonal complex (CC), the MLST allelic profile, flaA and porA alleles, age and health status x: allele that could not be sequence typed, U/A: unassigned Source No. of isolates ST CC aspA glnA gltA glyA pgm tkt uncA  flaA  porA Age (months) Health status Massey University Vet. Clinic 1 45 45 4 7 10 4 1 7 1 8 44 6 Healthy Massey University Vet. Clinic 1 45 45 4 7 10 4 1 7 1 8 44 5 Healthy Massey University Vet. Limitations Although New Zealand has the highest campylobacterio- sis incidence rates which are reported to be 1.5 to 3 times higher than other developed countries with a predicted likelihood of more than 1% of New Zealanders being affected by campylobacteriosis every year, this study pro- vides information about an additional potential source for it. We acknowledge that there are few limitations to this study. The sample size was small (82) and specimens were collected from 4 sources: Massey University Small Animal Veterinary Clinic, University staff, a private vet- erinary clinic and a commercial cattery collected during from March 2008 to July 2010. Because the number of samples and the sampling pattern were not consistent, these samples were not used to estimate the prevalence of C. jejuni in cats, rather, the positive samples were used for the characterisation and population differentiation of C. jejuni in cats. However, this study certainly provides an opening to consider cats as potential reservoirs of C. jejuni and emphasises that the cat owners have to be mindful about their hygienic practices although the sam- ple may not represent the entire cat population. l Furthermore, the porA and flaA alleles found in cats in this study were identical to those from human campy- lobacteriosis recorded in the PubMLST database which speculates that pets may represent a risk factor for human infection and that this risk may vary on the per- sonal hygiene practices followed by the pet owners.h The recovery of zoonotic genotypes from cats’ faecal material provides evidence for C. jejuni’s survival ability outside the host where the samples were collected from faecal materials. The samples were collected after the animals defecated and in all of the occasions the animals were allowed to wander outside the out-patient ward for them to be able to defecate before any of the clinical procedures were conducted. This further emphasizes the need for following hygienic procedures and practices for the benefit of the cat owners. Our study along with other previous studies emphasizes that outdoor cats have to be dealt with care when they mingle with family members as they have higher odds of carrying Campylobacters. We also suggest investigating for sharing of food between the owners and their pet cats could provide insights into the overlap of genotypes between humans and cats. Author details 1 1 Institute of Veterinary, Animal and Biomedical Sciences, Massey University, Palmerston North, New Zealand. 2 School of Veterinary Medicine, Murdoch University, Perth, Western Australia, Australia. 3 High Institute of Public Health, Alexandria University, Alexandria, Egypt. Conclusion In conclusion, this study has quantified the carriage rate of Campylobacter spp. in cats in an urban area of New Zealand. Although there is a general conception that healthy pets do not carry C. jejuni, our results have shown that healthy cats did carry zoonotic C. jejuni (ST- 45 and ST-583) populations which may pose a potential risk for their owners. Besides, cats themselves may suffer from inflammatory bowel disease [48].l Results and discussion Clinic 1 45 45 4 7 10 4 1 7 1 8 44 < 24 Healthy Massey University staff 1 583 45 4 7 10 4 42 51 1 239 73 > 24 Diarrhoea Massey University staff 1 U/A x x x x x x x x x 73 < 24 Healthy Wet pets shop 1 U/A x x x x x x x x 239 73 < 24 Healthy Table 2  C. jejuni genotypes from 6 feline faecal samples This table describes the source, frequency of sequence type (ST), clonal complex (CC), the MLST allelic profile, flaA and porA alleles, age and health status x: allele that could not be sequence typed, U/A: unassigned isolation, but the geographical location of their homes was not similar. conditions and medications have to be taken into account as all these factors influence the probability of detecting the pathogen, the direction of transmission and the pre- cision of the inference. Limitations Dif- ferent sampling strategies including swab sampling from the rectum, accounting for risk factors including expo- sures to different types of food sources (processed food sources, home-prepared foods and wild hunting) hous- ing patterns of cats (indoor or outdoor), age and health Authors’ contributions d h k VM carried out this work as in partial fulfilment of her PhD. VM carried out sampling, processing and all the laboratory work. VM prepared the manu- script. IH carried out the corrections of the manuscript and assisted with the data analysis. Both authors read and approved the final manuscript. References 1. CDA. Campylobacter jejuni infection associated with unpasteurized milk and cheese–Kansas, 2007. Atlanta: Centres for Disease Control and Prevention; 2007. p. 1377–9. 1. CDA. Campylobacter jejuni infection associated with unpasteurized milk and cheese–Kansas, 2007. Atlanta: Centres for Disease Control and Prevention; 2007. p. 1377–9. 1. CDA. 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Occurrence and characterization of Campylobacter spp. isolates in dogs, cats and children. Pesquisa Vet Bras. 2015;35:365–70. Acknowledgements I, Vathsala Mohan, thank Massey University Doctoral Scholarship and New Zealand International Doctoral Scholarship, New Zealand for funding my Ph.D. study programme. Dr. Grant Hotter (Late), one of VM’s supervisors, was actively Page 5 of 6 Mohan and Habib BMC Res Notes (2019) 12:76 Mohan and Habib BMC Res Notes (2019) 12:76 Mohan and Habib BMC Res Notes (2019) 12:76 involved in the work, including study design and died suddenly in 2009, who is remembered with gratitude for his contribution to this work. VM thanks Professor Mark Stevenson (University of Melbourne, Australia) for his guidance and his assistance in writing and his moral support. VM thanks the supervisors and staff of IVABS, Massey University for their guidance and help in the labora- tory during her Ph.D. work. petting zoo animals for use in exposure assessments. 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Kirsten H, Teupser D, Weissfuss J, Wolfram G, Emmrich F, Ahnert P. Robust- ness of single-base extension against mismatches at the site of primer attachment in a clinical assay. J Mol Med (Berl). 2007;85(4):361–9. 38. Sandberg M, Bergsjo B, Hofshagen M, Skjerve E, Kruse H. Risk factors for Campylobacter infection in Norwegian cats and dogs. Prevent Vet Med. 2002;55:241–53. 45. Holmberg M, Rosendal T, Engvall EO, Ohlson A, Lindberg A. Prevalence of thermophilic Campylobacter species in Swedish dogs and characteriza- tion of C. jejuni isolates. Acta Vet Scand. 2015;57(1):19. 39. Chaban B, Ngeleka M, Hill J. Detection and quantification of 14 Campy- lobacter species in pet dogs reveals an increase in species richness in faeces of diarrheic animals. BMC Microbiol. 2010;10(1):73. 46. Parsons BN, Cody AJ, Porter CJ, Stavisky JH, Smith JL, Williams NJ, et al. Typing of Campylobacter jejuni isolates from dogs by use of multilocus sequence typing and pulsed-field gel electrophoresis. J Clin Microbiol. 2009;47:3466–71. 40. Baker J, Barton M, Lanser J. Campylobacter species in cats and dogs in South Australia. Aus Vet J. 1999;77(10):662–6. 41. Rossi M, Hanninen ML, Revez J, Hannula M, Zanoni RG. Mohan and Habib BMC Res Notes (2019) 12:76 References Occurrence and species level diagnostics of Campylobacter spp., enteric Helicobacter spp. and Anaerobiospirillum spp. in healthy and diarrheic dogs and cats. Vet Microbiol. 2008;129(3–4):304–14. 47. Manning G, Dowson CG, Bagnall MC, Ahmed IH, West M, Newell DG. Mul- tilocus sequence typing for comparison of veterinary and human isolates of Campylobacter jejuni. Appl Environ Microbiol. 2003;69(11):6370–9. 42. Burnens AP, Angeloz-Wick B, Nicolet J. Comparison of Campylobacter car- riage rates in diarrheic and healthy pet animals. Zentralbl Veterinarmed B. 1992;39(3):175–80. 42. Burnens AP, Angeloz-Wick B, Nicolet J. Comparison of Campylobacter car- riage rates in diarrheic and healthy pet animals. Zentralbl Veterinarmed B. 1992;39(3):175–80. 48. Maunder CL, Reynolds ZF, Peacock L, Hall EJ, Day MJ, Cogan TA. Campylo- bacter species and neutrophilic inflammatory bowel disease in cats. J Vet Intern Med. 2016;30(4):996–1001. • fast, convenient online submission • thorough peer review by experienced researchers in your field • rapid publication on acceptance • support for research data, including large and complex data types • gold Open Access which fosters wider collaboration and increased citations maximum visibility for your research: over 100M website views per year • At BMC, research is always in progress. Learn more biomedcentral.com/submissions Ready to submit your research ? 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7,8-Dihydroxyflavone Inhibits VEGF-Induced in Vitro Angiogenesis of RF/6A Cells via the Blocking of VEGFR2 Signaling Pathway
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7,8-Dihydroxyflavone Inhibits VEGF-Induced in Vitro Angiogenesis of RF/6A Cells via the Blocking of VEGFR2 Signaling Pathway Angiogenesis of RF/6A Cells via the Blocking of VEGFR2 Signaling Pathway Xiangwu Chen  Fudan University Eye Ear Nose and Throat Hospital https://orcid.org/0000-0002-3013-6924 Wang Yao  Fudan University Eye Ear Nose and Throat Hospital Department of Ophthalmology Shuqi You  Fudan University Eye Ear Nose and Throat Hospital Suqian Wu  Fudan University Eye Ear Nose and Throat Hospital Gang Li  Fudan University Eye Ear Nose and Throat Hospital Xiaofen Mo  (  xfmo@fudan.edu.cn ) https://orcid.org/0000-0002-2933-0025 Research article Keywords: 7,8-dihydroxyflavone, monkey, retinal, vascular, endothelial cells, neovascularization, neuroprotective Posted Date: August 7th, 2020 DOI: https://doi.org/10.21203/rs.3.rs-45610/v1 License:   This work is licensed under a Creative Commons Attribution 4.0 International License. Read Full License G S g a g at ay Xiangwu Chen  Fudan University Eye Ear Nose and Throat Hospital https://orcid.org/0000-0002-3013-6924 Wang Yao  Fudan University Eye Ear Nose and Throat Hospital Department of Ophthalmology Shuqi You  Fudan University Eye Ear Nose and Throat Hospital Suqian Wu  Fudan University Eye Ear Nose and Throat Hospital Gang Li  Fudan University Eye Ear Nose and Throat Hospital Xiaofen Mo  (  xfmo@fudan.edu.cn ) https://orcid.org/0000-0002-2933-0025 Research article Keywords: 7,8-dihydroxyflavone, monkey, retinal, vascular, endothelial cells, neovascularization, neuroprotective Posted Date: August 7th, 2020 DOI: https://doi.org/10.21203/rs.3.rs-45610/v1 License:   This work is licensed under a Creative Commons Attribution 4.0 International License. Read Full License Xiangwu Chen  Fudan University Eye Ear Nose and Throat Hospital https://orcid.org/0000-0002-3013-6924 Wang Yao  Fudan University Eye Ear Nose and Throat Hospital Department of Ophthalmology Shuqi You  Fudan University Eye Ear Nose and Throat Hospital Suqian Wu  Fudan University Eye Ear Nose and Throat Hospital Gang Li  Fudan University Eye Ear Nose and Throat Hospital Xiaofen Mo  (  xfmo@fudan.edu.cn ) https://orcid.org/0000-0002-2933-0025 Research article Page 1/16 Page 1/16 Page 1/16 Abstract Background: This study aimed to investigate the anti-angiogenesis effect of 7,8-dihydroxyflavone (7,8- DHF) and its potential molecular mechanism. Methods: The rhesus macaque choroid-retinal endothelial (RF/6A) cells were treated with different concentrations (from 0 to 100 μM) of 7,8-DHF and/or 40 ng/ml VEGF. The morphology, proliferation, migration, capillary-like tube formation,and apoptosis of RF/6A cells were evaluated by Giemsa staining, CCK-8 assay, transwell migration assay, matrigel tube formation assay, and flow cytometry/hoechst33342 staining, respectively. The protein content of VEFGR2 and p-VEGFR2 was assessed by western blotting. Results: 7,8-DHF significantly inhibited the proliferation, migration, and tube formation of RF/6A cells and promoted their apoptosis in vitro. The expression of VEGFR2 in RF/6A cells was constant whether or not to administer 7,8-DHF. However, the phosphorylation of VEGFR2 significantly decreased after the administration of 7,8-DHF. Conclusions: 7,8-DHF could inhibit RF/6A angiogenesis in vitro. The inhibitory mechanism of 7,8-DHF in angiogenesis was attributed to the suppression of VEGFR2 phosphorylation and thus blocking of VEGF/VEGFR2 signal pathway. Cell Line and Culture The rhesus macaque choroid-retinal endothelial cell line (RF/6A) was achieved from Shanghai Zhong Qiao Xin Zhou Biotechnology Co., Ltd (Shanghai, China) and maintained in RPMI 1640 medium purchased from Hyclone (UT, USA) supplemented with 10% fetal bovine serum obtained from Invitrogen (N.Y., USA ) at 37 °C, 5% CO2 and 95% humidified air. Giemsa Staining RF/6A cells were seeded in 24-well plates at a density of 5 × 105 cells/well and stabilized for 24 h. Then Cells were divided into 4 groups: the control group, 7,8-DHF group (25 µmol/L 7,8-DHF treated for 24 h), VEGF group (40 ng/ml VEGF treated for 24 h), and 7,8-DHF plus VEGF treated groups (pretreated with 25 µmol/L 7,8-DHF for 0.5 h, then together with 40 ng/ml VEGF for 24 h). After incubation at 37 °C for 24 h, the wells were fixed with 4% paraformaldehyde, and the cells were stained with Giemsa solution (Jiancheng Bioengineering Institute, Nanjing, China) and examined under the phase-contrast microscope (Olympus BX40, Olympus) at 100 × magnification. Cell viability assay RF/6A cells in 100 µl of medium were seeded with a density of 2000 per well in a 96-well plate and allowed to attach for 24 hours before the addition of drugs. Immediately after that, cells in a 96-well plate were pretreated with different concentrations (from 0 to 100 µM) of 7,8-DHF for 1 hour, then together with VEGF (40 ng/ml) or not for 24 hours. After that, the assay medium was aspirated from the well without disturbing the formazan crystals. The cell proliferation was detected with CCK-8 kit according to the manufacturer’s instructions. The optical density was measured with a microplate reader at 450 nm. Media and Reagents Recombinant human VEGF165 was purchased from Novoprotein (Shanghai, China). Rabbit anti-human phosphor-VEGF receptor 2 and rabbit anti-human VEGF receptor 2 were obtained from Sigma-Aldrich (MO, USA). TRIZOL reagent was purchased from Invitrogen Life Technologies (Maryland, USA). Growth factor- reduced Matrigel™ Matrix was purchased from BD Biosciences Labware (Massachusetts, USA). All other reagents and solvents were obtained from Beyotime (Shanghai, China). Background Angiogenesis, the formation of new blood vessels from the pre-existing vasculature, is the primary cause of irreversible vision loss in a variety of retinal diseases, such as proliferative diabetic retinopathy (PDR), retinopathy of prematurity, and neovascular age-related macular degeneration (AMD)[1–3]. In clinical practice, these retinal vascular diseases are treated with anti-VEGF-A therapy since VEGF-A is a major stimulant of pathologic neovascularization[4]. However, VEGF is expressed in both normal and pathological retinal ganglion and photoreceptor cells, suggesting that this growth factor has a physiological function in ophthalmic neovascularization[5]. Thus, constant or excess anti-VEGF treatment in patients with angiogenesis-related diseases may result in gradual neurodegeneration[6]. Furthermore, ophthalmic vascular disorders, such as neovascular glaucoma, AMD, and DR, are always accompanied by ocular neuropathy, implying that anti-VEGF treatment alone is likely not sufficient. Therefore, it is important to develop an innovative agent that can block the VEGF-A signaling pathway while protecting the retinal neurons in patients with co-existing ophthalmic neuropathy and angiogenesis. Flavonoids are naturally-occurring chemical substances that are commonly present in vegetables and fruits and exert various biological effects[7]. 7, 8-DHF, a newly discovered flavonoid derivative, has been shown to act as a high-affinity tropomyosin-associated kinase receptor B (TrkB) agonist that activates the downstream signaling pathway and exerts neuroprotective effects in neurological diseases[8]. As several flavonoids have been reported to have inhibitory effects on angiogenesis in various animal models[9, 10], 7, 8-DHF may have similar pharmacological effects. Therefore, in the present study, we investigated the Page 2/16 repressive effect of 7, 8-DHF on pathologic neovascularization in vitro and explored its possible mechanisms, intending to identify a novel compound that would simultaneously inhibit angiogenesis and protect neurons. repressive effect of 7, 8-DHF on pathologic neovascularization in vitro and explored its possible mechanisms, intending to identify a novel compound that would simultaneously inhibit angiogenesis and protect neurons. Cell migration assay Cell migration assay was performed in a 24-well plate with 8.0-µm pore-size transwell inserts (Corning, MA, USA). Cells were also divided into 4 groups: the control group, 7,8-DHF group, VEGF group, and 7,8- Page 3/16 Page 3/16 Page 3/16 DHF plus VEGF treated groups. Firstly, the RF/6A cells were placed in the upper chamber (5 ×  104/chamber) in a final volume of 200 µl of serum-free medium containing or not 25 µmol/L 7,8-DHF. Then the bottom chamber was added with a final volume of 600 µl of serum-free medium containing or not 40 ng/ml VEGF. After incubation at 37 °C for 24 h, the inserts were fixed with 4% paraformaldehyde, and the cells were stained with Giemsa solution. Cell numbers from 5 random visual fields were counted under a phase-contrast microscope (Olympus BX40, Olympus) at 100 × magnification. Hoechst33342 staining RF/6A cells were seeded in 24-well plates at a density of 5 × 105 cells/well and stabilized for 24 h. Then cells in this assay were divided into 4 groups as previously described. After incubation at 37 °C for 24 h, cells were incubated with 10 mol/L of Hoechst33342 for 10 min at room temperature and then washed with the medium for 3 times. Finally, cells were observed under a fluorescence microscope. The apoptotic cell rate was calculated by the following formula: apoptotic nucleus rate = (apoptotic nucleus/ total nucleus) × 100%. Tube formation assay RF/6A cells in this assay were divided into 4 groups as previously described. Aliquots (250 µl) of Matrigel (Bedford, Massachusetts, USA) were added into a 24-well plate and incubated at 37 °C for 60 min. Trypsin-harvested cells (30 × 104 cells/well) suspended in 500 µl of serum-free medium containing the indicated concentrations of 7,8-DHF and VEGF were seeded onto Matrigel. Enclosed capillary-like tube formation from three randomly chosen fields per well was photographed and counted after 6 h of incubation, and under an inverted phase-contrast microscope (Olympus BX40, Olympus) at 100 ×  magnification. Flow Cytometry RF/6A cells in this assay were also divided into 4 groups. These cells were treated according to their respective grouping for another 24 h after being starved in the serum-free medium for 24 h. Trypsinized and floating cells were collected and washed in PBS. Then these cells were treated according to the manufacturer ’s instructions of Apoptosis Detection Kit (Abcam plc., Cambridge, MA). Finally, the treated suspensions of RF/6A cells were analyzed by flow cytometry. Cells stained with both PI and FITC were considered late apoptotic while singly stained with FITC were early apoptotic, and these two parts were counted as apoptotic cells. Effects of 7,8-DHF on RF/6A Proliferation The effects of 7,8-DHF on RF/6A proliferation were determined by CCK-8 assay. As showed in Fig. 1, VEGF (40 ng/ml) significantly elevated the levels of RF/6A proliferation as compared with the control (treated by 0 µM 7,8-DHF + 0 ng/ml VEGF), and 7,8-DHF exhibited statistically significant inhibition on RF/6A cell proliferation regardless of in the presence of VEGF-A at the concentrations of 25, 50, and 100 µM. Thus, the concentration of 25 µM was applied in the following experiments. Interestingly, in the presence of 25, 50, and 100 µM 7,8-DHF, the proliferation of RF/6A cell between 0 ng/ml VEGF and 40 ng/ml VEGF treated group was no statistical differences. Western blot analysis RF/6A cells in the western blot analysis were seeded in plates and divided into 4 groups as before: the control group, 7,8-DHF treated group (25 µmol/ml 7,8-DHF treated for 24 h), VEGF treated group (40 ng/ml VEGF treated for 0.5 h), and 7,8-DHF plus VEGF treated groups (pretreated with 7,8-DHF for 24 h, then together with VEGF for 0.5 h). The cells in 60 mm dishes treated according to their respective grouping were lysed in lysis buffer (Beyotime, China) supplemented with protease inhibitor. Protein concentrations of the lysate were measured with the BCA protein assay kit (Beyotime, China). Western Page 4/16 Page 4/16 blots were carried out according to the standard protocol and bands were analyzed by ImageJ software (NIH, Bethesda, MD, USA). The band intensities of p-VEGFR2 and VEGFR2 were quantified and normalized with VEGFR2 and GAPDH respectively. blots were carried out according to the standard protocol and bands were analyzed by ImageJ software (NIH, Bethesda, MD, USA). The band intensities of p-VEGFR2 and VEGFR2 were quantified and normalized with VEGFR2 and GAPDH respectively. Effects of 7,8-DHF on RF/6A on morphology The effects of 7,8-DHF on RF/6A morphology were examined by Giemsa staining. In the control group, RF/6A cells were displayed a cobblestone-like appearance and structural integrated (Fig. 2a). VEGF (40 ng/ml) could increase RF/6A cell density and reduce extracellular space (Fig. 2b). After administration of 7,8-DHF, whether or not in the presence of VEGF, RF/6A cell density decreased with a reduction in cytoplasm density, and extracellular space became increased. Furthermore, the appearance of the RF/6A cells became irregular with the naked nucleus, apoptosis body, and cell atrophy and debris (Fig. 2c-d). Statistics Statistical analysis was conducted with SPSS 19.0 software (IBM, Chicago, IL, USA). Data were expressed as the mean ± SD. The significance of the differences between the groups was determined using the independent-samples t-test or one-way ANOVA analysis. A p value < 0.05 was considered statistically significant. Effects of 7,8-DHF on VEGF Receptor 2 Signaling Pathway To determine whether 7,8-DHF had any effect on the VEGFR2's activity, the changes of VEGFR2’s Tyr phosphorylation were assessed in RF/6A cells. As shown in Fig. 6(a-b), VEGF significantly increased the phosphorylation of VEGFR2 as compared with the control group (1.19 ± 0.02 vs. 1.00 ± 0.05, p < 0.05), and 7,8-DHF (25 µM) exhibited an apparent inhibition on VEGFR2 phosphorylation regardless of in the presence of VEGF-A (VEGF + 7,8-DHF-treated vs VEGF-treated: 0.82 ± 0.01 vs 1.19 ± 0.02, p < 0.05; 7,8-DHF- treated vs control: 0.80 ± 0.01 vs. 1.00 ± 0.05, p < 0.05). Interestingly, the phosphorylated VEGFR2 proteins between 7,8-DHF and 7,8-DHF plus VEGF group were no statistical differences (0.82 ± 0.01 vs. 0.80 ± 0.01, p > 0.05). Furthermore, the total VEGFR2 proteins among the four groups were also not significantly different (F = 1.192, p > 0.05). Effects of 7,8-DHF on RF/6A migration The migration study was assessed by the Transwell assay. As shown in Fig. 3, VEGF (40 ng/ml) significantly raised the numbers of cells transferred across the filter toward the lower surface (135.40 ±  10.95 vs. 97.00 ± 15.37, p < 0.05), and 7,8-DHF exhibited a strong inhibition on cell migration regardless of in the presence of VEGF-A at the concentration of 25 µM (VEGF + 7,8-DHF-treated vs VEGF-treated: 69.60  ± 11.01 vs. 135.40 ± 10.95, p < 0.05; 7,8-DHF-treated vs control: 62.80 ± 13.99 vs. 97.00 ± 15.37, p < 0.05). Interestingly, the migrated cells between 7,8-DHF and 7,8-DHF plus VEGF group were no statistical differences (69.60 ± 11.01 vs. 62.80 ± 13.99, p > 0.05). Page 5/16 Page 5/16 Page 5/16 Effects of 7,8-DHF on RF/6A Capillary-Like Tube Formation The matrigel tube formation assay was performed to examine the actions of 7,8-DHF on the differentiation of RF/6A into vascular structures in vitro. As shown in Fig. 4, VEGF significantly promoted the formation of capillary-like structures as compared with the control group (965.33 ± 167.48 vs. 530.67  ± 83.01), and 7,8-DHF exhibited an inhibition on capillary-like tube formation regardless of in the presence of VEGF-A at the concentration of 25 µM (VEGF + 7,8-DHF-treated vs VEGF-treated: 308.67 ± 108.04 vs. 965.33 ± 167.48, p < 0.05; 7,8-DHF-treated vs control: 288.00 ± 77.32 vs. 530.67 ± 83.01, p < 0.05). Interestingly, the numbers of tube nodes between 7,8-DHF and 7,8-DHF plus VEGF group were no statistical differences (308.67 ± 108.04 vs. 288.00 ± 77.32, p > 0.05). Effects of 7,8-DHF on RF/6A apoptosis Considering that apoptosis might be correlated with the anti-angiogenic mechanism of 7,8-DHF, the apoptotic levels of RF/6A cells were examined by Flow Cytometry and Hoechst33342 staining. As shown in Fig. 5a, VEGF significantly prevented the apoptosis of RF/6A cells as compared with the control group (6.17 ± 0.50 vs. 10.49 ± 1.26, p < 0.05), and 7,8-DHF exhibited a promotion of both VEGF-induced (6.17 ±  0.50 vs 19.24 ± 1.31, p < 0.05) and no VEGF-induced (10.49 ± 1.26 vs. 19.53 ± 1.22, p < 0.05) cell apoptosis at the concentration of 25 µM. Interestingly, the percentages of cell apoptosis between 7,8-DHF and 7,8- DHF plus VEGF group were no statistical differences (19.53 ± 1.22 vs.19.24 ± 1.31, p > 0.05). Similar to the results of flow cytometry, as shown in Fig. 5c, Hoechst33342 staining also revealed that VEGF significantly reduced the rate of nuclei apoptosis as compared with the control group (2.42 ± 1.08 vs. 7.90 ± 1.02, p < 0.05), and 7,8-DHF (25 µM) significantly raised the percentages of apoptotic nuclei in RF/6A cells regardless of in the presence of VEGF-A (VEGF + 7,8-DHF-treated vs VEGF-treated: 16.02 ±  2.51 vs 2.42 ± 1.08, p < 0.05; 7,8-DHFtreated vs control: 16.28 ± 1.66 vs. 7.90 ± 1.02, p < 0.05). Interestingly, the cell apoptosis percentages between 7,8-DHF and 7,8-DHF plus VEGF group were also no statistical differences (16.28 ± 1.66 vs. 16.02 ± 2.51, p > 0.05 ). Discussion Page 6/16 Choroidal and retinal angiogenesis are the primary causes of vision loss in patients with neovascular AMD, proliferative DR, retinopathy of prematurity, and other diseases. It should be noted that these retinal vascular disorders are always accompanied by neuronal damage[11]. Although anti-VEGF treatments have been extensively administered for neovascular eye diseases[12], they are likely to aggravate this neuronal injury and thus deteriorate visual function[13]. To solve this dilemma, a treatment that can protect neurons and simultaneously inhibit angiogenesis is urgently needed. 7,8-DHF, a naturally- occurring flavone, has been reported to possess multiple beneficial effects, such as neuroprotective effect, anti-inflammatory, and vasorelaxing[14]. Recently, growing evidence suggests that 7, 8-DHF may also inhibit pathological neovascularization[7], although this has not yet been confirmed. In the present study, we observed that 25 µM 7,8-DHF significantly prevented the proliferation, migration, and tube formation of RF/6A cells and promoted their apoptosis in vitro regardless of in the presence of VEGF, indicating that 7,8-DHF has inhibitory effects on angiogenesis in vitro. This result, together with the previous findings that low concentration (500 nM) of 7,8-DHF provides neuroprotection via the activation of TrkB receptor while high concentration (25 µM) of that via its potent antioxidant activity[15–17], make 7,8-DHF a potential candidate for the treatment of retinal vascular disease co-existing with neuropathy. Many studies have revealed that 7,8-DHF at the concentration of 25 µM is nontoxic and even protective to several types of cells in vitro[16–18], whereas in the present experiment we discovered that 25 µM 7,8- DHF significantly inhibits the viability of RF/6A cells. The varying effects of 7, 8-DHF in these cell types may be attributed to its different pharmacological actions. VEGF is a potent proangiogenic factor that stimulates the proliferation, migration, and tube formation of endothelial cells and inhibits their apoptosis[19]. These biological VEGF signaling pathways are mainly mediated by VEGFR-2 receptor, which is abundant on the surface of vascular endothelial cells[20]. Phosphorylation of VEGFR-2 induces multiple downstream signals that subsequently promote angiogenesis in endothelial cells[21]. Thus, VEGF/VEGFR2 signal pathway is an important target for studying the angiogenesis inhibiting effects of 7, 8-DHF. Discussion In the present study, we demonstrated that although VEGFR2 expression was relatively constant, phosphorylated VEGFR2 levels were significantly decreased in RF/6A cells pretreated with 7, 8-DHF for 2 hours, in both the presence and absence of VEGF, indicating that 7, 8-DHF modulates the VEGFR2 signaling pathway by deactivating VEGFR2 rather than down-regulating its expression. There are two possible explanations for the observed 7, 8-DHF-induced signal deactivation. One is that 7, 8-DHF may down-regulate the expression of VEGF-A in RF/6A cells and thus inhibit signal transmission. According to this hypothesis, the extent of angiogenesis and level of phosphorylated VEGFR2 protein should be significantly different between the 7, 8-DHF-treated and 7, 8-DHF plus VEGF-treated groups, which contradicts our findings in this study. The other explanation is that 7, 8-DHF prevents VEGFR2 activation by interfering with the binding of VEGF to VEGFR2. This well explains why even if VEGF levels are elevated in RF/6A cells, the levels of angiogenesis and phosphorylated VEGFR2 protein remain unchanged in the presence of 7,8-DHF (25 µM). This assumption is also supported by a previous study using a combination of molecular docking, computational mapping tools, and molecular dynamics, which showed that 7, 8-DHF may exert its effects on VEGFR2 via the intracellular kinase domain[7]. Collectively, the above evidence suggests that 7, 8-DHF inhibits angiogenesis in RF/6A cells in vitro by Page 7/16 Page 7/16 suppressing the phosphorylation of VEGFR2, although the exact mechanism of VEGFR2 dephosphorylation induced by 7, 8-DHF remains to be elucidated. In this study, we comprehensively investigated the antiangiogenic effects of 7, 8-DHF on RF/6A cells, which were mainly used in the study of chorioretinal neovascular diseases. However, whether this medicine has similar inhibitory effects on other types of vascular endothelial cells, such as human umbilical vein endothelial cells (HUVEC), remains to be studied. Furthermore, in vivo studies are needed to obtain a comprehensive understanding of the observed effect and the mechanism underlying the effects of this compound on choroidal and retinal angiogenesis. Conclusions In summary, the present study revealed the inhibitory effect of 7, 8-DHF on angiogenic properties in vitro. This finding, combining with the previous discoveries that low concentration (500 nM) of 7,8-DHF provides neuroprotection via the activation of TrkB receptor while high concentration (25 µM) of that via its potent antioxidant activity[15–17], suggests the great potential of 7,8-DHF for the treatment of ocular diseases with coexisting angiogenesis and neuropathy, such DR, AMD, neovascular glaucoma, etc. Since there are numerous patients with these diseases, medicine with the above pharmacological activities could provide great benefits. Consent for publication Not applicable Ethics approval and consent to participate Ethics approval and consent to participate Not applicable Availability of data and materials The datasets generated and analysed during the current study are available from the corresponding author on reasonable request. Competing interests Competing interests Page 8/16 7,8-DHF , 7,8-dihydroxyflavone; PDR:proliferative diabetic retinopathy; AMD:age-related macular degeneration; TrkB:tropomyosin-associated kinase receptor B; RF/6A:rhesus macaque choroid-retinal endothelial cell line; HUVEC:human umbilical vein endothelial cells Funding This research was supported by the National Natural Science Foundation of China (NO.81570842). The funding body had no influence on the design, collection, analysis or interpretation of the data, or in writing the manuscript. Acknowledgements Not applicable Page 8/16 The authors do not have any conflict of interest to report and have no proprietary interest in any of the materials mentioned in this article The authors do not have any conflict of interest to report and have no proprietary interest in any of the materials mentioned in this article Authors' contributions XFM suggested concept of study, XWC performed to conduct study and wrote the manuscript. Collection, analysis and interpretation of data were performed by XWC, WY, SQY, SQW, GL, XFM. All authors read and approved the final manuscript. References 1. Li Y, Zhou Y. Interleukin-17: The Role for Pathological Angiogenesis in Ocular Neovascular Diseases. Tohoku J Exp Med. 2019;247(2):87-98. doi:10.1620/tjem.247.87. 2. Rivera JC, Holm M, Austeng D, Morken TS, Zhou TE, Beaudry-Richard A, et al. Retinopathy of prematurity: inflammation, choroidal degeneration, and novel promising therapeutic strategies. J Neuroinflammation. 2017;14(1):165. doi:10.1186/s12974-017-0943-1. 3. Zhao Y, Singh RP. The role of anti-vascular endothelial growth factor (anti-VEGF) in the management of proliferative diabetic retinopathy. Drugs Context. 2018;7:212532. doi:10.7573/dic.212532. 3. Zhao Y, Singh RP. The role of anti-vascular endothelial growth factor (anti-VEGF) in the management of proliferative diabetic retinopathy. Drugs Context. 2018;7:212532. doi:10.7573/dic.212532. 4. Hollander MR, Horrevoets AJ, van Royen N. Cellular and pharmacological targets to induce coronary arteriogenesis. Curr Cardiol Rev. 2014;10(1):29-37. doi:10.2174/1573403x113099990003. 4. Hollander MR, Horrevoets AJ, van Royen N. Cellular and pharmacological targets to induce coronary arteriogenesis. Curr Cardiol Rev. 2014;10(1):29-37. doi:10.2174/1573403x113099990003. 5. Gerhardinger C, Brown LF, Roy S, Mizutani M, Zucker CL, Lorenzi M. Expression of vascular endothelial growth factor in the human retina and in nonproliferative diabetic retinopathy. Am J Pathol. 1998;152(6):1453-62. 5. Gerhardinger C, Brown LF, Roy S, Mizutani M, Zucker CL, Lorenzi M. Expression of vascular endothelial growth factor in the human retina and in nonproliferative diabetic retinopathy. Am J Pathol. 1998;152(6):1453-62. 6. Amin M, Desai M, Trinkaus K, Brown A, Wang-Gillam A, Tan B, et al. Phase II trial of levocetirizine with capecitabine and bevacizumab to overcome the resistance of antiangiogenic therapies in refractory metastatic colorectal cancer. J Gastrointest Oncol. 2019;10(3):412-20. doi:10.21037/jgo.2019.02.01. 7. Chitranshi N, Gupta V, Kumar S, Graham SL. Exploring the Molecular Interactions of 7,8- Dihydroxyflavone and Its Derivatives with TrkB and VEGFR2 Proteins. Int J Mol Sci. 2015;16(9):21087-108. doi:10.3390/ijms160921087. 7. Chitranshi N, Gupta V, Kumar S, Graham SL. Exploring the Molecular Interactions of 7,8- Dihydroxyflavone and Its Derivatives with TrkB and VEGFR2 Proteins. Int J Mol Sci. 2015;16(9):21087-108. doi:10.3390/ijms160921087. 8. Ren E, Roncacé V, Trazzi S, Fuchs C, Medici G, Gennaccaro L, et al. Functional and Structural Impairments in the Perirhinal Cortex of a Mouse Model of CDKL5 Deficiency Disorder Are Rescued by 8. Ren E, Roncacé V, Trazzi S, Fuchs C, Medici G, Gennaccaro L, et al. Functional and Structural Impairments in the Perirhinal Cortex of a Mouse Model of CDKL5 Deficiency Disorder Are Rescued by Page 9/16 Page 9/16 a TrkB Agonist. Front Cell Neurosci. 2019;13:169. doi:10.3389/fncel.2019.00169. 9. References He L, Wu Y, Lin L, Wang J, Wu Y, Chen Y, et al. Hispidulin, a small flavonoid molecule, suppresses the angiogenesis and growth of human pancreatic cancer by targeting vascular endothelial growth factor receptor 2-mediated PI3K/Akt/mTOR signaling pathway. Cancer Sci. 2011;102(1):219-25. doi:10.1111/j.1349-7006.2010.01778.x. 10. Wang Z, Wang N, Han S, Wang D, Mo S, Yu L, et al. Dietary compound isoliquiritigenin inhibits breast cancer neoangiogenesis via VEGF/VEGFR-2 signaling pathway. PLoS One. 2013;8(7):e68566. doi:10.1371/journal.pone.0068566. 11. McAllister IL, Vijayasekaran S, Zhang D, McLenachan S, Chen FK, Yu DY. Neuronal degeneration and associated alterations in cytokine and protein in an experimental branch retinal venous occlusion model. Exp Eye Res. 2018;174:133-46. doi:10.1016/j.exer.2018.05.025. 12. Pham B, Thomas SM, Lillie E, Lee T, Hamid J, Richter T, et al. Anti-vascular endothelial growth factor treatment for retinal conditions: a systematic review and meta-analysis. BMJ Open. 2019;9(5):e022031. doi:10.1136/bmjopen-2018-022031. 13. Rappoport D, Morzaev D, Weiss S, Vieyra M, Nicholson JD, Leiba H, et al. Effect of intravitreal injection of bevacizumab on optic nerve head leakage and retinal ganglion cell survival in a mouse model of optic nerve crush. Invest Ophthalmol Vis Sci. 2013;54(13):8160-71. doi:10.1167/iovs.13- 12771. 14. Choi JW, Lee CW, Lee J, Choi DJ, Sohng JK, Park YI. 7,8-Dihydroxyflavone inhibits adipocyte differentiation via antioxidant activity and induces apoptosis in 3T3-L1 preadipocyte cells. Life Sci. 2016;144:103-12. doi:10.1016/j.lfs.2015.11.028. 15. Gupta VK, You Y, Li JC, Klistorner A, Graham SL. Protective effects of 7,8-dihydroxyflavone on retinal ganglion and RGC-5 cells against excitotoxic and oxidative stress. J Mol Neurosci. 2013;49(1):96- 104. doi:10.1007/s12031-012-9899-x. 16. Chen J, Chua KW, Chua CC, Yu H, Pei A, Chua BH, et al. Antioxidant activity of 7,8-dihydroxyflavone provides neuroprotection against glutamate-induced toxicity. Neurosci Lett. 2011;499(3):181-5. doi:10.1016/j.neulet.2011.05.054. 17. Han X, Zhu S, Wang B, Chen L, Li R, Yao W, et al. Antioxidant action of 7,8-dihydroxyflavone protects PC12 cells against 6-hydroxydopamine-induced cytotoxicity. Neurochem Int. 2014;64:18-23. doi:10.1016/j.neuint.2013.10.018. 18. Ryu MJ, Kang KA, Piao MJ, Kim KC, Zheng J, Yao CW, et al. 7,8-Dihydroxyflavone protects human keratinocytes against oxidative stress-induced cell damage via the ERK and PI3K/Akt-mediated Nrf2/HO-1 signaling pathways. Int J Mol Med. 2014;33(4):964-70. doi:10.3892/ijmm.2014.1643. 18. Ryu MJ, Kang KA, Piao MJ, Kim KC, Zheng J, Yao CW, et al. 7,8-Dihydroxyflavone protects human keratinocytes against oxidative stress-induced cell damage via the ERK and PI3K/Akt-mediated Nrf2/HO-1 signaling pathways. Int J Mol Med. 2014;33(4):964-70. doi:10.3892/ijmm.2014.1643. 19. Yesildal F, Koc E, Tas A, Ozgurtas T. Angiopoietins in Human Breast Milk. Breastfeed Med. 2016;11:366-9. doi:10.1089/bfm.2016.0065. Figures Figures References 19. Yesildal F, Koc E, Tas A, Ozgurtas T. Angiopoietins in Human Breast Milk. Breastfeed Med. 2016;11:366-9. doi:10.1089/bfm.2016.0065. 20. Huang M, Huang B, Li G, Zeng S. Apatinib affect VEGF-mediated cell proliferation, migration, invasion via blocking VEGFR2/RAF/MEK/ERK and PI3K/AKT pathways in cholangiocarcinoma cell. BMC Gastroenterol. 2018;18(1):169. doi:10.1186/s12876-018-0870-3. Page 10/16 21. Yan XC, Cao J, Liang L, Wang L, Gao F, Yang ZY, et al. miR-342-5p Is a Notch Downstream Molecu and Regulates Multiple Angiogenic Pathways Including Notch, Vascular Endothelial Growth Facto and Transforming Growth Factor β Signaling. J Am Heart Assoc. 2016;5(2)doi:10.1161/JAHA.115.003042. Figures Figure 1 Effects of 7,8-DHF on proliferation of RF/6A cells. 7,8-DHF weakened both VEGF-induced and no VEGF induced proliferation of RF/6A cells in a dose-dependent manner. * p < 0.05 vs. 0μM 7,8-DHF+ 0ng/ml VEGF-A group; # p < 0.05 vs. 0μM 7,8-DHF+ 40ng/ml VEGF-A group. 21. Yan XC, Cao J, Liang L, Wang L, Gao F, Yang ZY, et al. miR-342-5p Is a Notch Downstream Molecule and Regulates Multiple Angiogenic Pathways Including Notch, Vascular Endothelial Growth Factor and Transforming Growth Factor β Signaling. J Am Heart Assoc. 2016;5(2)doi:10.1161/JAHA.115.003042. 21. Yan XC, Cao J, Liang L, Wang L, Gao F, Yang ZY, et al. miR-342-5p Is a Notch Downstream Molecule and Regulates Multiple Angiogenic Pathways Including Notch, Vascular Endothelial Growth Factor and Transforming Growth Factor β Signaling. J Am Heart Assoc. 2016;5(2)doi:10.1161/JAHA.115.003042. Figures Figure 1 Effects of 7,8-DHF on proliferation of RF/6A cells. 7,8-DHF weakened both VEGF-induced and no VEGF- induced proliferation of RF/6A cells in a dose-dependent manner. * p < 0.05 vs. 0μM 7,8-DHF+ 0ng/ml VEGF-A group; # p < 0.05 vs. 0μM 7,8-DHF+ 40ng/ml VEGF-A group. Figure 1 Effects of 7,8-DHF on proliferation of RF/6A cells. 7,8-DHF weakened both VEGF-induced and no VEGF- induced proliferation of RF/6A cells in a dose-dependent manner. * p < 0.05 vs. 0μM 7,8-DHF+ 0ng/ml VEGF-A group; # p < 0.05 vs. 0μM 7,8-DHF+ 40ng/ml VEGF-A group. Page 11/16 Figure 2 Effects of 7,8-DHF on RF/6A cell morphology (×200). Representative figures of Giemsa staining were shown: control group (a); VEGF treated group (b); 7,8-DHF treated group (c); 7,8-DHF plus VEGF treated group (d). The long arrow, short arrow, black triangle, and red triangle indicated cell atrophy, naked nucleus, cell debris, and apoptosis body respectively. Bar scale: 200 µm. Figure 2 Effects of 7,8-DHF on RF/6A cell morphology (×200). Representative figures of Giemsa staining were shown: control group (a); VEGF treated group (b); 7,8-DHF treated group (c); 7,8-DHF plus VEGF treated group (d). The long arrow, short arrow, black triangle, and red triangle indicated cell atrophy, naked nucleus, cell debris, and apoptosis body respectively. Bar scale: 200 µm. Page 12/16 Page 12/16 Figure 3 Effects of 7,8-DHF on RF/6A migration (✕200). The migratory activity of RF/6A cells after their respective treatments was estimated based on the number of cells migrated through the filter inserts. Representative figures of RF/6A migratory activity were shown: control group (a); VEGF treated group (b); C: 7,8-DHF treated group (c); 7,8-DHF plus VEGF treated group (d). Quantitative analysis of the number of migrated cells expressed as means ± SD (e). * p<0.05 vs. control group, #p <0.05 vs. VEGF treated group. Bar scale: 200 µm. Figure 3 Figure 3 Effects of 7,8-DHF on RF/6A migration (✕200). The migratory activity of RF/6A cells after their respective treatments was estimated based on the number of cells migrated through the filter inserts. Representative figures of RF/6A migratory activity were shown: control group (a); VEGF treated group (b); C: 7,8-DHF treated group (c); 7,8-DHF plus VEGF treated group (d). Quantitative analysis of the number of migrated cells expressed as means ± SD (e). * p<0.05 vs. control group, #p <0.05 vs. VEGF treated group. Bar scale: 200 µm. Page 13/16 Page 13/16 Figure 4 Effects of 7,8-DHF on RF/6A tube formation. Representative figures of tube-like structures were shown: control group (a); VEGF treated group (b); 7,8-DHF treated group (c); 7,8-DHF plus VEGF treated group (d). Quantitative analysis of the number of nodes expressed as means ± SD (e). # p<0.05 vs. Figure 1 VEGF treated group, * p<0.05 vs. control group. Bar scale: 200 µm. Fi 4 Figure 4 Figure 4 Effects of 7,8-DHF on RF/6A tube formation. Representative figures of tube-like structures were shown: control group (a); VEGF treated group (b); 7,8-DHF treated group (c); 7,8-DHF plus VEGF treated group (d). Quantitative analysis of the number of nodes expressed as means ± SD (e). # p<0.05 vs. VEGF treated group, * p<0.05 vs. control group. Bar scale: 200 µm. Page 14/16 Page 14/16 Figure 5 Effects of 7,8-DHF on RF/6A apoptosis. (a): Representative figures of flow cytometry on RF/6A cells treated according to their respective grouping; (b): Quantification of apoptosis detected by flow cytometry; (c): Representative figures of Hoechst33342 staining in RF/6A cells (✕ 100); (d): Quantification of apoptotic nucleus stained by Hoechst33342. * p <0.05 vs. control group, # p <0.05 vs. VEGF treated group. Bar scale: 200 µm. Figure 5 Figure 5 Effects of 7,8-DHF on RF/6A apoptosis. (a): Representative figures of flow cytometry on RF/6A cells treated according to their respective grouping; (b): Quantification of apoptosis detected by flow cytometry; (c): Representative figures of Hoechst33342 staining in RF/6A cells (✕ 100); (d): Quantification of apoptotic nucleus stained by Hoechst33342. * p <0.05 vs. control group, # p <0.05 vs. VEGF treated group. Bar scale: 200 µm. Figure 6 Figure 6 Page 15/16 Effects of 7,8-DHF on the VEGF receptor 2 signaling pathway. A: Representative blots of p-VEGFR2, VEGFR2, and GAPDH. The band intensities of p-VEGFR2 and VEGFR2 were quantified and normalized with VEGFR2 and GAPDH respectively; B: Levels of p-VEGFR2 protein expressed as the mean ± SD of at least 3 independent experiments; C: Levels of VEGFR2 protein expressed as the mean ± SD of at least 3 independent experiments. * p < 0.05 vs. control group, # p < 0.05 vs. VEGF treated group. Supplementary Files This is a list of supplementary files associated with this preprint. Click to download. originalblotiamge.pdf Page 16/16
https://openalex.org/W4384828415
https://ejournal.uniramalang.ac.id/index.php/g-tech/article/download/2876/1942
Indonesian
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Sistem Informasi Administrasi Desa Sejati Kecamatan Rambah Hilir Menggunakan Framework Laravel
G-Tech
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cc-by
4,697
ABSTRACT services village administration have to go back and forth with the village office if administration requirements do not exist. Information about activities carried out in the village by sending letters and person to person. To overcome these problems, a real village management information system is proposed with the Laravel framework, the waterfall method can be computerized to be faster and more accurate. This application has two parts, namely the village apparatus and the community apparatus, which displays the printing of disability certificates, birth certificates, marriage certificates, parental consent, not related to confirming marriage and gender for administration agreements made in pdf format and the public can view information about latest news, agendas and documents about village activities. Corresponding Author : Kiki Yasdomi Prodi Sistem Informasi, Fakultas Ilmu Komputer, Universitas Pasir Pengaraian, Indonesia Jl.Tuanku Tambusai Jl. Raya Kumu, Rambah, Kec. Rambah Hilir, Kabupaten Rokan Hulu, Riau Email: kikiyasdomi@upp.ac.id ABSTRAK Pelayanan administrasi kemasyarakatan desa sejati harus bolak-balik dengan kantor desa jika persyaratan administrasi tidak ada. Mengirimkan informasi tentang kegiatan desa melalui surat dan orang ke orang. Dengan menggunakan framework Laravel, sistem informasi manajemen desa yang sebenarnya dapat dibangun dengan metode waterfall, yang dapat dikomputerisasi menjadi lebih cepat dan lebih akurat. Aplikasi ini terdiri dari dua bagian, yaitu perangkat desa dan perangkat masyarakat. Bagian pertama mencetak akte ketidakmampuan, akte kelahiran, surat pernikahan, izin orang tua, dan dokumen pernikahan dan jenis kelamin untuk perjanjian administrasi pdf. Selain itu, masyarakat dapat melihat informasi tentang berita, agenda, dan dokumen tentang kegiatan desa terbaru. Kata Kunci: Layanan Administrasi, Informasi, Desa Sejati. Keywords : Administrative Services, Information, Village of Sejati, Kata Kunci: Layanan Administrasi, Informasi, Desa Sejati. Keywords : Administrative Services, Information, Village of Sejati, G-Tech : Jurnal Teknologi Terap Volume 7, No. 3, Juli 2023, hal. 1245-1255 E-ISSN: 2623-064x | P-ISSN: 2580-8737 Sistem Informasi Administrasi Desa Sejati Ke Menggunakan Framework Laravel Kiki Yasdomi1, Khairul Sabri2, Urfi Utami3, Do 1, 2, 3, 4, 5 Prodi Sistem Informasi, Fakultas Ilmu Komputer, U Informasi Artikel ABSTRAK Riwayat Artikel Diserahkan : 07-07-2023 Direvisi : 16-07-2023 Diterima : 18-07-2023 Pelayanan administrasi dengan kantor desa Mengirimkan informasi ke orang. Dengan meng manajemen desa yang waterfall, yang dapat d akurat. Aplikasi ini terd perangkat masyaraka ketidakmampuan, akte dan dokumen pernika administrasi pdf. Selai tentang berita, agenda, d Kata Kunci: ABSTRACT Layanan Administrasi, Informasi, Desa Sejati. services village administr office if administration activities carried out in person. To overcome t information system is waterfall method can be This application has tw community apparatus, certificates, birth certifica related to confirming agreements made in pdf about latest news, agend Keywords : Administrative Services, Information, Village of Sejati, Corresponding Author : Kiki Yasdomi Prodi Sistem Informasi, Fakultas Ilmu Komputer, Universi Jl.Tuanku Tambusai Jl. Raya Kumu, Rambah, Kec. Ramb Email: kikiyasdomi@upp.ac.id To overcome these problems, a real village manageme information system is proposed with the Laravel framework, th waterfall method can be computerized to be faster and more accurat This application has two parts, namely the village apparatus and th community apparatus, which displays the printing of disabili certificates, birth certificates, marriage certificates, parental consent, n related to confirming marriage and gender for administratio agreements made in pdf format and the public can view informatio about latest news, agendas and documents about village activities. Keywords : Administrative Services, Information, Village of Sejati, Corresponding Author : Kiki Yasdomi Prodi Sistem Informasi, Fakultas Ilmu Komputer, Universitas Pasir Pengaraian, Indonesia Jl.Tuanku Tambusai Jl. Raya Kumu, Rambah, Kec. Rambah Hilir, Kabupaten Rokan Hulu, Riau Email: kikiyasdomi@upp.ac.id G-Tech : Jurnal Teknologi Terapan Volume 7, No. 3, Juli 2023, hal. 1245-1255 E-ISSN: 2623-064x | P-ISSN: 2580-8737 Sistem Informasi Administrasi Desa Sejati Kecamatan Rambah Hilir Menggunakan Framework Laravel Kiki Yasdomi1, Khairul Sabri2, Urfi Utami3, Dona4, Amrul Khoiri5 1, 2, 3, 4, 5 Prodi Sistem Informasi, Fakultas Ilmu Komputer, Universitas Pasir Pengaraian, Indonesia Informasi Artikel ABSTRAK Riwayat Artikel Diserahkan : 07-07-2023 Direvisi : 16-07-2023 Diterima : 18-07-2023 Pelayanan administrasi kemasyarakatan desa sejati harus bolak-balik dengan kantor desa jika persyaratan administrasi tidak ada. Mengirimkan informasi tentang kegiatan desa melalui surat dan orang ke orang. Dengan menggunakan framework Laravel, sistem informasi manajemen desa yang sebenarnya dapat dibangun dengan metode waterfall, yang dapat dikomputerisasi menjadi lebih cepat dan lebih akurat. Aplikasi ini terdiri dari dua bagian, yaitu perangkat desa dan perangkat masyarakat. Bagian pertama mencetak akte ketidakmampuan, akte kelahiran, surat pernikahan, izin orang tua, dan dokumen pernikahan dan jenis kelamin untuk perjanjian administrasi pdf. Selain itu, masyarakat dapat melihat informasi tentang berita, agenda, dan dokumen tentang kegiatan desa terbaru. Kata Kunci: ABSTRACT Layanan Administrasi, Informasi, Desa Sejati. services village administration have to go back and forth with the village office if administration requirements do not exist. Information about activities carried out in the village by sending letters and person to person. To overcome these problems, a real village management information system is proposed with the Laravel framework, the waterfall method can be computerized to be faster and more accurate. Sistem Informasi Administrasi Desa Sejati Kecamatan Rambah Hilir Menggunakan Framework Laravel 2, 3, 4, 5 Prodi Sistem Informasi, Fakultas Ilmu Komputer, Universitas Pasir Pengaraian, Indonesia G-Tech : Jurnal Teknologi Terap Volume 7, No. 3, Juli 2023, hal. 1245-1255 E-ISSN: 2623-064x | P-ISSN: 2580-8737 Sistem Informasi Administrasi Desa Sejati Ke Menggunakan Framework Laravel Kiki Yasdomi1, Khairul Sabri2, Urfi Utami3, Do 1, 2, 3, 4, 5 Prodi Sistem Informasi, Fakultas Ilmu Komputer, U Informasi Artikel ABSTRAK Riwayat Artikel Diserahkan : 07-07-2023 Direvisi : 16-07-2023 Diterima : 18-07-2023 Pelayanan administrasi dengan kantor desa Mengirimkan informasi ke orang. Dengan meng manajemen desa yang waterfall, yang dapat d akurat. Aplikasi ini terd perangkat masyaraka ketidakmampuan, akte dan dokumen pernika administrasi pdf. Selai tentang berita, agenda, d Kata Kunci: ABSTRACT Layanan Administrasi, Informasi, Desa Sejati. services village administr office if administration activities carried out in person. To overcome t information system is waterfall method can be This application has tw community apparatus, certificates, birth certifica related to confirming agreements made in pdf about latest news, agend Keywords : Administrative Services, Information, Village of Sejati, Corresponding Author : Kiki Yasdomi Prodi Sistem Informasi, Fakultas Ilmu Komputer, Universi Jl.Tuanku Tambusai Jl. Raya Kumu, Rambah, Kec. Ramb Email: kikiyasdomi@upp.ac.id This application has two parts, namely the village apparatus and the community apparatus, which displays the printing of disability certificates, birth certificates, marriage certificates, parental consent, not related to confirming marriage and gender for administration agreements made in pdf format and the public can view information about latest news, agendas and documents about village activities. Keywords : Administrative Services, Information, Village of Sejati, Corresponding Author : Kiki Yasdomi Prodi Sistem Informasi, Fakultas Ilmu Komputer, Universitas Pasir Pengaraian, Indonesia Jl.Tuanku Tambusai Jl. Raya Kumu, Rambah, Kec. Rambah Hilir, Kabupaten Rokan Hulu, Riau Email: kikiyasdomi@upp.ac.id G-Tech : Jurnal Teknologi Terapan Volume 7, No. 3, Juli 2023, hal. 1245-1255 E-ISSN: 2623-064x | P-ISSN: 2580-8737 G-Tech : Jurnal Teknologi Terapan Volume 7, No. 3, Juli 2023, hal. 1245-1255 E-ISSN: 2623-064x | P-ISSN: 2580-8737 G-Tech : Jurnal Teknologi Terap Volume 7, No. 3, Juli 2023, hal. 1245-1255 E-ISSN: 2623-064x | P-ISSN: 2580-8737 Sistem Informasi Administrasi Desa Sejati Ke Menggunakan Framework Laravel Kiki Yasdomi1, Khairul Sabri2, Urfi Utami3, Do 1, 2, 3, 4, 5 Prodi Sistem Informasi, Fakultas Ilmu Komputer, U Informasi Artikel ABSTRAK Riwayat Artikel Diserahkan : 07-07-2023 Direvisi : 16-07-2023 Diterima : 18-07-2023 Pelayanan administrasi dengan kantor desa Mengirimkan informasi ke orang. Dengan meng manajemen desa yang waterfall, yang dapat d akurat. Aplikasi ini terd perangkat masyaraka ketidakmampuan, akte dan dokumen pernika administrasi pdf. Selai tentang berita, agenda, d Kata Kunci: ABSTRACT Layanan Administrasi, Informasi, Desa Sejati. services village administr office if administration activities carried out in person. To overcome t information system is waterfall method can be This application has tw community apparatus, certificates, birth certifica related to confirming agreements made in pdf about latest news, agend Keywords : Administrative Services, Information, Village of Sejati, Corresponding Author : Kiki Yasdomi Prodi Sistem Informasi, Fakultas Ilmu Komputer, Universi Jl.Tuanku Tambusai Jl. Raya Kumu, Rambah, Kec. Ramb Email: kikiyasdomi@upp.ac.id G-Tech : Jurnal Teknologi Terap Volume 7, No. 3, Juli 2023, hal. 1245-1255 E-ISSN: 2623-064x | P-ISSN: 2580-8737 Sistem Informasi Administrasi Desa Sejati Ke Menggunakan Framework Laravel Kiki Yasdomi1, Khairul Sabri2, Urfi Utami3, Do 1, 2, 3, 4, 5 Prodi Sistem Informasi, Fakultas Ilmu Komputer, U Informasi Artikel ABSTRAK Riwayat Artikel Diserahkan : 07-07-2023 Direvisi : 16-07-2023 Diterima : 18-07-2023 Pelayanan administrasi dengan kantor desa Mengirimkan informasi ke orang. Dengan meng manajemen desa yang waterfall, yang dapat d akurat. Aplikasi ini terd perangkat masyaraka ketidakmampuan, akte dan dokumen pernika administrasi pdf. Selai tentang berita, agenda, d Kata Kunci: ABSTRACT Layanan Administrasi, Informasi, Desa Sejati. services village administr office if administration activities carried out in person. To overcome t information system is waterfall method can be This application has tw community apparatus, certificates, birth certifica related to confirming agreements made in pdf about latest news, agend Keywords : Administrative Services, Information, Village of Sejati, Corresponding Author : Kiki Yasdomi Prodi Sistem Informasi, Fakultas Ilmu Komputer, Universi Jl.Tuanku Tambusai Jl. Raya Kumu, Rambah, Kec. Ramb Email: kikiyasdomi@upp.ac.id G-Tech : Jurnal Teknologi Terapan Volume 7, No. 3, Juli 2023, hal. 1245-1255 E-ISSN: 2623-064x | P-ISSN: 2580-8737 Sistem Informasi Administrasi Desa Sejati Kecamatan Rambah Hilir Menggunakan Framework Laravel Kiki Yasdomi1, Khairul Sabri2, Urfi Utami3, Dona4, Amrul Khoiri5 1, 2, 3, 4, 5 Prodi Sistem Informasi, Fakultas Ilmu Komputer, Universitas Pasir Pengaraian, Indonesia Informasi Artikel ABSTRAK Riwayat Artikel Diserahkan : 07-07-2023 Direvisi : 16-07-2023 Diterima : 18-07-2023 Pelayanan administrasi kemasyarakatan desa sejati harus bolak-bal dengan kantor desa jika persyaratan administrasi tidak ad Mengirimkan informasi tentang kegiatan desa melalui surat dan oran ke orang. Dengan menggunakan framework Laravel, sistem informa manajemen desa yang sebenarnya dapat dibangun dengan metod waterfall, yang dapat dikomputerisasi menjadi lebih cepat dan leb akurat. Aplikasi ini terdiri dari dua bagian, yaitu perangkat desa da perangkat masyarakat. Bagian pertama mencetak ak ketidakmampuan, akte kelahiran, surat pernikahan, izin orang tu dan dokumen pernikahan dan jenis kelamin untuk perjanjia administrasi pdf. Selain itu, masyarakat dapat melihat informa tentang berita, agenda, dan dokumen tentang kegiatan desa terbaru. Kata Kunci: ABSTRACT Layanan Administrasi, Informasi, Desa Sejati. services village administration have to go back and forth with the villa office if administration requirements do not exist. Information abo activities carried out in the village by sending letters and person person. PENDAHULUAN Pemerintahan Desa Sejati adalah lembaga pemerintah tingkat bawah yang berinteraksi langsung dengan masyarakat melalui berbagai layanan masyarakat. Layanan administrasi adalah salah satu layanan langsung kepada masyarakat yang mencakup pembuatan berbagai jenis surat rekomendasi dan surat keterangan, seperti surat keterangan pindah, surat keterangan tinggal, surat keterangan izin usaha, surat keterangan tidak mampu, surat keterangan kematian, surat keterangan penghasilan orang tua, surat keterangan hilang, dan surat keterangan yang terkena dampak COVID-19. Pengelolaan masyarakat umumnya dilakukan secara manual. Ini berarti This is an open access article under the CC BY license 1245 1245 This is an open access article under the CC BY license This is an open access article under the CC BY license Kiki Yasdomi DOI : 10.33379/gtech.v7i3.2876 bahwa orang yang membutuhkan layanan masyarakat harus datang ke kantor desa untuk mempelajari prosedur dan kemudian mengantri untuk mendapatkan layanan. Jika tidak ada persyaratan administrasi, proses pelayanan masyarakat seringkali memakan waktu lebih lama daripada batas waktu yang ditentukan. bahwa orang yang membutuhkan layanan masyarakat harus datang ke kantor desa untuk mempelajari prosedur dan kemudian mengantri untuk mendapatkan layanan. Jika tidak ada persyaratan administrasi, proses pelayanan masyarakat seringkali memakan waktu lebih lama daripada batas waktu yang ditentukan. Informasi tentang kegiatan di Desa Sejati dikirim melalui surat dan dari orang ke orang, yang mempersulit masyarakat untuk mendapatkan informasi penting jika dikirim sehari sebelum waktu kerja. Salah satu kemajuan terbesar dalam teknologi informasi saat ini adalah teknologi yang berbasis internet, juga dikenal sebagai web, yang memiliki kemampuan untuk menyediakan sistem layanan informasi di mana pun dan kapan pun. Dengan memanfaatkan layanan ini, informasi dan arsip dapat dikirim ke mana pun dan kapan pun tanpa dibatasi ruang dan waktu. Ini meningkatkan efisiensi dalam memberikan layanan kepada masyarakat. Menurut hasil penelitian lainnya, sistem informasi tidak hanya membantu pemerintah desa mencatat nomor surat, menulis surat, mencatat surat, membuat KTP dan KK, tetapi juga meningkatkan kinerja pekerjaan kantor desa (Susilowati & Chandra, 2018). Oleh karena itu, peneliti ingin menggunakan Framework Laravel untuk membuat Sistem Informasi Administrasi Desa Sejati di Kecamatan Rambah Hilir. Meskipun Framework Laravel bukan framework PHP yang banyak digunakan, sintaks Laravel yang ekspresif dan elegan dirancang khusus untuk memudahkan dan mempercepat proses pengembangan web. Selain itu, Laravel memiliki banyak fitur kontemporer yang sangat membantu pengembang dalam membuat aplikasi. Salah satu keunggulan Laravel adalah penggunaan Command Line Interface (CLI), yang membuat penulisan kode program lebih singkat, mudah dipahami, dan ekspresif. 3. Studi Literatur Pada tahap ini, peneliti melakukan pencarian teori untuk mendapatkan landasan teori yang baik untuk penelitian yang akan dilakukan. Landasan teori ini diperoleh dari berbagai buku, jurnal, dan juga internet. 1. Identifikasi masalah Pada tahap ini, peneliti mengidentifikasi masalah-masalah apa saja yang dialami oleh pihak Kantor Desa Sejati untuk menemukan kekurangan-kekurangan yang ada seperti laporan data penduduk, laporan data RT dan laporan surat yang sudah dibuat oleh penduduk, sehingga menjadi usulan yang dapat dijadikan sebagai perbaikan dan merumuskan masalah yang akan diangkat oleh peneliti. Sistem Informasi Administrasi … 2. Analisa masalah Pada tahap ini, peneliti melakukan analisis masalah yang terkait dengan temuan: informasi dikirim dari desa ke masyarakat lebih efisien dan efektif, dan semua masyarakat di Desa Sejati dapat mengaksesnya secara online setiap saat, yang memungkinkan untuk menyediakan data yang selalu up-to-date. PENDAHULUAN Di Laravel, terdapat routing yang menghubungkan user dan controller, sehingga controller tidak langsung menerima permintaan (Tamus Bin Tahir, et al, 2019). METODE PENELITIAN Berdasarkan kerangka kerja metodologi penelitian, pembahasan setiap tahap penelitian dapat diuraikan sebagai berikut: 1. Identifikasi masalah Sistem Informasi Administrasi … 8. Implementasi sistem. Sistem Administrasi Desa Sejati, Kecamatan Rambah Hilir Kabupaten Rokan Hulu Berbasis Web ini dapat diterapkan serta digunakan dan dengan menggunakan bantuan program tersebut diharapkan sistem ini dapat digunakan secara mudah dan praktis oleh pengguna. 4. Pengumpulan Data. Peneliti harus menggunakan teknik pengumpulan data tertentu untuk mendapatkan data yang diperlukan dalam penelitian ini, sehingga penelitian tentang perancangan "Sistem Informasi Administrasi Desa Sejati Kecamatan Rambah Hilir" dapat berjalan lancar,. Teknik pengumpulan data ini berfungsi sebagai bahan pendukung yang sangat berguna bagi penulis untuk menemukan atau mengumpulkan data yang diperlukan dalam penelitian ini. (Ibrahim & Auliya Rahman, 2019) yang di gunakan sebagai berikut : 1246 Kiki Yasdomi DOI : 10.33379/gtech.v7i3.2876 Analisis Kebutuhan Output Kebutuhan output dari sistem ini adalah sebagai berikut : 1. Laporan Data Penduduk 2. Laporan Data Surat Penduduk 6. Pembuatan sistem. 6. Pembuatan sistem. Pada tahap pembuatan sistem, peneliti melakukan pembuatan aplikasi sesuai dengan perancangan yang telah buat pada tahap sebelumnya. 7. Pengujian Sistem. a. Pengamatan (Observation) a. Pengamatan (Observation) Pengamatan terhadap studi kasus, di kantor Desa Sejati untuk mendapatkan data-data yang kongkrit dengan mengamati sistem yang berjalan. Pengamatan terhadap studi kasus, di kantor Desa Sejati untuk mendapatkan data-data yang kongkrit dengan mengamati sistem yang berjalan. b. Wawancara (Interview) Melakukan kegiatan wawancara (interview) dengan bagian kesekretariatan kantor Desa Sejati guna memperoleh keterangan-keterangan yang akurat mengenai hal-hal yang berhubungan dengan masalah surat menyurat yang dapat dipertanggung jawabkan kebenaran faktanya. ( ) Melakukan kegiatan wawancara (interview) dengan bagian kesekretariatan kantor Desa Sejati guna memperoleh keterangan-keterangan yang akurat mengenai hal-hal yang berhubungan dengan masalah surat menyurat yang dapat dipertanggung jawabkan kebenaran faktanya. c. Data Di sini, pengumpulan data dilakukan dengan membaca buku-buku tentang perancangan dan administrasi kependudukan, serta melalui situs web dan referensi lainnya yang terkait. Tujuan pengumpulan data ini adalah untuk mendapatkan data dan informasi yang diperlukan tentang masalah penelitian. Hasilnya akan berupa data dan informasi yang diperlukan tentang temuan penelitian. 7. Pengujian Sistem. Pengujian aplikasi dilakukan untuk mengidentifikasi kelemahan sistem secara keseluruhan. Metode pengujian Black Box digunakan untuk menguji Sistem Informasi Administrasi Desa Sejati Kecamatan Rambah Hilir. Ini berarti menguji hanya tampilan luar dan fungsionalitas sistem tanpa mengetahui proses sesungguhnya, hanya mengetahui input dan output. 8. Implementasi sistem. HASIL DAN PEMBAHASAN Analisa Kebutuhan Input Masukan dari sistem ini adalah dari penduduk (warga yang datang untuk mendapatkan surat dari desa), Anggota (petugas/admin, perangkat desa,dan warga). Kebutuhan input adalah sebagai berikut : 1. Input Data Warga 2. Input Data Surat Analisis Kebutuhan Output 5. Perancangan Sistem. 5. Perancangan Sistem. Salah satu tujuan dari desain model sistem adalah untuk memberikan gambaran umum tentang hubungan penggunaan dan untuk membuat proses pengolahan data administrasi Desa Sejati lebih mudah bagi pengguna. Dalam produksi dan pengembangan sistem, data flow diagram (DFD), yaitu diagram yang menggambarkan aliran data sistem dengan simbol, sangat membantu memahami logika, terstruktur, dan jelas sistem. (Utami et al, 2020). Sistem Informasi Administrasi … Sistem yang diusulkan Sistem informasi yang diusulkan akan menjadi solusi dari permasalahan pada sistem yang berjalan. Penggunaan waktu yang lama menjadi lebih singkat pada sistem yang baru, salah satunya pada saat pembuatan surat. Pada sistem yang lama surat dibuat hanya dengan 1247 Kiki Yasdomi DOI : 10.33379/gtech.v7i3.2876 menggunakan office. Hal ini dapat menyita waktu dan proses yang cukup lama. Pembuatan surat seperti ini menjadi suatu bentuk kasus dalam sistem yang berjalan. Untuk itu saya mengusulkan membuat sistem informasi yang lebih mudah dan efisien yang dapat mempermudah kinerja petugas, menghemat waktu warga dalam mendapatkan surat yang diajukan. Pada sistem yang diusulkan, hampir seluruh kegiatan dilaksanakan dengan cara terkomputerisasi dan disimpan dalam sebuah database, sehingga setiap data penduduk yang dientrikan menjadi data generate otomotis dalam pembuatan surat. Selain dari penghematan waktu hal ini juga meminimalisir kesalahan karena data yang disajikan secara otomatis diambil dari database. y g j Aliran sistem informasi yang diusulkan Gambar berikut menunjukkan aliran sistem informasi yang diusulkan: sistem secara terkomputerisasi dan memiliki database, sehingga laporan yang dihasilkan dari sistem tersebut sudah otomatis. Gambar 1. Aliran Sistem Informasi (ASI) Yang Diusulkan Gambar 1. Aliran Sistem Informasi (ASI) Yang Diusulkan Context Diagram Context Diagram Context Diagram Context diagram menunjukkan suatu sistem di dalam suatu organisasi. Ini menunjukkan batas sistem, interaksi antara entitas luar dan sistem, dan bagaimana informasi biasanya mengalir antara entitas dan sistem (Hasibuan, et al, 2022). g Context diagram menunjukkan suatu sistem di dalam suatu organisasi. Ini menunjukkan batas sistem, interaksi antara entitas luar dan sistem, dan bagaimana informasi biasanya mengalir antara entitas dan sistem (Hasibuan, et al, 2022). Context diagram menunjukkan suatu sistem di dalam suatu organisasi. Ini menunjukkan batas sistem, interaksi antara entitas luar dan sistem, dan bagaimana informasi biasanya mengalir antara entitas dan sistem (Hasibuan, et al, 2022). 1248 1248 Sistem Informasi Administrasi … Kiki Yasdomi DOI : 10.33379/gtech.v7i3.2876 Gambar 2. Context Diagram Gambar 2. Context Diagram Data Flow Diagram (DFD) Data Flow Diagram (DFD) Data Flow Diagram adalah Suatu sistem yang akan digunakan dapat digambarkan dengan diagram aliran data. Keuntungan menggunakan Data Flow Diagram (DFD) adalah membuat pengguna yang kurang mahir komputer lebih mudah memahami sistem apa yang akan dibuat atau dikembangkan. Gambar berikut menunjukkan bagaimana nilai pengolahan data terbentuk: Gambar 3. Data Flow Diagram Gambar 3. Data Flow Diagram Sistem Informasi Administrasi … Sistem Informasi Administrasi … 1249 DOI : 10.33379/gtech.v7i3.2876 Kiki Yasdomi Sistem Informasi Administrasi … HASIL Sistem Informasi Administrasi Surat menyurat pada Kantor Balai Desa Jatimulyo menggunakan sistem modern, beberapa proses masih menggunakan metode tradisional. Data pribadi dalam Microsoft Word dan Microsoft Excel, di mana terjadi kesalahan saat memasukkan Oleh karena itu, sistem pengelolaan surat menyurat dibuat untuk membuat warga dan pengurus lebih mudah dalam membuat surat. Literatur Review Untuk menyusun kerangka pemikiran yang jelas untuk perumusan masalah yang dibahas, terlihat pada table 1 adalah uraian tentang teori, hasil, dan bahan penelitian lainnya yang diperoleh dari bahan acuan. Tabel 1. Penelitian Terdahulu Tabel 1. Penelitian Terdahulu HASIL SMK YP Fatahillah 2 Cilegon telah menerapkan sistem informasi administrasi keuangan, yang membantu karyawan administrasi menemukan data keuangan dengan lebih cepat dan efektif. Sekolah ini menggunakan teknologi dengan pusat informasi berbasis web yang dinamis dan server hosting, yang memastikan bahwa kualitas data yang dihasilkan oleh sistem dapat diolah atau disimpan dalam jangka waktu yang lama, memungkinkan pembangunan sistem lain yang terintegrasi satu sama lain. NO PENULIS JUDUL 1. Roy Amrullah Ritonga, Penny Hendriyati Sistem Informasi Administrasi Keuangan Berbasis Web Menggunakan Framework Laravel Pada Smk Yp Fatahillah 2 2. Yohanes Mbiri, Kristina Sara, Anastasia Mude Rancang Bangun Sistem Informasi Adiministrasi Kependudukan Berbasis Website Menggunakan Metode Agile Di Desa Nginamanu Barat Kecamatan Wolomeze Kabupaten Ngada Sistem informasi administrasi kependudukan Desa Nginamanu Barat masih bersifat konvensional atau pencatatan manual. Aplikasi Sistem informasi administrasi kependudukan berbasis web mempermudah pencatatan dan mengurangi kesalahan atau kehilangan data. Sistem Informasi Pelayanan Kependudukan Desa Bangun Purba Timur Jaya Sistem Informasi Pelayanan Kependudukan Desa Bangun Purba Timur Jaya Testing dan implementasi dapat membuktikan bahwa pembuatan program sudah sesuai dengan Analisa menggunakan sistem komputerisasi di Desa Bangun Purba Timur Jaya, sudah dapat memenuhi kebutuhan kegiatan administrasi desa. Sistem informasi administrasi desa dirancang untuk memenuhi kebutuhan desa dan dapat meningkatkan kinerja dengan merespons setiap masukan pengguna dengan tepat. 4. Nabila Khaerunnisa, Eddy Maryanto, Nur Chasanah Sistem Informasi Pelayanan Administrasi Kependudukan Berbasis Web Menggunakan Metode Waterfall Di Desa Sidakangen Purbalingga 4. Nabila Khaerunnisa, Eddy Maryanto, Nur Chasanah Sistem Informasi Pelayanan Administrasi Kependudukan Berbasis Web Menggunakan Metode Waterfall Di Desa Sidakangen Purbalingga 4. Nabila Khaerunnisa, Eddy Maryanto, Nur Chasanah Sistem Informasi Pelayanan Administrasi Kependudukan Berbasis Web Menggunakan Metode Waterfall Di Desa Sidakangen Purbalingga Agar dapat digunakan secara berkelanjutan, sistem informasi Pelayanan Administrasi Kependudukan Desa Sidakangen Purbalingga saat ini tidak mendukung pengelolaan data administrasi kependudukan. Oleh karena itu, untuk mengintegrasikan semua data administrasi kependudukan, sebuah sistem informasi berbasis web diperlukan. Dengan demikian, data tersebut dapat digunakan sepenuhnya untuk tujuan membuat surat keterangan dan surat pengantar. 1250 1250 DOI : 10.33379/gtech.v7i3.2876 Kiki Yasdomi NO PENULIS JUDUL HASIL 5. Sistem Informasi Administrasi … Literatur Review Jeni Sagita Putri M, Adhie Thyo Priandika, Yuri Rahmanto, Tia Nanda Pratiwi, Johansyah Sistem Informasi Administrasi Surat Menyurat Pada Kantor Balai Desa Jatimulyo Sistem Informasi Administrasi Surat menyurat pada Kantor Balai Desa Jatimulyo menggunakan sistem modern, beberapa proses masih menggunakan metode tradisional. Data pribadi dalam Microsoft Word dan Microsoft Excel, di mana terjadi kesalahan saat memasukkan Oleh karena itu, sistem pengelolaan surat menyurat dibuat untuk membuat warga dan pengurus lebih mudah dalam membuat surat. NO PENULIS JUDUL HASIL 5. Jeni Sagita Putri M, Adhie Thyo Priandika, Yuri Rahmanto, Tia Nanda Pratiwi, Johansyah Sistem Informasi Administrasi Surat Menyurat Pada Kantor Balai Desa Jatimulyo Sistem Informasi Administrasi Surat menyurat pada Kantor Balai Desa Jatimulyo menggunakan sistem modern, beberapa proses masih menggunakan metode tradisional. Data pribadi dalam Microsoft Word dan Microsoft Excel, di mana terjadi kesalahan saat memasukkan Oleh karena itu, Sistem Informasi Administrasi … Implementasi Sistem p Sistem dibangun menggunakan framework Laravel, yang membuat proses manipulasi data menjadi lebih sederhana, jelas, dan terstruktur karena memanipulasi data dalam sistem database dengan fungsionalitas Laravel yang lengkap. Sistem ini membutuhkan beberapa halaman untuk proses administrasi. Administrator memiliki akses penuh ke halaman Proses Admin Admin. Setelah login, hal pertama yang Anda lihat pada halaman administrasi adalah halaman dashboard yang menampilkan informasi tentang administrasi administrasi. Halaman utama dari sistem ini adalah halaman administrasi, yang menampilkan data administrasi yang disimpan. Testing (Pengujian) Pengujian yang dilakukan terfokus pada setiap menu yang terdapat dalam Sistem Informasi Administrasi Desa Sejati Kecamatan Rambah Hilir menggunakan Framework Laravel, apakah sudah berfungsi dengan baik atau tidak, dan memastikan semua statemen telah diuji serta data yang di input kan menghasilkan data yang diharapkan. Berikut adalah bentuk tampilan dari Sistem Informasi Administrasi Desa Sejati Kecamatan Rambah Hilir menggunakan Framework Laravel yang dibuat: Berikut adalah bentuk tampilan dari Sistem Informasi Administrasi Desa Sejati Kecamatan Rambah Hilir menggunakan Framework Laravel yang dibuat: Rambah Hilir menggunakan Framework Laravel yang dibuat: a. Tampilan login Gambar 4. Tampilan Login Gambar 4. Tampilan Login 1251 1251 DOI : 10.33379/gtech.v7i3.2876 Kiki Yasdomi b. Tampilan Halaman Utama Gambar 5. Tampilan Halaman Utama c. Tampilan Data Semua Penduduk Gambar 6. Tampilan Data Semua Penduduk d. Tampilan Data Pengajuan Surat b. Tampilan Halaman Utama b. Tampilan Halaman Utama Gambar 5. Tampilan Halaman Utama Gambar 5. Tampilan Halaman Utama c. Tampilan Data Semua Penduduk Gambar 6. Tampilan Data Semua Penduduk d. Tampilan Data Pengajuan Surat Gambar 7. Tampilan Data Pengajuan Surat Gambar 5. Tampilan Halaman Utama p c. Tampilan Data Semua Penduduk Gambar 6. Tampilan Data Semua Penduduk c. Tampilan Data Semua Penduduk Gambar 6. Tampilan Data Semua Penduduk d. Tampilan Data Pengajuan Surat Gambar 7. Tampilan Data Pengajuan Surat d. Tampilan Data Pengajuan Surat d. Tampilan Data Pengajuan Surat Gambar 7. Tampilan Data Pengajuan Surat 1252 1252 DOI : 10.33379/gtech.v7i3.2876 Kiki Yasdomi e. Tampilan Tambah Data Surat Gambar 8. Tampilan Tambah Data Surat f. Tampilan Cetak Surat Keterangan Tidak Mampu Gambar 9. Tampilan Cetak Keterangan Tidak Mampu g. Tampilan Tambah Data Penduduk Miskin e. Tampilan Tambah Data Surat Gambar 8. Tampilan Tambah Data Surat e. Tampilan Tambah Data Surat Sistem Informasi Administrasi … 1253 Gambar 8. Tampilan Tambah Data Surat f. Tampilan Cetak Surat Keterangan Tidak Mampu Gambar 9. Tampilan Cetak Keterangan Tidak Mampu g. Tampilan Tambah Data Penduduk Miskin Gambar 10. Tampilan Tambah Data Penduduk Miskin Gambar 8. h. Tampilan Laporan p p Gambar 11. Tampilan Laporan Gambar 11. Tampilan Laporan Saran Untuk penelitian berikutnya, selain administrasi desa, penelitian harus mencakup profil dan kegiatan desa serta peningkatan sistem yang belum selesai, seperti keuangan desa. Oleh karena itu, tidak hanya informasi administrasi yang harus disajikan, tetapi juga dapat dibuatkan sistem baru yang dapat terhubung dengan sistem yang sudah ada, seperti APBDes, sistem informasi Pegawai Desa, dan semua lembaga yang ada di Desa Sejati Kecamatan Rambah Hilir. Aplikasi saat ini sangat sederhana; namun, pengembangan berikutnya diharapkan memungkinkan desain yang lebih kreatif dengan antarmuka yang lebih menarik untuk meningkatkan efisiensi dan efektivitas aplikasi ini di masa depan. UCAPAN TERIMA KASIH Ucapan terima kasih kepada Kepala Desa dan Seluruh Staff Desa Sejati Kecamatan Rambah Hilir kesedian waktu dan pengumpulan data dalam melakukan penelitian. Kesimpulan Hasil analisis perancangan dan pengujian program menunjukkan bahwa Sistem Informasi berbasis IT (Information Technology) di Desa Sejati Kecamatan Rambah Hilir terwujudnya sarana bagi warga dengan staf pemerintahan Desa, sehingga memudahkan untuk mengajukan surat, meningkatkan efisiensi dan efektivitas administrasi Desa dan mendapatkan informasi yang terbaru berkaitan dengan administrasi Desa. Implementasi Sistem Tampilan Tambah Data Surat Gambar 8. Tampilan Tambah Data Surat f. Tampilan Cetak Surat Keterangan Tidak Mampu Gambar 9. Tampilan Cetak Keterangan Tidak Mampu f. Tampilan Cetak Surat Keterangan Tidak Mampu Gambar 9. Tampilan Cetak Keterangan Tidak Mampu Gambar 9. Tampilan Cetak Keterangan Tidak Mampu g. Tampilan Tambah Data Penduduk Miskin Gambar 10. Tampilan Tambah Data Penduduk Miskin g. Tampilan Tambah Data Penduduk Miskin Gambar 10. Tampilan Tambah Data Penduduk Miskin 1253 1253 Sistem Informasi Administrasi … DOI : 10.33379/gtech.v7i3.2876 Kiki Yasdomi Sistem Informasi Administrasi … REFERENSI Firdaus, H. C. (2021). Sistem Informasi Manajemen Bimbingan Dan Konseling Di SMPIT Nur Al Rahman Cimahi (Doctoral dissertation, Universitas Komputer Indonesia). Hasibuan, W., & Bunda, Y. P. (2022). Aplikasi Pelayanan Administrasi Kantor Desa Bangun Purba Timur Jaya. RJOCS (Riau Journal of Computer Science), 8(2), 123-129. Ibrahim, I., & Rahman, A. (2019). Sistem Informasi Kearsipan Online Pada Pt. Tower Bersama Group (Tbg) Banjarmasin. Technologia: Jurnal Ilmiah, 10(1), 40-42. Ibrahim, I., & Rahman, A. (2019). Sistem Informasi Kearsipan Online Pada Pt. Tower Bersama Group (Tbg) Banjarmasin. Technologia: Jurnal Ilmiah, 10(1), 40-42. 1254 1254 Sistem Informasi Administrasi … DOI : 10.33379/gtech.v7i3.2876 Kiki Yasdomi Khaerunnisa, N., Maryanto, E., & Chasanah, N. (2021). Sistem Informasi Pelayanan Administrasi Kependudukan Berbasis Web Menggunakan Metode Waterfall Di Desa Sidakangen Purbalingga. Jurnal Ilmu Komputer dan Informatika, 1(2), 99-108. Mbiri, Y., Sara, K., & Mude, A. (2023). Rancang Bangun Sistem Informasi Adiministrasi Kependudukan Berbasis Website Menggunakan Metode Agile Di Desa Nginamanu Barat Kecamatan Wolomeze Kabupaten Ngada. Simtek: jurnal sistem informasi dan teknik komputer, 8(1), 148-153. Ritonga, R. A., & Hendriyati, P. (2020). Sistem Informasi Administrasi Keuangan Berbasis Web Menggunakan Framework Laravel Pada Smk Yp Fatahillah 2. Jurnal Ilmiah Sains dan Teknologi, 4(1), 35-48. Susilowati, M., & Chandra, D. (2018). Sistem Informasi Administrasi Desa Di Kantor Desa Sumbersekar. Kurawal-Jurnal Teknologi, Informasi dan Industri, 1(1), 40-44. Sagita, J., Priandika, A. T., Rahmanto, Y., Pratiwi, T. N., & Johansyah, J. (2022). Sistem Informasi Administrasi Surat Menyurat Pada Kantot Balai Desa Jatimulyo. Jurnal Ilmiah Infrastruktur Teknologi Informasi, 3(1), 30-37. Tahir, T. B., Rais, M., & Sirad, M. A. H. (2019). Aplikasi Point OF Sales Menggunakan Framework Laravel. JIKO (Jurnal Informatika dan Komputer), 2(2), 55-59. Utami, U., Yasdomi, K., Sabri, K., & Safitri, N. (2023). Rancangan Sistem Informasi Promosi Produk UMKM Desa Rambah Tengah Hulu Berbasis Web. REMIK: Riset dan E-Jurnal Manajemen Informatika Komputer, 7(1), 713-723 Yasdomi, K. (2022). Sistem Informasi Pelayanan Kependudukan Desa Bangun Purba Timur Jaya. RJOCS (Riau Journal of Computer Science), 8(2), 139-148. 1255 1255
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Subclinical recurrent neck pain and its treatment impacts motor training-induced plasticity of the cerebellum and motor cortex
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OPEN ACCESS The cerebellum processes pain inputs and is important for motor learning. Yet, how the cer- ebellum interacts with the motor cortex in individuals with recurrent pain is not clear. Func- tional connectivity between the cerebellum and motor cortex can be measured by a twin coil transcranial magnetic stimulation technique in which stimulation is applied to the cerebellum prior to stimulation over the motor cortex, which inhibits motor evoked potentials (MEPs) produced by motor cortex stimulation alone, called cerebellar inhibition (CBI). Healthy indi- viduals without pain have been shown to demonstrate reduced CBI following motor acquisi- tion. We hypothesized that CBI would not reduce to the same extent in those with mild- recurrent neck pain following the same motor acquisition task. We further hypothesized that a common treatment for neck pain (spinal manipulation) would restore reduced CBI follow- ing motor acquisition. Motor acquisition involved typing an eight-letter sequence of the let- ters Z,P,D,F with the right index finger. Twenty-seven neck pain participants received spinal manipulation (14 participants, 18–27 years) or sham control (13 participants, 19–24 years). Twelve healthy controls (20–27 years) also participated. Participants had CBI measured; they completed manipulation or sham control followed by motor acquisition; and then had CBI re-measured. Following motor acquisition, neck pain sham controls remained inhibited (58 ± 33% of test MEP) vs. healthy controls who disinhibited (98 ± 49% of test MEP, P<0.001), while the spinal manipulation group facilitated (146 ± 95% of test MEP, P<0.001). Greater inhibition in neck pain sham vs. healthy control groups suggests that neck pain may change cerebellar-motor cortex interaction. The change to facilitation suggests that spinal manipulation may reverse inhibitory effects of neck pain. Citation: Baarbe´ JK, Yielder P, Haavik H, Holmes MWR, Murphy BA (2018) Subclinical recurrent neck pain and its treatment impacts motor training- induced plasticity of the cerebellum and motor cortex. PLoS ONE 13(2): e0193413. https://doi. org/10.1371/journal.pone.0193413 Editor: Tifei Yuan, Shanghai Mental Health Center, CHINA Received: October 5, 2017 Accepted: February 9, 2018 Published: February 28, 2018 Copyright: © 2018 Baarbe´ et al. This is an open access article distributed under the terms of the Creative Commons Attribution License, which permits unrestricted use, distribution, and reproduction in any medium, provided the original author and source are credited. Data Availability Statement: All relevant data are within the paper and its Supporting Information files. RESEARCH ARTICLE Julianne K. Baarbe´1,2, Paul Yielder3,4, Heidi Haavik5, Michael W. R. Holmes6, Bernadette Ann Murphy3* Julianne K. Baarbe´1,2, Paul Yielder3,4, Heidi Haavik5, Michael W. R. Holmes6, Bernadette Ann Murphy3* 1 Division of Neurology, Krembil Research Institute, University Health Network, Toronto, Ontario, Canada, 2 Institute of Medical Science, Faculty of Medicine, University of Toronto, Toronto, Ontario, Canada, 3 Faculty of Health Sciences, University of Ontario Institute of Technology, Oshawa, Ontario, Canada, 4 Faculty of Health, School of Medicine, Deakin University, Waurn Ponds, Victoria, Australia, 5 Centre for Chiropractic Research, New Zealand College of Chiropractic, Mount Wellington, Auckland, New Zealand, 6 Department of Kinesiology, Faculty of Applied Health Sciences, Brock University, St. Catharines, Ontario, Canada a1111111111 a1111111111 a1111111111 a1111111111 a1111111111 * Bernadette.Murphy@uoit.ca * Bernadette.Murphy@uoit.ca Introduction Banting and Charles Best Canada Graduate Scholarships (JKB), Ontario Graduate Scholarships (JKB), and University of Ontario Institute of Technology (JKB). Other than funding from these agencies, the authors have no competing interests to disclose. The funders had no role in study design, data collection and analysis, decision to publish, or preparation of the manuscript. The neck is linked biomechanically and neurologically to the upper limbs, and yet, we know little about the mechanisms by which altered sensory feedback from the neck due to pain, fatigue, and altered posture affects upper limb sensorimotor integration (SMI) and the ability to learn new motor skills [1–4]. Motor learning refers to the acquisition or improvement of a motor skill with practice [5]. The cerebellum is known to undergo neuroplastic changes fol- lowing motor training and is responsible for modulation of motor circuitry [6]. It plays a key role in processing sensory input to predict sensory consequences of movement for online motor corrections as well as for updating body schema in feedforward models of motor con- trol [7], which allows corrections to be made prior to the time physically needed to receive sen- sory feedback from distal sources such as the hand [8]. Competing interests: The authors have declared that no competing interests exist. Neck pain has been shown to influence sensorimotor function in older adults [9]. In the aforementioned study, the authors evaluated a range of sensorimotor functional tests and took into account other conditions that participants suffered from, yet found that the older adults with neck pain performed significantly worse than older adults who did not have neck pain [9]. The authors suggested that altered sensory modulation from the neck to the central nervous system (CNS) was likely responsible for the poor sensorimotor performance observed in this group [9]. Motor consequences of pain are considered to be integrated via thalamocortical-basal ganglia loops [10] and cerebellothalamocortical loops [11]. In the cere- bellum, right and left lobules VI and VIIb demonstrate greater fMRI activation during pain and motor processing, in correlation with parallel activation of the thalamus and supplemen- tary motor area [12]. Patients with cerebellar infarct showed greater sensitivity to experimen- tal pain and poor motor coordination on cerebellar tasks [13]. Recurrent neck pain and its treatment impacts plasticity of the cerebellum and motor cortex OPEN ACCESS Funding: The authors received funding from the Australian Spinal Research Foundation (LG 2013- 22) (BM, MH, HH), Natural Sciences and Engineering Research Council of Canada Discovery Grants (BM), and Canada Foundation for Innovation - John R Evans Leaders Fund (BM). Graduate student funding was provided through Canadian Institutes of Health Research - Frederick 1 / 19 PLOS ONE | https://doi.org/10.1371/journal.pone.0193413 February 28, 2018 PLOS ONE | https://doi.org/10.1371/journal.pone.0193413 February 28, 2018 Ethical approval Each participant provided informed consent both in writing and orally, and the study was per- formed in keeping with the human right principles set out in the Declaration of Helsinki [30]. Ethics approval for the procedures were obtained from the University of Ontario Institute of Technology (UOIT) Research Ethics Board. Recurrent neck pain and its treatment impacts plasticity of the cerebellum and motor cortex discerned and why some fail to respond to conservative interventions in subjects with chronic musculoskeletal disorders [25]. One common treatment for neck pain is manual therapy, and in particular, spinal manipu- lation. Spinal manipulation alters firing from paraspinal muscles spindles [26], increases pain thresholds [27], changes functional connectivity in brain areas that process pain [28], and can alter motor output [22,29]. Spinal manipulation therefore, may affect SMI and cerebellar-corti- cal interactions. This study sought to explore whether subclinical recurrent neck pain influ- ences cerebellar-M1 functional connectivity by comparing CBI responses before and after a novel motor sequence task in subclinical recurrent neck pain and healthy participants and by considering whether treatment with spinal manipulation changes the CBI response to motor acquisition. We hypothesized that healthy subjects would reduce CBI following motor acquisi- tion (as previously found by Baarbe´ et al. [20], and subclinical recurrent neck pain subjects would have less reduced CBI following motor skill acquisition. We further hypothesized that spinal manipulation would restore CBI to levels similar to healthy controls. PLOS ONE | https://doi.org/10.1371/journal.pone.0193413 February 28, 2018 Introduction The reciprocal role of the cerebellum to integrate sensory inputs and coordinate movements supports the proposition that painful inputs from the neck are likely to result in altered cerebellar integration and expression of motor outputs. Transcranial magnetic stimulation (TMS) can be used to treat and measure the nervous sys- tem [14–17]. Functional connectivity between the cerebellum and motor areas can be assessed with TMS applied over the cerebellum followed 5–8 milliseconds later by TMS over the contra- lateral motor cortex (M1), which results in an inhibited motor response in distal hand muscles as compared to the motor response produced by TMS over M1 alone. This inhibited response is called cerebellar inhibition (CBI) [18,19]. Motor sequence training in healthy controls results in reduced CBI across a range of conditioning stimulus intensities [20]. The presence of neck pain alters both neck and limb sensorimotor function and motor con- trol [9], and even milder forms of neck dysfunction can impact sensorimotor function [21,22]. These studies were performed with subclinical neck pain participants, or people with untreated mild-to-moderate recurrent neck pain [23,24]. Such recurrent pain represents a promising model to investigate long term consequences of altered sensory input from the neck on SMI. Whether subclinical recurrent neck pain alters motor learning is currently unknown. If this is the case, it could help explain why maladaptive motor patterns are maintained, potentially set- ting up a cycle of recurrent and chronic pain. There is a large body of evidence that reveals structural and functional changes within the CNS of people with chronic musculoskeletal dis- orders [25]. These changes may initially be beneficial, but as they persist they are thought to be influential in the pathophysiology of the condition and the developmental recurrence and maintenance of chronic symptoms [25]. Neuroplastic changes within different areas of the CNS are likely to help explain the transi- tion from acute to recurrent to chronic conditions, sensory-motor findings, perceptual distur- bances, why some individuals continue to experience pain when no structural cause can be PLOS ONE | https://doi.org/10.1371/journal.pone.0193413 February 28, 2018 2 / 19 Subjects Twenty-seven subjects (16 females and 11 males; range, 18–27 years old; mean age ± SD, 21.1 ± 1.9 years) with recurrent mild neck pain and muscle tension, but minimal acute pain on the day of testing, participated in the study. Only untreated cases were studied, and as such these cases fit criteria previously described for subclinical neck pain [3,21,23,24,31–33]. The degree of pain and/or discomfort resulting from neck muscle tension was graded with the Chronic Pain Grade Scale [34,35]. This scale categorizes average pain intensity and disability over six months between Grade 0, meaning the participant experienced minimal neck pain and no disability in the previous six months, to Grade IV, meaning the participant experienced severe pain intensity and disability in the previous six months. Inclusion required a rating between Grade I to III, with pain- or discomfort-free days when they could be tested. People who were in extreme pain (e.g. Grade IV) were intentionally not tested so that pain during movement would not limit task performance. Rather, we sought to minimize the confounding effect of pain on movement patterns, as the intention of this study was to investigate the under- lying changes resulting from ongoing changes in sensory information from the neck. Such patients would also have extreme difficulty sitting through several hours of the experiment. S l l h l f d d d h bl dl ll d Spinal manipulation or sham control were first randomized and then blindly allocated to the neck pain participants. Fourteen participants (8 females and 6 males; range, 18–27 years old; mean age ± SD, 21.2 ± 2.2 years) were part of the spinal manipulation group. Thirteen par- ticipants (8 females and 5 males; range, 19–24 years old; mean age ± SD, 21.0 ± 1.6 years) formed the sham control group. Participants were all right-handed, and had a mean ± SD score on the Edinburgh Handedness Inventory [36] of 73.9 ± 19.8 in the neck pain sham con- trol group and 76.8 ± 20.7 in the spinal manipulation group. Exclusion criteria Exclusion to participate included major structural injuries or anomalies to the cervical spine including disk herniation or fracture. As well, participants were excluded if they had received manual therapy or care for their neck in the previous three months. Exclusion for TMS included prior head injury, history of epilepsy, prior heart condition, recent intake of neuroac- tive medication, pregnancy, and metal implants in the head or upper body (e.g. pacemakers). Other exclusion items included inflammatory or system conditions (e.g. rheumatoid arthritis or infection), intake of anti-coagulant medication or bleeding disorders, vertigo or dizziness. Participants were additionally screened using a clinical practice guideline to manage the theo- retical risk of vertebra-basilar stroke [37]. Participants were excluded who: 1) had a history of cervical artery dissection; stroke; acute neck, occipital or head pain that is severe and unlike any previously experienced; 2) had existing vertebral artery disease as evidenced by any one of the following: unilateral facial paresthesia, objective cerebellar defects, lateral medullary signs or symptoms (i.e. dysphagia, dysphonia, dysarthria, diplopia, ataxia, vertigo, nystagmus, hemi- anesthesia or unilaterally narrow pupil) or visual field defects; 3) Active cervical spine cord injury; 4) Acute cardiac disease. Neck pain characteristics Frequency, duration, and location of neck pain, as well as the severity of neck pain were docu- mented. To measure severity of neck pain, participants were shown a continuous 10 cm visual analog scale (VAS) and were asked to mark the severity of worse pain experienced in the previ- ous six months. These scores were collected at the time of enrollment along with the Chronic Pain Grade Scale Grade [34,35]. Subjects Data were also collected from twelve healthy controls (2 females and 10 males; range, 20–27 years old; mean age ± SD, 22.4 years ± 2.2 years) who were pain free during testing and had no PLOS ONE | https://doi.org/10.1371/journal.pone.0193413 February 28, 2018 3 / 19 Recurrent neck pain and its treatment impacts plasticity of the cerebellum and motor cortex past history of neck pain or tension. Healthy participants were also right-handed, and had a mean ± SD score of 65.0 ± 31.8 on the Edinburgh Handedness Inventory. PLOS ONE | https://doi.org/10.1371/journal.pone.0193413 February 28, 2018 Experimental protocol The intervention consisted of spinal manipulation or sham control (~5–10 minutes) and motor sequence learning (~15 minutes). https://doi.org/10.1371/journal.pone.0193413.g001 https://doi.org/10.1371/journal.pone.0193413.g001 contralateral (left-hand) side and was held in a posterior direction approximately 45 degrees from the sagittal plane. This coil was connected to a Magstim 2002 (Magstim Co., Whitland, Dyfed, UK) and stimulator output was adjusted to elicit test MEPs ~ 0.5 millivolts (mV) in peak-to-peak amplitude. A test MEP of ~0.5 mV in peak-to-peak amplitude was selected since test MEPs less than 1 mV have been shown to be the most consistent for showing cerebellar inhibition [18,19]. Cerebellar inhibition Test MEP amplitude was found from the average of sixteen MEPs elicited by the figure-of- eight coil over M1. CBI was elicited by firing of the double-cone coil 5 ms in advance of the fig- ure-of-eight coil. Ten cerebellar-M1 MEPs were elicited at 5% intensity increments of the cere- bellar coil in ascending order (on average five cerebellar intensities were tested depending on when inhibition had reached 50 percent). Offline CBI50 was determined as the stimulator out- put of the double cone coil that would elicit a MEP ~50 percent of the test MEP alone, as described in Baarbe´ et al. [20]. CBI50 during the experiment was estimated, but to ensure that the stimulus for 50 percent level of CBI was not over- or under-estimated (a finding reported by Fisher et al. [40], additional CBI was measured at stimulator intensities above CBI50. Once CBI had been collected, resting motor threshold (RMT) was determined as the stimulator intensity that would elicit five out of ten MEPs with peak-to-peak amplitudes equal to or greater than 50 microvolts (μV). This entire protocol, with the inclusion of RMT and test MEP collections, was repeated before and after the intervention of manipulation or sham control and upper limb motor acquisition. Experimental protocol All participants attended a session in which CBI was measured before and after the combined intervention (Fig 1). The CBI technique involved application of TMS over the cerebellum, ipsi- lateral to the right hand, and over M1 contralateral to the right hand. When TMS is applied over the left M1, a muscle twitch volley is produced and recorded from the right distal hand muscle. The combination of cerebellar and M1 stimulations at an inter-stimulus interval 5–8 milliseconds apart causes inhibition of the M1 muscle twitch volley [19,38]. Participants sat upright on a chair with their right arm resting on a pillow on their lap. Motor evoked potentials (MEPs) were recorded from the first dorsal interosseus of the right hand using disposable bipolar Ag/AgCl electrodes (Meditrace 130, Kendall, Mansfield, MA, USA). MEPs were amplified (x 1000) and band-pass filtered (20–1000 Hz) through a Cam- bridge Electronic Design 1902 amplifier (CED, Cambridge, England), sampled at 5 KHz (CED 1401, Cambridge, England) and recorded as a digital signal (Signal 4.08, CED, Cambridge, England). Two TMS coils were used in the experiment. The first coil, a double cone coil (11 cm diam- eter), was held over the cerebellum, ipsilateral to the right hand, at the midline between the inion and the external auditory meatus at the level of, or slightly above the level of, the inion to elicit optimal MEP suppression as described by Ugawa et al. [19] (Fig 1). This coil connected to a Magstim Bistim (Magstim Co., Whitland, Dyfed, UK) which channels the voltage from two Magstim 2002 units together so that the output is 113% greater than output from a single unit [39]. The second coil was a figure-of-eight coil (9 cm diameter) held over M1 on the 4 / 19 PLOS ONE | https://doi.org/10.1371/journal.pone.0193413 February 28, 2018 Recurrent neck pain and its treatment impacts plasticity of the cerebellum and motor cortex Fig 1. Experiment workflow in which CBI was measured before and after an intervention. The intervention consisted of spinal manipulation or sham control (~5–10 minutes) and motor sequence learning (~15 minutes). https://doi.org/10.1371/journal.pone.0193413.g001 Fig 1. Experiment workflow in which CBI was measured before and after an intervention. The intervention consisted of spinal manipulation or sham control (~5–10 minutes) and motor sequence learning (~15 minutes). Fig 1. Experiment workflow in which CBI was measured before and after an intervention. Sham procedure For the sham procedure, participants were moved to the reclining chair. Light palpation was applied to the neck, and the head was gently moved into lateral flexion and rotation in a similar manner to the actual neck manipulation, without applying the high-velocity, low-amplitude manipulative thrust. This condition was carried out to ensure that the changes that were mea- sured after the manipulation were not simply due to the passage of time, or due to the activa- tion of muscle spindles, joint receptors or cutaneous touch that would occur as the neck is positioned for cervical spine manipulation. All of the neck pain controls (n = 13) and eight of the 12 healthy controls received the sham procedure. All participants, regardless of their group, completed the motor sequence acquisition task before completing the final CBI measurements. Motor acquisition task The motor acquisition task involved typing randomized eight-letter sequences of the letters Z, P, D, F (i.e. Z, D, P, Z, F, P, D, D) as quickly and as accurately as possible (E-Prime 2.0, Psy- chology Software Tools, Sharpsburg, Pennsylvania). This task was performed on a specially- designed keyboard to encourage right index finger adduction-abduction to reach individual keys. The task took participants ~15 minutes to complete and was selected because similar tasks have been shown to activate the cerebellum [45,46]. Performance on the task was mea- sured as the response time to press each key sequentially as well as the accuracy of each key selection. To evaluate performance, participants completed a short test block (~1–2 minutes) comprised of ten instances of eight-letter sequences. Participants completed this short test block at the beginning of the study before the TMS collection. Following TMS and spinal manipulation/sham control, participants then completed another short test block followed by a longer motor acquisition block (~10 minutes) and a final short test block. Immediately upon completing the motor acquisition task, we re-measured CBI. The entire length of the motor acquisition task (~15 minutes) was a duration that did not fatigue the participants, yet pro- duced significant practice effects [20]. A brief time elapsed (~5 minutes) from the time that participants finished typing to when CBI was retested, during which time we repositioned the double-coned coil over the cerebellum and rested MEPs over M1 alone. Electrodes placed on the first dorsal interosseous recorded background muscle activity while completing the task. Recurrent neck pain and its treatment impacts plasticity of the cerebellum and motor cortex time of the intervention or control (five to ten minutes), the participant was moved to a reclining chair. Electrodes were kept on the participant, and the only change to the experi- mental setup was that the leads were unplugged from their acquisition units. Care was taken to ensure that the participant returned to the same posture in the experimental chair as before the intervention. Spinal manipulation A practicing registered chiropractor applied spinal manipulation to the regions of palpable tenderness and restricted movement in the cervical spine [41–44]. The manipulations per- formed involved high-velocity, low-amplitude spinal manipulation. All treated areas of the neck region were documented and recorded on the participant’s file alongside the frequency, location, duration and severity described by the participant. For the duration of the brief 5 / 19 PLOS ONE | https://doi.org/10.1371/journal.pone.0193413 February 28, 2018 To evaluate motor-training induced plasticity, response time and accuracy was assessed across groups before and after the motor acquisition task. Accuracy to perform the motor sequence task was calculated out of a maximum accuracy response of 80 (score of 72 = 90% accuracy). Values are reported as mean ± 1 SD in the text and mean ± 1 SEM in figures. Statistics The frequency, severity, duration of neck pain and Chronic Pain Grade Scale between sham and treatment recurrent neck pain groups were evaluated with independent-samples t tests. To assess changes to test MEP amplitude and RMT pre- and post-intervention, a 3 x 2 mixed- design repeated-measures ANOVA was applied. The between-subjects factor was group (neck pain sham control, neck pain manipulation, and healthy controls) and the repeated within- subject variable included time (pre- and post-intervention). We then applied a repeated-measure, 3 x 2 x 3 mixed-design analysis of variance (ANOVA) to assess CBI change across the three groups. The between-subjects factor was group (neck pain sham control, neck pain manipulation, and healthy controls) and the repeated within- subject variables included time (pre- and post-intervention) and stimulator intensities (CBI50, CBI50+5% and CBI50+10%). Post-hoc Welch’s one-way ANOVA and Welch’s t tests were used to assess post-intervention CBI differences between the three groups [48]. Comparisons before and after the intervention were assessed with paired t tests, and Bonferroni correction was applied for multiple comparisons. Relationships between mean CBI change and pain severity were assessed with Spearman rank-order correlation. Mean response time on motor sequence acquisition was assessed with a repeated-measures, 3 x 3 mixed-design ANOVA. The between group factor included group (neck pain controls, neck pain manipulation, and healthy controls), and the repeated within group factor included time (baseline at the start of the experiment, pre-task condition, and post-task condition). Accurate and inaccurate responses for each group were tallied using a 6 column, 2 row χ2 test to evaluate accuracy immediately before and after the task. The alpha value was set to 0.05 for all statistical tests, and statistical analysis was performed using SPSS (V22, International Busi- ness Machines Corporation, Armonk, New York). Recurrent neck pain and its treatment impacts plasticity of the cerebellum and motor cortex with traces that showed background muscle activity before or following stimulation, were removed and the remaining MEPs (in most cases 10 MEPs, but no fewer than 7) were averaged for each level of stimulus intensity. Average peak-to-peak amplitude was found for each level of stimulus intensity and divided by the test MEP for each participant for each intensity of CBI. CBI at 50 percent (CBI50) was used as the level for comparisons as described in Baarbe´ et al. [20]. CBI50 represents the stimu- lator intensity that elicits MEPs that are ~50 percent inhibited. Conditioning stimulus intensi- ties 5% and 10% above CBI50 were also evaluated (CBI50+5% and CBI50+10%), as these intensities showed reduced CBI following motor sequence acquisition in healthy controls [20]. To evaluate motor-training induced plasticity, response time and accuracy was assessed across groups before and after the motor acquisition task. Accuracy to perform the motor sequence task was calculated out of a maximum accuracy response of 80 (score of 72 = 90% accuracy). Values are reported as mean ± 1 SD in the text and mean ± 1 SEM in figures. Average peak-to-peak amplitude was found for each level of stimulus intensity and divided by the test MEP for each participant for each intensity of CBI. CBI at 50 percent (CBI50) was used as the level for comparisons as described in Baarbe´ et al. [20]. CBI50 represents the stimu- lator intensity that elicits MEPs that are ~50 percent inhibited. Conditioning stimulus intensi- ties 5% and 10% above CBI50 were also evaluated (CBI50+5% and CBI50+10%), as these intensities showed reduced CBI following motor sequence acquisition in healthy controls [20]. lator intensity that elicits MEPs that are 50 percent inhibited. Conditioning stimulus intensi ties 5% and 10% above CBI50 were also evaluated (CBI50+5% and CBI50+10%), as these intensities showed reduced CBI following motor sequence acquisition in healthy controls [20]. To evaluate motor-training induced plasticity, response time and accuracy was assessed across groups before and after the motor acquisition task. Accuracy to perform the motor sequence task was calculated out of a maximum accuracy response of 80 (score of 72 = 90% accuracy). Values are reported as mean ± 1 SD in the text and mean ± 1 SEM in figures. Data analysis As described previously [20,47], the traces were carefully examined at high gain for instances of cervicomedullary evoked potentials (CMEPs), cervical root activity, and antidromic activity, which were considered extraneous to the experiment objectives. Previous work had identified CMEPs elicited from double-cone stimulations over the inion and recorded from the first dor- sal interosseous to have a latency of ~18 ms and cervical root activity to have a latency of ~15 ms [47]. Whereas, CBI ideally should elicit inhibited MEPs that have a latency ~21 ms from stimulation of M1 [47] which in our experiments was ~26 ms from stimulation over the cere- bellum, considering the 5 ms interval from the cerebellum stimulus (double-cone coil) to the M1 stimulus (figure-of-eight coil). Individual traces that showed extraneous activity, along PLOS ONE | https://doi.org/10.1371/journal.pone.0193413 February 28, 2018 6 / 19 Cerebellar inhibition The mean test MEP amplitude before the intervention was 0.67 ± 0.12 mV and 0.64 ± 0.16 mV following the intervention. Test MEP amplitudes showed no interaction effects of group vs. time (F2,36 = 1.332, P = 0.3) or effects of time (F1,36 = 1.241, P = 0.3). RMT data was missing from one healthy control and two neck pain sham controls. However, in the remaining sub- jects (14 neck pain manipulation, 12 neck pain sham controls, and 11 healthy), RMT showed no interaction effects of group vs. time (F2,33 = 0.297, P = 0.7) or effects of time (F1,33 = 0.274, P = 0.6). The mean RMT before the intervention was 43.3 ± 7.5% of maximal stimulator output and 43.0 ± 7.0% maximal stimulator output following the intervention. Mean test MEP stimulator intensity was 48.6 ± 8.4% maximal stimulator output before the intervention and 48.8 ± 8.3% after the intervention. CBI traces from representative subjects from all three groups can be found in Fig 2. In the pre-intervention state, participants showed a CBI response ~50 percent of the original test MEP. Following the intervention, the neck pain sham control showed no change to CBI50 (remained inhibited), the healthy participant had reduced CBI50, and the neck pain spinal manipulation subject had even greater reduction to CBI50. The same pattern emerged in the group data such that neck pain sham controls remained inhibited following motor acquisition whereas healthy controls and neck pain spinal manipulation dis-inhibited (Fig 3 and S1 Table). A significant main effect of time (F1,36 = 37.378, P < 0.001, Cohen’s d = 2.04) emerged as well as a significant interaction of group vs. time (F2,36 = 11.247, P < 0.001, Cohen’s d = 1.58). Post hoc Welch’s t tests showed significantly less CBI following motor acquisition in the healthy group compared with the neck pain sham control group (P < 0.001; healthy controls, 98 ± 49% of test MEP; neck pain sham controls, 58 ± 33% of test MEP). The manipulation group also showed significantly less CBI compared with the neck pain control group (P < 0.001; manipulation, 146 ± 95% of test MEP; neck pain sham control, 58 ± 33% of test MEP). Neck pain characteristics The neck pain characteristics for the manipulation and neck pain control groups are summa- rized in Table 1. Independent-samples t tests showed the two groups did not differ in measures for frequency of pain episodes, severity of pain, duration of recurrent neck pain, and Chronic Pain Grade Scale scores. The number of segments manipulated for individual participants ran- ged from 2 to 4 spinal segments between C1 and T1 vertebrae on either side of the neck (depending on which side met the criteria for manipulation described above). 7 / 19 PLOS ONE | https://doi.org/10.1371/journal.pone.0193413 February 28, 2018 Recurrent neck pain and its treatment impacts plasticity of the cerebellum and motor cortex Table 1. Neck pain characteristics reported as mean ± standard deviation for each group. Pain Controls Manipulation Healthy Pain vs. Healthy† Pain Control vs. Manipulation† Frequency of neck pain (days per month) 16.9 ± 9.1 14.5 ± 8.8 1.0 ± 1.0 <0.001 0.5 Duration of neck pain (years) 1.9 ± 1.5 3.2 ± 2.2   0.09 Most severe pain intensity in previous 6 mo (10 cm VAS) 5.6 ± 2.1 6.4 ± 2.1 1.4 ± 1.6 <0.001 0.4 Chronic Pain Grade Scale 1.5 ± 0.7 1.7 ± 0.6   0.3 Disability Days (average in previous 6 mo) 2.2 ± 3.3 5.4 ± 8.2   0.2 †values reported as P values from independent sample t tests  not applicable VAS, visual analog scale presented as a continuous line https://doi.org/10.1371/journal.pone.0193413.t001 Table 1. Neck pain characteristics reported as mean ± standard deviation for each group. PLOS ONE | https://doi.org/10.1371/journal.pone.0193413 February 28, 2018 Cerebellar inhibition When the spinal manipulation and healthy participants CBI levels were compared, the spinal manipulation group showed significantly less CBI than the healthy controls (P = 0.006; manipulation, 146 ± 95% of test MEP; healthy, 98 ± 49% of test MEP). Post hoc paired t tests comparing pre- vs. post-intervention in each of the groups showed sig- nificantly less CBI following motor acquisition in healthy participants (an increase in magnitude from 45 ± 22% of test MEP pre to 98 ± 49% of test MEP post, P < 0.001). As well, the manipula- tion group showed significantly less CBI (an increase in magnitude from 56 ± 32% of test MEP pre to 146 ± 95% of test MEP post, P < 0.001). Neck pain controls, however, showed no changes to inhibition (P = 0.86; pre, 57 ± 21% of test MEP; post, 58 ± 33% of test MEP) (Fig 3). CBI measured at different stimulator intensities from representative subjects for each group are displayed in Fig 4. When stimulator intensities other than CBI50 were considered, the 8 / 19 PLOS ONE | https://doi.org/10.1371/journal.pone.0193413 February 28, 2018 Recurrent neck pain and its treatment impacts plasticity of the cerebellum and motor cortex Fig 2. Raw traces from representative participants from all three groups. Here, CBI50 is depicted pre- and post-spinal manipulation or sham control and motor training, as relative to raw traces of M1 activation. Pre motor, prior to spinal manipulation/sham control and motor sequence acquisition; Post motor, following spinal manipulation/sham control and motor sequence acquisition. https://doi org/10 1371/journal pone 0193413 g002 Fig 2. Raw traces from representative participants from all three groups. Here, CBI50 is depicted pre- and post-spinal manipulation or sham control and motor training, as relative to raw traces of M1 activation. Pre motor, prior to spinal manipulation/sham control and motor sequence acquisition; Post motor, following spinal manipulation/sham control and motor sequence acquisition. https://doi.org/10.1371/journal.pone.0193413.g002 https://doi.org/10.1371/journal.pone.0193413.g002 https://doi.org/10.1371/journal.pone.0193413.g002 trend still emerged of less CBI in the healthy control and spinal manipulation groups and per- sistence of CBI in the neck pain sham control group following motor acquisition. Inter-subject variability of cerebellar responses can also be seen in Fig 4. In one participant, CBI50 was observed at intensities as low as 45% maximal stimulator output (Fig 4A), and in another par- ticipant, a stimulator intensity as high as 70% maximal stimulator output was necessary before CBI50 could be elicited (Fig 4B). https://doi.org/10.1371/journal.pone.0193413.g002 Recurrent neck pain and its treatment impacts plasticity of the cerebellum and motor cortex Fig 3. Mean CBI50 responses in each group. (A) Mean CBI50 response in healthy controls before and after the combined intervention of sham control and motor sequence acquisition. (B) Mean CBI50 response in neck pain control group before and after the combined intervention of sham control and motor sequence learning. (C) Mean CBI response in spinal manipulation group before and after the combined intervention of spinal manipulation and motor sequence learning. Pre motor, prior to spinal manipulation/sham control and motor sequence acquisition; Post motor, following spinal manipulation/sham control and motor sequence acquisition. Error bars depict SEM. P < 0.001. Fig 3. Mean CBI50 responses in each group. (A) Mean CBI50 response in healthy controls before and after the combined intervention of sham control and motor sequence acquisition. (B) Mean CBI50 response in neck pain control group before and after the combined intervention of sham control and motor sequence learning. (C) Mean CBI response in spinal manipulation group before and after the combined intervention of spinal manipulation and motor sequence learning. Pre motor, prior to spinal manipulation/sham control and motor sequence acquisition; Post motor, following spinal manipulation/sham control and motor sequence acquisition. Error bars depict SEM. P < 0.001. https://doi.org/10.1371/journal.pone.0193413.g003 manipulation subjects had greater CBI change. Neck pain sham controls, however, did not show this relationship (Fig 5). Pain severity and CBI relationships A significant relationship was found between average overall pain severity during painful episodes in the previous six months and change to CBI in the manipulation group (rs(12) = 0.7, P < 0.01). The relationship was such that when neck pain was more severe, spinal PLOS ONE | https://doi.org/10.1371/journal.pone.0193413 February 28, 2018 9 / 19 PLOS ONE | https://doi.org/10.1371/journal.pone.0193413 February 28, 2018 Motor acquisition Fig 6 and S2 Table depict motor performance pre- and post-motor acquisition. Baseline motor performance was not collected in one healthy participant and that subject was excluded from comparisons involving baseline, but included in subsequent comparisons pre- and post-motor acquisition. A main effect of response time emerged across the three conditions (baseline, pre- task vs. post-task conditions) in all groups (healthy and 2 recurrent neck pain groups) (F2,70 = 51.563, P < 0.001, Cohen’s d = 2.43, no interaction effect). Post-hoc repeated tests were run on each group and the Bonferroni-corrected α level was set to 0.005 (10 comparisons). As Bonfer- roni correction reflects a conservative approach, unadjusted P values are reported here, both in the text and figure legend (Fig 6). Healthy participants showed a significant effect of time (F2,20 = 14.031, P < 0.001, Cohen’s d = 2.37). Post hoc paired t tests with Bonferroni correction showed marginal reduction to response time from baseline to the pre-task condition (869.4 ± 288.1 ms vs. 704.2 ± 151.6 ms, P = 0.009) and no change to response time from pre- to post-task conditions (743.6 ± 198.9 ms vs. 647.6 ± 153.3 ms, P = 0.034). The neck pain control also showed a significant effect of time (F2,24 = 11.186, P < 0.001, Cohen’s d = 1.93). However, paired t tests showed no increases in speed from baseline to pre- task conditions which was the period of time when they received sham control (772.3 ± 178.8 ms baseline vs. 725.0 ± 143.8 ms pre-test, P = 0.20). Once motor training had been completed, neck pain controls showed increases in speed from the pre-task condition to the post-task condition (725.0 ± 143.8 ms pre-task condition vs. 623.3 ± 152.0 ms post-task condition, P = 0.005). Manipulation participants showed a significant effect of time (F2,26 = 40.338, P < 0.001, Cohen’s d = 3.52), and paired t tests with Bonferroni correction showed their response times were significantly faster from baseline to pre-task conditions which was the period of time in which they received a manipulation. The increase in speed following the manipulation was from 800.2 ± 214.0 ms baseline to 711.3 ± 171.8 ms pre-task (P = 0.0026). Following PLOS ONE | https://doi.org/10.1371/journal.pone.0193413 February 28, 2018 10 / 19 Recurrent neck pain and its treatment impacts plasticity of the cerebellum and motor cortex Fig 6. Mean response time and accuracy pre- and post-motor acquisition. (A) Healthy participants had marginally reduced response time and had no change to accuracy. (B) Neck pain sham control had moderate reduction to response time and dramatically improved accuracy. (C) Neck pain treatment dramatically reduced response time and had only marginal increase to accuracy. (D) All subjects demonstrated overall reduction to response time and accuracy from pre- to post-motor acquisition. Error bars depict 1 SEM. Pre, pre-motor acquisition; Post, post-acquisition.  P = 0.02–0.04;  P = 0.005;  P  0.001. Fig 6. Mean response time and accuracy pre- and post-motor acquisition. (A) Healthy participants had marginally reduced response time and had no change to accuracy. (B) Neck pain sham control had moderate reduction to response time and dramatically improved accuracy. (C) Neck pain treatment dramatically reduced response time and had only marginal increase to accuracy. (D) All subjects demonstrated overall reduction to response time and accuracy from pre- to post-motor acquisition. Error bars depict 1 SEM. Pre, pre-motor acquisition; Post, post-acquisition.  P = 0.02–0.04;  P = 0.005;  P  0.001. Fig 6. Mean response time and accuracy pre- and post-motor acquisition. (A) Healthy participants had marginally reduced response time and had no change to accuracy. (B) Neck pain sham control had moderate reduction to response time and dramatically improved accuracy. (C) Neck pain treatment dramatically reduced response time and had only marginal increase to accuracy. (D) All subjects demonstrated overall reduction to response time and accuracy from pre- to post-motor acquisition. Error bars depict 1 SEM. Pre, pre-motor acquisition; Post, post-acquisition.  P = 0.02–0.04;  P = 0.005;  P  0.001. https://doi.org/10.1371/journal.pone.0193413.g006 completion of the motor training task, a dramatic increase in speed occurred from 711.3 ± 171.8 ms pre-task to 609.2 ± 158.0 ms post-task (P < 0.001). Accuracy tests considered the times immediately before and after motor acquisition and showed a shift in accuracy following motor acquisition in all groups [χ2(5) = 28.173, P < 0.001]. Post hoc tests compared each group and the Bonferroni-corrected α level was set to 0.01 (5 comparisons). Healthy controls showed no significant improvement to accuracy at pre-motor acquisition vs. post-motor acquisition [χ2(1) = 0.175, P = 0.7]. Sham controls showed dramatic improvement to accuracy pre- vs. post-motor acquisition [χ2(1) = 10.728, P = 0.001]. In contrast, spinal manipulation participants did not show a significant change to accuracy, although they showed a trend to increase accuracy pre-motor training vs. post- motor training [χ2(1) = 4.844, P = 0.028] (Fig 6). No correlation was found between CBI and response time or accuracy in any group. Recurrent neck pain and its treatment impacts plasticity of the cerebellum and motor cortex Fig 4. Stimulus-response curves for representative subjects. (A-C) Stimulus-response curves relative to maximum stimulator output on the x-axis for representative subjects that were (A) healthy, (B) recurrent neck pain sham, and (C) recurrent neck pain manipulation. (D-F) Stimulus-response curves relative to CBI50 as shown on the x-axis for representative subjects that were (D) healthy, (E) recurrent neck pain sham, and (F) recurrent neck pain manipulation. Pre motor, prior to spinal manipulation/sham control and motor sequence acquisition; Post motor, following spinal manipulation/sham control and motor sequence acquisition. Fig 4. Stimulus-response curves for representative subjects. (A-C) Stimulus-response curves relative to maximum stimulator output on the x-axis for representative subjects that were (A) healthy, (B) recurrent neck pain sham, and (C) recurrent neck pain manipulation. (D-F) Stimulus-response curves relative to CBI50 as shown on the x-axis for representative subjects that were (D) healthy, (E) recurrent neck pain sham, and (F) recurrent neck pain manipulation. Pre motor, prior to spinal manipulation/sham control and motor sequence acquisition; Post motor, following spinal manipulation/sham control and motor sequence acquisition. Fig 4. Stimulus-response curves for representative subjects. (A-C) Stimulus-response curves relative to maximum stimulator output on the x-axis for representative subjects that were (A) healthy, (B) recurrent neck pain sham, and (C) recurrent neck pain manipulation. (D-F) Stimulus-response curves relative to CBI50 as shown on the x-axis for representative subjects that were (D) healthy, (E) recurrent neck pain sham, and (F) recurrent neck pain manipulation. Pre motor, prior to spinal manipulation/sham control and motor sequence acquisition; Post motor, following spinal manipulation/sham control and motor sequence acquisition. https://doi.org/10.1371/journal.pone.0193413.g004 https://doi.org/10.1371/journal.pone.0193413.g004 Fig 5. Relationship between CBI change and pain severity. Participants that had greater pain disinhibited CBI more following manipulation (blue) (rs(12) = 0.7, P < 0.01), but not following sham control (red). https://doi.org/10.1371/journal.pone.0193413.g005 Fig 5. Relationship between CBI change and pain severity. Participants that had greater pain disinhibited CBI more following manipulation (blue) (rs(12) = 0.7, P < 0.01), but not following sham control (red). https://doi.org/10.1371/journal.pone.0193413.g005 PLOS ONE | https://doi.org/10.1371/journal.pone.0193413 February 28, 2018 11 / 19 Discussion The novel finding in this study is that altered sensory input from the neck due to recurrent neck pain and its treatment affects the way in which the cerebellum interacts with M1 in PLOS ONE | https://doi.org/10.1371/journal.pone.0193413 February 28, 2018 12 / 19 Recurrent neck pain and its treatment impacts plasticity of the cerebellum and motor cortex response to motor skill acquisition. Subclinical recurrent neck pain subjects who received spi- nal manipulation had a 90% average reduction to CBI pre- vs. post-motor acquisition vs. a 50% average CBI reduction for the healthy group, and only a 1% average CBI reduction in the subclinical recurrent neck pain group who receive sham control. It is well known that the cere- bellum receives and integrates large amounts of sensory information from joints, tendons and muscles, including those from the intervertebral regions of the neck [49] as well as nociceptive inputs [11]. These inputs to the cerebellum become integrated for timing of limb movements, and creation of forward internal models to predict the sensory consequences of movement milliseconds prior to the movement [8]. However, it has not previously been shown that improving neck function, such as with spinal manipulation, may actually alter cerebellum-M1 communication, or impact motor skill acquisition. Again, the cerebellum is well known to be highly active in motor learning and motor adaption [45,50,51]. Multimodal processing occurs in lobules VI and VIIb of the cerebellum, and these areas have been found to be important for pain-related adaptations in motor control [12]. The cerebellar response differences in the recurrent neck pain group suggest that their neck dysfunction alters the way their cerebellums function during motor acquisition tasks, and that this can be dramatically impacted by as little as a single spinal manipulation session. The increased magnitude of the CBI response in the manipulation group (larger than M1 response alone) indicates that there may be a cumulative effect of other processes in the cere- bellum or M1. This effect may be described as cerebellar facilitation (CBF, as opposed to reduced CBI). The presence of cerebellar stimuli 5 ms prior to M1 test stimuli has been shown to reduce short interval intracortical inhibition (SICI) and increase intracortical facilitation (ICF) [18], suggesting that the cerebellum has a unique interaction effect with inhibitory and excitatory neurons in the motor cortex. PLOS ONE | https://doi.org/10.1371/journal.pone.0193413 February 28, 2018 Recurrent neck pain and its treatment impacts plasticity of the cerebellum and motor cortex even in the absence of structural pathology [53,54]. EEG showed that prefrontal gamma activ- ity is modulated during pain, which may demonstrate a basic mechanistic deficit of inhibitory GABAergic neurotransmitters [55]. Pain is also found alongside changes to inhibition of mus- cles in the area of the pain including non-painful antagonistic and synergistic muscles [56]. However, the mechanism of these inhibitory changes is yet unclear. The basal ganglia may play a modulatory role on inhibitory output [10]. However, changes to basal ganglia function does not directly explain heightened activity of the cerebellum in the presence of acute and chronic pain states [11]. Acute experimental pain has also been shown to change indices of motor plasticity [57,58] without dramatically affecting task performance [56]. Unlike acute pain models, subclinical recurrent neck pain represents a chronic model of intermittent, yet ongoing, pain. The recur- rent nature of the pain means that the impact of altered sensory input from the neck on cere- bellar processing can be investigated without severe confounding effects of sudden acute pain [59,60]. Subclinical recurrent neck pain has been associated with decreased cervical kinesthe- sia, neck range of motion and neck muscle endurance [23,24,32]. Growing evidence suggests that neck pain in general has implications to sensorimotor function including losses to shoul- der and neck proprioception [3,24,61] and poor smoothness of movement [62]. Thus, subclin- ical recurrent neck pain presents as a useful model of pain to study cerebellar changes and SMI implications. The primary difference between the two neck pain groups was the type of intervention received prior to motor training. The manipulation group received spinal manipulation, whereas the neck pain controls had their necks passively moved to challenge the neck joints close to the end range and to mimic spinal manipulation, but without delivering the actual high-velocity, low-amplitude manipulative thrust. The control intervention was very similar to low level mobilizations delivered by many manual therapists. Indeed, participants reported feeling better after the control intervention suggesting that it was a good control for both thera- pist-patient interaction effects as well as the physiological effects of moving the neck passively. PLOS ONE | https://doi.org/10.1371/journal.pone.0193413 February 28, 2018 Discussion Similarly, cervical manipulation has unique effects on various cortical inhibitory and facilitatory mechanisms including decreased SICI, increased short-interval intracortical facilitation (SICF), and a lengthening of the cortical silent period (CSP) [22,52]. It is possible that the findings of CBF following spinal manipulation is due to interaction with these cortical changes. Noteworthy to consider is that these cortical changes were found without change to F wave persistence or amplitude following cervical spine manip- ulation [22], indicating that cortical or subcortical mechanisms mediate these effects rather than changes to spinal excitability. Another study has also shown that the motor output effects of spinal manipulation are likely attributed to increased descending drive [29]. The study found significant increases in maximum voluntary contraction forces (16% increase) following spinal manipulation, with matching large (45% increase) significant changes in volitional waves (V waves) yet only minimal (8.5% decrease) changes in the Hoffmann reflex (H reflex) threshold [29]. V waves depend upon the density of action potentials sent down from the supraspinal centers that collide with antidromic action potentials in motor axons caused by supramaximal stimulation of the innervating nerve. Thus, this study’s findings support the notion that spinal manipulation has a supraspinal mechanism likely involving cortical and/or cerebellar circuits. Although M1 circuits (e.g. SICI, ICF, SICF, CSP) may be important for the observed find- ings, it is unlikely that direct changes to M1 excitability had a major contribution to the find- ings. MEP amplitudes and RMT did not change in any group pre- to post-intervention. The stimulator output for the test MEP was also the same pre- and post-motor training. If M1 excitability contributed to the CBI findings, we would expect to observe a systematic change to these measures of M1 excitability, which we did not see. CBI was not reduced in neck pain controls. We propose that this represents a different recruitment of circuits in the cerebellum and/or motor cortex. TMS studies have found that chronic pain results in increased SICI (less amplitude) and decreased ICF (also less amplitude), PLOS ONE | https://doi.org/10.1371/journal.pone.0193413 February 28, 2018 13 / 19 This suggests two things: 1) that this type of control intervention is well received by study par- ticipants and 2) that high-velocity, low-amplitude manipulation has a different physiological effect on the central nervous system compared to low level mobilizations. We also found that all participants showed a similar significant practice effect on the motor acquisition (e.g. main effect of time) and no interaction effect between group and time, which indicates that the practice effect of each group did not significantly differ from each other. It is significant to note that the practice effects themselves did not differ significantly between groups, yet CBI following motor acquisition did differ among the three groups. Spinal manip- ulation seems to activate different circuits following motor acquisition as compared to the sham control intervention for the recurrent neck pain group. All objective “physical” traits in the two recurrent neck pain groups including the fre- quency, duration and intensity of their ongoing recurrent neck pain showed no differences. The manipulation group had a significant relationship between pain severity and CBI change, whereas sham control subjects did not show such a relationship. The relationship between pain severity and CBI change in the manipulation group indicates that those with the most severe pain had the most activation of cerebellar and/or cortical circuits. The lack of a relation- ship in sham controls suggests that different circuits were activated by spinal manipulation compared to sham control. Motor response time reduced dramatically in the spinal manipulation group both after spi- nal manipulation (baseline vs. pre-acquisition) and motor acquisition (pre- vs. post-acquisi- tion) without notable improvements to accuracy. In contrast, neck pain control subjects improved accuracy without reduction to response time after sham control (baseline vs. pre- PLOS ONE | https://doi.org/10.1371/journal.pone.0193413 February 28, 2018 14 / 19 Recurrent neck pain and its treatment impacts plasticity of the cerebellum and motor cortex acquisition) and moderate reduction to response time following motor acquisition (pre- vs. post-acquisition). Healthy controls only marginally reduced response time and had no change to accuracy. It is possible that a greater inhibitory drive in neck pain controls may account for their increased accuracy. In contrast, spinal manipulation may have decreased descending inhibitory drive, resulting in faster movements, at the cost of decreased accuracy. However, correlation was not found between CBI and response time or accuracy in any group. We selected a task that was novel to participants and had limited predictability. Doyon et al. [50] showed that for early stages of motor sequence learning (similar to the task that we had the participants complete), the deep cerebellar nuclei and cortex is more active and in later stages of motor learning the cortico-striatal layers of the brain are more active. We only tested the participants for a brief period of time early in their learning stage when the cerebellum would be more active, as described in the Doyon et al. [45] study. Previous work [31] showed that the CBI reduced with a combined intervention of spinal manipulation and motor training in recurrent neck pain subjects. Unlike the current study, Daligadu et al. [31] showed that healthy subjects did not reduce CBI following motor training. Likely this was because the task was not hard enough. The current study used a more challeng- ing task shown to reduce CBI in healthy subjects [20]. It was also necessary to include a neck pain control group to act as a control for the manipulation. Without this group, it is impossible to know whether neck pain or its treatment lead to reduced CBI following motor training [31]. In the current study, we found that treatment with spinal manipulation lead to reduced CBI following motor acquisition, whereas neck pain subjects who had sham control did not reduce CBI. In this study, we did not investigate long-term changes to CBI. We also do not know if significant CBF following manipulation and motor acquisition signifies a clinical benefit, but the fact the healthy controls showed less CBI in response to motor learning demonstrates that the CBF observed in the manipulation group is in the direction of the healthy response [20]. In conclusion, subclinical recurrent neck pain participants did not reduce CBI following the completion of a novel motor sequence task compared to healthy participants, and a single session of spinal manipulation restored the capacity for reduced CBI and produced CBF. This study suggests that people with ongoing neck pain may have impaired early processing and/or integration of sensory input from the neck which influences motor processing in the cerebel- lum and/or the primary motor cortex, which is restored to levels even above that of healthy participants by spinal manipulation. These findings have relevance to the recurrence and potential development of chronic problems and suggest a possible preventative role for spinal manipulation. Author Contributions Author Contributions Conceptualization: Julianne K. Baarbe´, Paul Yielder, Heidi Haavik, Bernadette Ann Murphy. Formal analysis: Julianne K. Baarbe´. Funding acquisition: Julianne K. Baarbe´, Paul Yielder, Heidi Haavik, Michael W. R. Holmes, Bernadette Ann Murphy. Investigation: Heidi Haavik, Michael W. R. Holmes, Bernadette Ann Murphy. Methodology: Julianne K. Baarbe´, Bernadette Ann Murphy. Supervision: Paul Yielder, Michael W. R. Holmes, Bernadette Ann Murphy. Writing – original draft: Julianne K. Baarbe´, Bernadette Ann Murphy. Writing – review & editing: Julianne K. Baarbe´, Paul Yielder, Heidi Haavik, Michael W. R. Holmes, Bernadette Ann Murphy. Conceptualization: Julianne K. Baarbe´, Paul Yielder, Heidi Haavik, Bernadette Ann Murphy. Formal analysis: Julianne K. Baarbe´. 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CBI, cerebellar inhibition; CBI50+5%, cerebellar inhi- bition with conditioning stimulus intensity 5% greater than the conditioning stimulus inten- sity for CBI alone; CBI50+10%, cerebellar inhibition with conditioning stimulus intensity 10% greater than the conditioning stimulus intensity for CBI alone; MEP, motor evoked potential; pre, pre motor acquisition; post, post motor acquisition; RMT, resting motor threshold. (XLSX) S2 Table. Motor performance data for all participants. Baseline, baseline motor perfor- mance before TMS or motor acquisition; pre, motor performance prior to motor acquisition; post, motor performance following motor acquisition. 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Anna Maria Sigmund, Kobiety nazistów, Brunatna Seria
Środkowoeuropejskie Studia Polityczne
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228 Recenzje SP 1 ’06 Anna Maria Sigmund, Kobiety nazistów, Brunatna Seria, Dom Wydawniczy Bellona, tom I, Warszawa 2002, ss. 221, tom II, Warszawa 2003, ss. 206. Od upadku hitlerowskich Niemiec up³ynê³o ju¿ niemal szeœædziesi¹t lat, lecz mimo to literatura dotycz¹ca tego tematu cieszy siê nies³abn¹cym zainteresowaniem. Nowatorskie spojrzenie na kwestie uchodz¹ce za ca³kowicie wyjaœnione i zbadane przyczyniæ siê jednak nadal mo¿e do powstania niezmiernie ciekawych wniosków i spostrze¿eñ uzupe³niaj¹cych wizerunek III Rzeszy. Autorka ksi¹¿ki Kobiety nazistów zaznacza we wstêpie swej pracy, ¿e jej celem jest ukazanie faszystowskich Niemiec ze szczególnym uwzglêdnieniem kobiet, które wywar³y wp³yw na obraz i historiê spo³eczno-polityczn¹ tego pañstwa. Zwraca uwagê, ¿e propaganda i ideologia nazistowska usi³owa³y stworzyæ anachroniczny obraz kobiety, której oficjalnie próbowano zakazaæ wszelkiej aktywnoœci zawodowej i politycznej. W praktyce okaza³o siê, ¿e kobiety ¿yj¹ce w sferze narodowosocjalistycznej elity odgrywa³y niejednokrotnie znaczn¹ rolê w ¿yciu Trzeciej Rzeszy. Nale¿y jednak pamiêtaæ, ¿e propaganda i cenzura w sposób skuteczny mog¹ zatrzeæ rzeczywisty obraz losów cz³owieka i jego wp³ywu na historiê. Istotnie po pewnym czasie, po dok³adnej analizie Ÿróde³, porównaniu ró¿norodnych, czêsto subiektywnych opinii, odrzuceniu nie maj¹cych pokrycia w rzeczywistoœci doniesieñ, mo¿na w sposób naukowy odtworzyæ wizerunek danej osoby oraz wydarzeñ z ni¹ zwi¹zanych. Anna Maria Sigmund postawi³a sobie zatem za cel napisanie naukowej, obiektywnej biografii pewnej liczby kobiet, które odegra³y znaczniejsz¹ rolê w spo³eczeñstwie narodowosocjalistycznym. Zadaj¹c pytanie, kim by³y opisywane postacie oraz jakim by³o ich otoczenie, Autorka podjê³a siê wiêc trudnego zadania polegaj¹cego na umieszczeniu w jednej publikacji zarówno biografii, jak i materia³u historycznego. Nie sposób streœciæ tu wszystkich w¹tków recenzowanej publikacji, dlatego zmuszony jestem skupiæ siê jedynie na elementach, które w mojej opinii tworz¹ wizerunek omawianej pracy. W sk³ad dwutomowej ksi¹¿ki wchodzi 15 rozdzia³ów, które opisuj¹ pochodzenie, losy, dzia³alnoœæ i psychikê kobiet pochodz¹cych z otoczenia w³adz nazistowskich. Wyj¹tkiem jest rozdzia³ pierwszy (zatytu³owany „Hitler i niemiecka kobieta”), bêd¹cy analiz¹ narodowosocjalistycznego wzorca kobiety i jego Ÿróde³. Pogl¹dy te skonkretyzowano g³ównie w Micie XX wieku Alfreda Rosenberga, Mein Kampf Adolfa Hitlera oraz w publikacjach Walthera Darre. Na tej podstawie ukszta³towa³ siê narodowosocjalistyczny model, bêd¹cy swoistym zespo³em pewnych nakazów i zakazów. Twierdzono, ¿e kobieta w pañstwie hitlerowskim „nie bêdzie nigdy politykiem, prawnikiem ani ¿o³nierzem”. Jedynie rodzenie dzieci, ich wychowanie i prowadzenie gospodarstwa domowego by³y prawdziwymi zadaniami „wzorowej” obywatelki pañstwa niemieckiego. W 1921 roku podjêto uchwa³ê, w myœl której kobietom raz na zawsze odmówiono udzia³u w kierownictwie partii hitlerowskiej oraz w jakimkolwiek kierowniczym gremium. Praca zawodowa i naukowa oraz dzia³alnoœæ SP 1 ’06 Recenzje 229 polityczna staæ siê mia³y wy³¹cznie prawem zarezerwowanym dla mê¿czyzn. A. M. Sigmund zauwa¿a, ¿e pogl¹dy te kszta³towa³y siê przede wszystkim w odpowiedzi na bie¿¹c¹ sytuacjê spo³eczno-polityczn¹. Odsuwanie od pracy zawodowej by³o przecie¿ jednym z elementów walki z bezrobociem. Istotnym mankamentem ksi¹¿ki Kobiety nazistów jest fakt, ¿e A. M. Sigmund próbuje tu na zaledwie dziesiêciu stronach pracy opisaæ obraz œwiatopogl¹du oraz zwi¹zane z tym postêpowanie Hitlera. Z tego wzglêdu czytelnik uzyskuje tu niepe³ne, a nawet nieco chaotyczne odzwierciedlenie opisywanego tematu. Przyda³y by siê tu zatem dwa rozdzia³y, w których jeden by³by analiz¹ nazistowskiej ideologii, natomiast drugi stanowi³by wierniejsz¹ ilustracjê dzia³añ Hitlera i kierowanego przez niego pañstwa. Kolejnych czternaœcie rozdzia³ów stanowi¹ biografie w kolejnoœci: Carin Goering, Emmy Goering, Magdy Goebbels, Leni Riefenstahl, Gertrud Scholz-Klink, Geli Raubal, Ewy Braun, Henrietty von Schirach, Gerdy Bormann, Liny Heydrich, Unity Valkyrie Mitford, Hanny Reitsch, Winifried Wagner oraz Karoline Rascher. Nazwiska osób opisywanych przez Autorkê s¹ jednoczeœnie tytu³ami rozdzia³ów, które uzupe³nione s¹ skrótowymi komentarzami ilustruj¹cymi w pewien sposób ich losy, osobowoœæ i warunki ¿ycia. I tak Carin Goering jest okreœlona jako „nordycki idea³ i postaæ kultowa”, Emmy Goering jako „Jaœnie Pani”, Magda Goebbels – „Pierwsza dama Trzeciej Rzeszy”, Leni Riefenstahl jest „Królow¹ amazonek”, G. Scholtz-Klink jest „towarzyszk¹”. Geli Raubal ukazuje siê jako „Siostrzenica wuja Adolfa”, Ewa Braun „Skrywana kochanka”, Henriette von Schirach jako „uczennica Fuehrera”. Gerda Bormann uznaje „poligamiê zamiast monogamii”, Lina Heydrich egzystuje „u boku zbrodniarza wojennego”, a Unity Mitford jest „angielsk¹ walkiri¹ Hitlera”. Nazwisko Hanny Reitsch zwi¹zane jest z ide¹ „samobójczych lotów dla Trzeciej Rzeszy”. Karoline Rascher wychowuje obce dzieci „ukradzione dla Fuehrera”. Tytu³ rozdzia³u dotycz¹cy Winifred Wagner uzupe³niony jest komentarzem „Wolf i Winni”, który wskazuje na jej bli¿sz¹ znajomoœæ z Adolfem Hitlerem. Czêœæ z przytoczonych tu komentarzy wymaga szerszego wyjaœnienia. Przedwczeœnie zmar³a pierwsza ¿ona Hermanna Goeringa, Carin Goering okreœlana jest tu jako postaæ kultowa z tego wzglêdu, ¿e wraz ze swym mê¿em poœwiêca³a siê bezgranicznie politycznej dzia³alnoœci w NSDAP. Leni Riefenstahl, „królowa amazonek” rozpoczê³a sw¹ karierê jako tancerka i aktorka. „Towarzyszka” Gertrud Scholtz-Klink nawo³ywa³a niemieckie kobiety do ca³kowitego wycofania siê z ¿ycia publicznego i nieanga¿owania siê w politykê. Poœwiêcony jej rozdzia³ jest udan¹ ilustracj¹ propagandowych wyobra¿eñ rozpowszechnianych w pañstwie nazistowskim. Bezkrytycznie twierdzi³a, ¿e w przeciwieñstwie do mê¿czyzn „robotników”, którzy przygotowani s¹ do pracy fizycznej, „dziewczêta robotnice” maj¹ przygotowywaæ siê do roli gospodyñ domowych i matek. G³osi³a, ¿e nauka jest zajêciem typowo mêskim, a praca parlamentarna jest „przekroczeniem granicy p³ci”. Treœæ ksi¹¿ki ukazuje rzeczywistoœæ, w której oficjalny i ideologiczny obraz jest irracjonalnym zbiorem mitów, maj¹cym niewiele wspólnego z prawd¹. Losy i postêpowanie kobiet z krêgu w³adz nazistowskich ukazuj¹ przede wszystkim 230 Recenzje SP 1 ’06 nierealnoœæ i anachronizm oficjalnej doktryny. Zmuszanie do rezygnacji z opisanych wczeœniej form aktywnoœci najczêœciej nie odnosi³o po¿¹danych skutków. Wprost przeciwnie – Carin Goering by³a polityczn¹ agitatork¹, a Emmy Goering zawodow¹ aktork¹. Henriette von Schirach – „uczennica Fuehrera” natomiast aktywnie wraz z mê¿em uczestniczy³a w ¿yciu kulturalnym Wiednia. Magda Goebbels (uwa¿ana za pierwsz¹ damê Trzeciej Rzeszy), wprost, w obecnoœci Hitlera uparcie wypowiada³a siê na temat równoœci oraz praw kobiet. Ciekaw¹ i kontrowersyjn¹ postaci¹ jest Leni Riefenstahl. Jej Triumf Woli nakrêcony w 1934 roku i ukazuj¹cy ogólnopañstwowy zjazd NSDAP w Norymberdze natychmiast uznano za najlepszy film propagandowy, a Olimpiadê zalicza siê do dziesiêciu najlepszych dzie³ œwiatowej kinematografii. Rozdzia³ poœwiêcony Hannie Reitsch ukazuje karierê niezwykle utalentowanej kobiety, pilota pierwszych w œwiecie prototypów œmig³owca oraz samolotu z napêdem odrzutowym. W koñcowej fazie wojny sk³onna by³a odbyæ nawet samobójczy lot wewn¹trz pocisku V1. Wielodzietnoœæ, tak mile widziana w propagandzie nazistowskiej by³a równie¿ rzadkoœci¹. Wyj¹tkami by³y tu „wzorcowe” rodziny Bormannów i Goebbelsów. Gerda Bormann urodzi³a dziewiêcioro dzieci akceptuj¹c nawet poligamiê. ¯ona Sigmunda Raschera nie mog¹c urodziæ w³asnych dzieci, maj¹c na uwadze nazistowski kult matki, zdecydowa³a siê na kradzie¿ i adopcjê cudzych dzieci. Tajemnicze samobójstwo Geli Raubal w 1931 roku sta³o siê pretekstem do licznych mniej lub bardziej sensacyjnych spekulacji na temat tego wydarzenia i osobowoœci Adolfa Hitlera. W Kobietach nazistów nie znajdujemy jednak jednoznacznej odpowiedzi na pytanie o istotê i przyczyny zdarzenia, pomimo tego, ¿e A. M. Sigmund cytuje tu obszernie z wielu ró¿norodnych Ÿróde³. Œwiadczy to o chêci obiektywnego i mo¿liwie najwierniejszego ukazania rzeczywistoœci i o unikaniu tworzenia niesprawdzonych teorii. Rozdzia³ dotycz¹cy Ewy Braun jest analiz¹ jej nieskomplikowanej osobowoœci oraz prób¹ ukazania jej ¿ycia codziennego z Adolfem Hitlerem. Okazuje siê, ¿e liczne pog³oski na ten temat nie znajduj¹ pokrycia w rzeczywistoœci. Faktem jest jedynie to, ¿e z wielu wzglêdów zwi¹zek ten by³ starannie ukrywany. Hitler g³osi³, ¿e bezgraniczne poœwiêcenie dla ojczyzny uniemo¿liwia mu prowadzenie ¿ycia domowego. Brak wiedzy i zainteresowania polityk¹ ze strony Ewy Braun by³ w oczach dyktatora istotn¹ zalet¹ kochanki nie bior¹cej udzia³u w jego decyzjach. W Kobietach nazistów zabrak³o niestety rozdzia³u poœwiêconego rodzinie Himmlerów. Jedynie w czêœci poœwiêconej Henriecie von Schirach dowiadujemy siê, ¿e niezbyt towarzyski Heinrich Himmler (bêd¹cy przecie¿ w³adc¹ obozów koncentracyjnych ), traktowany by³ niezbyt dobrze przez sw¹ ¿onê Margarete, która otwarcie pogardza³a jego przekonaniami. Nasuwa siê wniosek, ¿e ksi¹¿ka Kobiety nazistów jest dowodem tego, ¿e hitlerowski wizerunek kobiety najmniej przemawiaæ musia³ w³aœnie do towarzyszek ¿ycia, przyjació³ek i ¿on nazistowskich przywódców. Bior¹c pod uwagê niewielk¹ objêtoœæ rozdzia³ów, pokaŸna liczba odsy³aczy umieszczona bezpoœrednio po ka¿dym z nich znacznie zwiêksza wartoœæ publikacji. Na koñcu obu tomów znajduj¹ siê bibliografie, które wskazuj¹, ¿e Autorka ko- SP 1 ’06 Recenzje 231 rzysta³a z licznych wywiadów, dokumentów, publikacji z okresu Trzeciej Rzeszy, a tak¿e z dorobku miêdzy innymi: Joachima Festa, Lwa Bezymienskiego, Davida Irvinga, Wernera Masera, Hugh Trevora-Ropera, Alana Bullocka. W bibliografii znajdujemy szereg publikacji o charakterze pamiêtnikarskim, np. pamiêtniki i listy Goebbelsa, Emmy Goering, Liny Heydrich, Hanny Reitsch, Leni Riefenstahl, Ernsta Hanfstaengla, Alberta Speera, Martina Bormanna, Karla Doenitza, Franza Haldera. Mo¿na zatem stwierdziæ, ¿e recenzowana praca posiada solidn¹ bazê Ÿród³ow¹. Czytaj¹c Kobiety nazistów odnosi siê wra¿enie, ¿e publikacja ta jest nie tylko zespo³em biografii pewnej grupy osób, lecz tak¿e wyrywkowym, lecz mimo to wartoœciowym materia³em historycznym. Decyduje o tym fakt, ¿e losy opisywanych postaci osadzone s¹ w kontekœcie wielu znacz¹cych procesów i wydarzeñ maj¹cych miejsce w pañstwie niemieckim nie tylko w dobie Hitlera, lecz równie¿ po zakoñczeniu wojny. Przyk³adowo rozdzia³y dotycz¹ce Carin Goering, Magdy Goebbels, Angeli Raubal, Ewy Braun, Gerdy Bormann oraz Winifried Wagner s¹ po czêœci opisem drogi partii hitlerowskiej do w³adzy. Negatywny obraz Trzeciej Rzeszy ukazany jest miêdzy innymi w czêœci poœwiêconej Karoline Rascher i Linie Heydrich. Upadek „Tysi¹cletniej Rzeszy” znajduje natomiast swe odzwierciedlenie w czêœciach poœwiêconych Ewie Braun, Magdzie Goebbels oraz Hannie Reitsch. Niezmiernym atutem pracy jest to, ¿e A. M. Sigmund przytaczaj¹c, a nawet wprost cytuj¹c i krytykuj¹c ró¿norodne przekazy, stara siê unikaæ sensacyjnych i niesprawdzonych w¹tków, dbaj¹c dziêki temu o zachowanie obiektywizmu. Na ponad czterystu stronach zgromadzono tutaj doœæ skrótowy, lecz usystematyzowany materia³ biograficzny, który umo¿liwia stworzenie obrazu szeregu osób, o których dotychczasowa wiedza oparta by³a w praktyce jedynie na subiektywnych przekazach lub niesprawdzonych pog³oskach. Pomimo niewielkiej objêtoœci rozdzia³ów, Autorce udaje siê jednak w dostateczny sposób przybli¿yæ czytelnikowi losy opisywanych postaci oraz zag³êbiæ w ich osobowoœæ. Nale¿y zatem uznaæ, ¿e cel publikacji zosta³ w znacznej mierze osi¹gniêty. Jacek Bochiñski Poznañ
https://openalex.org/W4320856586
https://prism.ucalgary.ca/bitstream/1880/115871/1/41687_2023_Article_556.pdf
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Patient-reported outcome measures used to improve youth mental health services: a systematic review
Journal of patient-reported outcomes
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cc-by
10,743
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Introduction Mental health conditions change a person’s thinking, feeling, and behavior, causing discomfort and making it difficult for them to function, comprising 10% of children and youth who experience mental disorders globally [1]. Mental health conditions are the most common cause affecting people’s quality of life in which most mental problems begin before the age of 14 and are frequently misdiagnosed and undertreated; most do not seek help [2]. According to the Mental Health Commission of Canada, “Healthy emotional and social development in *Correspondence: Maria Santana mjsantana@ucalgary.ca 1 Department of Community Health Sciences, Cumming School of Medicine, University of Calgary, Calgary, AB, Canada 2 School of Public Policy, University of Calgary, Calgary, AB, Canada 3 Department of Paediatrics, Cumming School of Medicine, University of Calgary, Calgary, AB, Canada 4 Faculty of Kinesiology, University of Calgary, Calgary, AB, Canada 5 Department of Medicine and Community Health Sciences, University of Calgary, Calgary, AB, Canada 6 Alberta Children’s Hospital, 2888 Shaganappi Trail NW, Calgary, Canada Abstract Background  Patient-reported outcome measures (PROMs) are standardized and validated self-administered ques- tionnaires that assess whether healthcare interventions and practices improve patients’ health and quality of life. PROMs are commonly implemented in children and youth mental health services, as they increasingly emphasize patient-centered care. The objective of this study was to identify and describe the PROMs that are currently in use with children and youth living with mental health conditions (MHCs). Methods  Three databases (MEDLINE, EMBASE, and PsycINFO) were systematically searched that used PROMs with children and youth < 18 years of age living with at least one diagnosed MHC. All methods were noted according to Preferred Reporting Items for Systematic reviews and Meta-Analysis. Four independent reviewers extracted data, which included study characteristics (country, year), setting, the type of MHC under investigation, how the PROMs were used, type of respondent, number of items, domain descriptors, and the psychometric properties. Results  Of the 5004 articles returned by the electronic search, 34 full-texts were included in this review. This review identified both generic and disease-specific PROMs, and of the 28 measures identified, 13 were generic, two were generic preference-based, and 13 were disease-specific. Conclusion  This review shows there is a diverse array of PROMs used in children and youth living with MHCs. Inte- grating PROMs into the routine clinical care of youth living with MHCs could improve the mental health of youth. Fur- ther research on how relevant these PROMs are children and youth with mental health conditions will help establish more uniformity in the use of PROMs for this population. Keywords  Patient-reported outcome measures (PROMs), Child and youth, Mental health conditions Thapa Bajgain et al. Journal of Patient-Reported Outcomes (2023) 7:14 https://doi.org/10.1186/s41687-023-00556-0 Thapa Bajgain et al. Journal of Patient-Reported Outcomes (2023) 7:14 https://doi.org/10.1186/s41687-023-00556-0 Thapa Bajgain et al. Journal of Patient-Reported Outcomes (2023) 7:14 https://doi.org/10.1186/s41687-023-00556-0 Journal of Patient- Reported Outcomes Open Access Open Access Patient‑reported outcome measures used to improve youth mental health services: a systematic review Kalpana Thapa Bajgain1, Mungunzul Amarbayan2, Krystle Wittevrongel2, Erin McCabe2,3, Syeda Farwa Naqvi1, Karen Tang5, Fariba Aghajafari5, Jennifer D. Zwicker2,4 and Maria Santana3,6* Thapa Bajgain et al. Journal of Patient-Reported Outcomes (2023) 7:14 Page 2 of 15 our early years lay the foundation for mental health and resilience throughout the lifespan [3].” Youth with men- tal health illnesses are frequently encountered in various contexts, such as their own families, homes, school, and communities [4]. Often serious problems we come across in adulthood such as depression, substance misuse, fam- ily violence, and criminality have roots that start much earlier in life, typically with serious childhood behavior and emotional disorders [5]. Indeed, early detection and intervention can reduce emotional and behavioral prob- lems, and functional impairments, prevent engagement with law enforcement in all forms and improve learning outcomes and school performance [6]. EQ-5D) determine health conditions and also be used to generate health utility value to calculate quality-adjusted life years (QALYs) which are used in health economic evaluations [15].h The use of PROMs in pediatric care requires spe- cific considerations. For instance, according to the Food and Drug Administration (FDA), while using pediatric PROMs in health research and clinical care special con- sideration should be granted to the reading level of the child, considering vocabulary, age, and cognition level so that a child can provide a valid and reliable answer [16]. Furthermore, to address some of the age-specific and cognition level aspects, both self-reported and parent- proxy reported PROMs have been employed in pediatric populations [16–20]. Mental healthcare systems continue developing strat- egies to improve children and youth’s well-being [7]. In patient-centered care, the effectiveness of mental health interventions and improvements can be determined using Patient-Reported Outcome Measures (PROMs) which are carefully assessed and monitored [8]. PROMs are standardized and validated self-administered ques- tionnaires that assess patients’ health and quality of life involving symptoms, function, pain, and physical and mental health [7]. These outcome measures need to be valid, reliable, change-sensitive, important, and mean- ingful for both the patient and provider [9]. Evidence has shown that the integration of PROMs in routine clini- cal care practice enriches communication between the patient, family, and healthcare providers, resulting in better care management, maintaining low health service utilization, and patient care experiences and outcomes, and ensuring that the voices of the service user are heard [10, 11]. Methodh This systematic review is reported following the Pre- ferred Reporting Items for Systematic reviews and Meta- Analysis (PRISMA) guidelines [23]. The search was developed in collaboration with a health librarian and the research team. A study has shown that using PROMs improves treatment outcomes and particularly in Child men- tal health research, using PROMs in combination with patient feedback allows for faster patient improvement than using PROMs [12, 13]. Despite the evidence that the use of PROMs in clinical care improves health outcomes, their use in mental health settings for children and youth is infrequent in Canada. A number of PROMS have been developed for the adult and youth population with mental health condi- tions. There is a consortium of different measures used on different age groups for youth, which implies that there is no consensus in the literature on which meas- urements are best-practice and most appropriate for this population [21]. Moreover, it is unclear what measures are relevant for use in a clinical context [14]. This study addresses the need to identify measures used across mental health settings and summarizes key properties of the measures relevant for clinical use [22].h The primary aim of this review was to identify appropri- ate PROMs for children and youth living with mental health conditions (MHCs). The secondary aims were to explore: (1) How PROMs are being currently used in child and youth MHCs such as study design, setting, and in what populations, modes of administration (paper, interview, survey, electronic, and responder type). (2) The psychometric properties (validity, reliability) of the identified PROMs as reported in the studies. This inventory of PROMs will highlight crucial infor- mation for ensuring healthcare is relevant and valuable to children and youth living with MHCs and their families. Generally, PROMs can be classified into various cate- gories. Generic PROMs are multidimensional and assess the general health aspects that are relevant to the patient group and the general population, allowing comparison across different health conditions, populations, and inter- ventions [14]. Strength and Difficulties Questionnaire (SDQ), and Short Form-36 (SF-36) are some examples of such measures. While disease-specific PROMs aim to gather pieces of information on an aspect of health that is particular for a specific disease [8]. Generic PROMs could be further classified as Profile and Preference- based in which Profile-based measures (for e.g. SF-36) assess the health domains that are measured by multi- ple items, whereas preference-based measures (such as Data sources and selection process A search of three electronic databases (MEDLINE, EMBASE, and PsycINFO) was performed for articles published from January 2000 to May 2021. Searches Thapa Bajgain et al. Journal of Patient-Reported Outcomes (2023) 7:14 Page 3 of 15 search. The final disagreements about study eligibility were resolved through discussion by the research team. We only considered PROMs as measurement instru- ments that are validated for use across different set- tings (i.e., questionnaires developed and used by a single study were not included). We also included proxy-report PROMs, because in pediatric care, PROMs can also be reported by the family or caregiver of the patient. PROM ‘families’ (i.e., PROMs with multiple forms) were included as well. For example, the Health Utilities Index (HUI) descriptive system can be scored using value sets that provide an HUI‐2 or HUI‐3 index. search. The final disagreements about study eligibility were resolved through discussion by the research team. were limited from the year 2000 because the integration of PROMs in routine clinical care was initiated after the year 2000 [24]. We only considered PROMs as measurement instru- ments that are validated for use across different set- tings (i.e., questionnaires developed and used by a single study were not included). We also included proxy-report PROMs, because in pediatric care, PROMs can also be reported by the family or caregiver of the patient. PROM ‘families’ (i.e., PROMs with multiple forms) were included as well. For example, the Health Utilities Index (HUI) descriptive system can be scored using value sets that provide an HUI‐2 or HUI‐3 index. Search strategies were developed in consultation with a medical health librarian. The first search concept was PROMs, using the following keywords: “Patient-reported outcome measures” OR, “routine outcome assessment” or “self-reported outcome” or “patient outcome assess- ment” or health-related quality of life” or “PRO” or “PROMs” or “PROMIS”. The second search concept was mental health, searched using the keywords: “Mental health”, “mental illness”, “mental disorder”, OR “mood disorder” or “Schizophrenia” or “eating disorder” or “psy- chological disorder” or “OCD” or “Depression” or “bipo- lar or anxiety or “PTSD” or “self-harm”. The third search concept, youth [18 years and younger] was searched using keywords: “Adolescent” or “Youth” or “Teenage” or “Teen” or “children” or “infant” or “kids” or “child” or “toddler” or “juvenile” or “parents” or “caregiver” were used. The three search concepts were combined using the Boolean operator ‘AND’. Data extraction and quality assessmenth The following data were extracted from each study that met the inclusion criteria: study characteristics (country and year of publication), study setting, study design, men- tal health condition, PROM(s) used and type (generic/ disease-specific, preference-based), respondent type (self, parent/proxy, or both), response options, number of items, number of domains, domain descriptor, purpose/ use of implementation, and the PROM’s psychometric properties (validity, reliability). Four independent review- ers extracted all pertinent data from the articles deemed for inclusion using a standardized form (KTB, MMA, KW, and FN). Methodological quality assessment of the included studies was assessed using the Quality Assess- ment Tool for the studies with diverse design (QATSDD) critical appraisal tool by the first author (KTB) [26]. The QATSDD demonstrates strong validity and reliability for assessing the quality of quantitative and qualitative stud- ies and for reviewers it may be a useful tool to standardize and increase the rigor of the assessment in their review [26]. Each item in the QATSDD tool is scored on a 0–3 scale (0 = not at all described 1 = very slightly described 2 = moderately described 3 = completely described) with the total score ranging from 0 to 42. The studies with the score above 60% are at low risk of bias whereas studies below 60% are at higher risk of bias. The items comprised a description of an explicit theoretical framework, a statement of objectives in the body of the paper, a detail- ing of the research setting, a consideration of sample size in analysis, a representative sample, a description of data Study screening and selection d h h h f b To diminish the chances of barring relevant articles and to alleviate bias, four team members worked in pairs (KTB, MMA, KW, and FN) to independently screen titles and abstracts of all studies against our predeter- mined inclusion and exclusion criteria. The studies which did not meet the requirement for inclusion were elimi- nated. Any divergences that arose were resolved by senior authors (MS and JZ). Data sources and selection process We also used subject headings in each search concept (MEDline search strategy in Addi- tional file 1: S1). Searches were adapted to each electronic database and limited to the English language. Inclusion and exclusion An article was eligible for inclusion if it: (1) used one or more PROMs (we included PROMs as measurement tools that are validated for use in different settings); (2) was conducted in a population < 18 years of age with at least one MHC with a formal diagnosis according to the DSM 5 [25]; (3) was peer-reviewed; and (4) was published in English and the full text was available. Measures could be completed by children, parents, or both. Exclusion criteria included: (1) the study did not use a PROM as an outcome measure (including studies evalu- ating psychometric properties or cultural adaptation of PROMs); (2) the study population did not have a formal MHC diagnosis; (3) study participants were > 18  years or above, (4) the study population had condition related to Neurodevelopmental disabilities (5) also participants diagnosed with medical illness comorbidities i.e. cancer, diabetes, etc. and (6) the full text of the study was not available. Citations generated by all database searches were compiled using Covidence for reference manage- ment and data extraction. During the search, systematic review articles were not included in the final list but were used for a supplemen- tary search. In this supplementary search, citations were extracted, and reference lists were manually examined to confirm the inclusion of all relevant studies. The same inclusion criteria were applied in the supplementary Thapa Bajgain et al. Journal of Patient-Reported Outcomes (2023) 7:14 Thapa Bajgain et al. Journal of Patient-Reported Outcomes Page 4 of 15 collection and recruitment procedure, reliability, and validity of measurement of data collection, fit between research question and data collection and analysis meth- odology, justification for analysis, user involvement in design and strengths and limitation described [26]. For ease of interpretation, the scores were converted into a percentage. neurodevelopmental disorders (NDD) and other comor- bidities; the age range of participants; and non-men- tal health-related studies. As a result, 34 articles were included in this systematic review. Characteristics of included studies Overall, we found that in recent years there is growing utilization of PROMs in child and youth mental health settings. Of the 34 studies, 18 studies were conducted in Europe (Germany, Netherland, the United Kingdom, Norway, Austria, Scotland, and Switzerland), while six studies occurred in the United States. Five multi-site studies included more than one country in their evalua- tion (Table 1). Search results Figure 1 depicts the search result following the PRISMA guidelines [23]. This electronic search returned 5004 arti- cles. After duplicate articles were removed, 3568 articles remained. After title and abstract screening of 3568 arti- cles, 367 potentially relevant studies were identified for full-text screening. Of these, 333 articles were excluded. The reasons for exclusion included: studies related to Study settings included pediatric outpatient depart- ments and hospitals, mental health clinics, commu- nity mental health services, diagnostic centers in the Fig. 1  PRISMA 2009 flow diagram Fig. 1  PRISMA 2009 flow diagram Fig. 1  PRISMA 2009 flow diagram Fig. Thapa Bajgain et al. Search results Journal of Patient-Reported Outcomes (2023) 7:14 Page 5 of 15 h i l i h h 13 d i d ll d i l d f Table 1  General characteristics of included studies References Country of origin Setting Design MHC [27] Germany Pediatric Outpatient clinic Randomized controlled trial Post-traumatic stress disorder [28] Netherlands Outpatient clinic Randomized controlled trial Anxiety [29] Canada Mental health clinics in the pedi- atric hospital Observational General mental disorder [30] United States Pediatric department Observational Paraphilia [31] Israel Psychiatric outpatient depart- ment Non-randomized Major depression [32] United Kingdom Hospital Observational Eating disorder [33] Austria Psychiatric outpatient depart- ment Observational General mental disorders [34] Australia Face to face interview Observational General mental disorders [35] United States Outpatient sites Randomized controlled trial Bipolar Mania; Schizophrenia; or schizoaffective disorder [36] United States Hospital Observational Bipolar 1 disorder [21] England, Scotland Clinic Observational General mental disorders [37] N/A Inpatient vs outpatient Observational Bipolar 1 disorder [38] United Kingdom Hospital Randomized controlled trial General mental disorder [39] United Kingdom Community and clinical setting Randomized controlled trial Depression [40] United Kingdom Psychiatric inpatient care Randomized controlled trial General mental disorders [41] Netherland Diagnostic center in the hospital Observational Avoidant restrictive food intake disorder [42] Australia Clinic Randomized controlled trial Anxiety [43] Germany Outpatient psychotherapy treat- ment Observational General mental disorders [44] Germany Outpatient psychotherapy treat- ment Observational General mental disorders [45] Norway Multicentre Observational Obsessive–compulsive disorder [46] Norway Multicentre Observational Obsessive–compulsive disorder [47] USA, Mexico, Russia Multicentre Randomized controlled trial Bipolar 1 disorder [48] Chile PHC Randomized controlled trial Depression [49] United Kingdom Child and Adolescent Mental Health Services Observational General mental disorders [50] United States Outpatient treatment at multiple sites Observational Eating disorder [51] Switzerland National survey Non-randomized experimental General mental disorders [52] United Kingdom Multisite Randomized controlled trial Depression [53] Netherland Outpatient psychiatric clinic Observational General mental disorders [54] United States Multisite (Pediatric clinics) Randomized controlled trial Major depressive disorder [55] USA, India, Canada, Costa Rica, Mexico Multisite (hospital, general prac- tice, and academic centers) Randomized controlled trial Major depressive disorder [56] USA, India, Canada, Costa Rica, Mexico Multisite (Pediatric clinics) Non-randomized experimental Major depressive disorder [57] Brazil Child and Adolescent Psychiatry Non-randomized experimental Social anxiety disorder [58] United States Community mental health center or an academic medical center Observational Bipolar 1 disorder [59] Scandinavian Countries Clinic Randomized controlled trial OCD Table 1  General characteristics of included studies 13 were randomized controlled trials, and four were non-randomized experimental studies. Response option/scale Most PROMs used a Likert scale (three to five points), a linear scale with numbers or words explaining the range or severity of options, yes/no scales, and/or a visual analog scale (VAS). For instance, the KIDSCREEN 27— child version applies a five-point Likert scale from never to always. The PedsQOL 4.0 young child report version (children under the age of 8) utilizes a simplified Likert scale with facial expression response options. The Euro- Qol is a five-dimensional youth questionnaire (each state- ment is evaluated from three ordinal levels, no problem to severe problem) and VAS (ranging from best imagina- ble health to worst imaginable health). Domain descriptor T bl d l Table  2 displays the domains of generic, preference- based, and disease-specific PROMs, the number of PROMs that measure each domain, and the PROM that measures the displayed domain. The most common domains measured were emotional status (mood, emo- tion, and temper), bodily pain, symptoms and discom- fort, social functioning/behaviour (social life, getting along with others, social support, communication, rela- tionship, role function), and physical activities (physical functioning, physical activities, physical wellbeing, and belonging). Patient‑reported outcome measures (PROMs) characteristics Among 34 studies, there were 28 numbers of unique PROMs identified. Thirteen measures were unique generic profile PROMs, among the most common were KIDSCREEN [29, 43, 44, 48, 51], Strengths and Difficul- ties Questionnaire (SDQ) [21, 38, 40, 42, 49], KINDL-R [45–47], [58, 59], Pediatric Quality of Life Enjoyment and Satisfaction (PQ-LES-Q) [30, 54–56], and the Pediatric Quality of Life Inventory (PedsQl) 4.0 [33, 34, 41]. There were two generic preference-based PROMs, the Euroqol (EQ-5D 3L and 5L), Health Utilities Index (HUI2/3) and thirteen measures were disease-specific, most of which were used in depression such as beck depression inven- tory (BDI) and child depression inventory (CDI) (Addi- tional file 2: S2). Study population age rangesh The age of the study population ranges from 0 to 18. There are different versions of PROMs existing for differ- ent age ranges. Out of 28 PROMs, seven (PQ-LES, CHQ, Pedsqol, CBCL, KIDSCREENN, KINDL-R) were used in children under 8  years. However, the PROMs such as EQ-5D-5L, PROMIS Depression scale, BDI, C-SSRS, SCARED, YMRS, HONOSCA, WEMWBS, CHQ, SDQ, YSR, KINDL-R, CDI have been used across children 12–18 years of age. Generic PROMs were more focused on the measure- ment of a broad aspect of health-related quality of life, whereas disease-specific measurements were more spe- cific to psychological assessment and clinical symptoms. For example, generic instruments such as CHQ, KID- SCREEN, KINDRL, PQ-LES-Q, PedsQl 4.0, TAPQOL, CHQ-PF-50, and SF-36 also covered the domain of physical activities, daily activities, and social functioning/ behavior while KIDSCREEN, KINDRL, PQ-LES-Q also included family relationships. Preference-based PROMs included pain/discomfort, daily activities, emotional sta- tus, and negative feeling. while disease-specific PROMs, including SCARED-R, CDI, BDI-II, YMRS, HONOSCA, assessed bodily pain, discomfort, and symptoms. Among these specific PROMs, SCARED-R, SCARED-D, BDI, SCAS were specifically developed to measure mental Search results In this review 21% of the studies had a diagnosis of major depression, followed by bipolar disorder (12%), anxiety (9%) and hospital, outpatient psychotherapy treatment centers, and primary health centers. Some studies included mul- tiple sites (pediatric hospitals, general practice, and aca- demic centers). Seventeen studies were observational, Thapa Bajgain et al. Journal of Patient-Reported Outcomes (2023) 7:14 Thapa Bajgain et al. Journal of Patient-Reported Outcomes Page 6 of 15 Page 6 of 15 obsessive–compulsive disorder (OCD) (9%). Thirty two percent (32%) of the study had unspecified or broad cat- egories of diagnosed MHC, and another 26% were cat- egorised as “Schizophrenia; schizoaffective disorder, eating disorder, avoidant restrictive food intake disorder, paraphilia”. Number of itemsh The number of items present on each PROM ranged from five [27, 39, 52] to 118 [43, 44]. Standard descriptive sociodemographic items such as age, sex, date of birth, body functioning, living conditions, and family compo- sition were also included as items in some of the ques- tionnaires (for e.g. Kindle, Kidscreen, TAPQOL), which added to the number of items but did not contribute to the scoring. Psychometric properties Table 3 summarizes the evidence of psychometric prop- erties (validity, reliability) of PROMs that have been reported by the studies in this review. Out of 34 stud- ies, some studies reported on information on more than one psychometric property and included more than one PROMs in their studies. Forty-two percent of the stud- ies (42%) reported on a type of validity, and the internal Responder type and method of administration Journal of Patient-Reported Outcomes (2023) 7:14 Page 7 of 15 Table 2  Multidimensional generic, preference-based, and disease-specific PROMs in child and youth mental health concern Domain assessed PROMs Physical Pain/ discomfort Daily activities Emotional status Social functioning Negative feeling Family relationship Cognitive Others Generic CHQ ✓ ✓ ✓ ✓ KIDSCREEN ✓ ✓ ✓ ✓ ✓ KINDL ✓ ✓ ✓ PQ-LES-Q ✓ ✓ ✓ PedsQl 4.0 ✓ ✓ ✓ ✓ TAPQOL ✓ ✓ ✓ ✓ ✓ ✓ SF-36 ✓ ✓ ✓ ✓ CBCL MDBF ✓ SDQ ✓ ✓ VSP-A WEMWBS Y-QOL YSR ✓ Preference based EQ-5D-5L ✓ ✓ ✓ EQ-5D-Y ✓ ✓ ✓ HUI ✓ ✓ ✓ ✓ Disease-specific BDI ✓ ✓ ✓ ✓ EDE-Q CDI ✓ ✓ SCARED ✓ ✓ MFQ ✓ YMRS ✓ PROMIS pediatric depression scale ✓ ✓ ✓ YSR HONOSCA ✓ ✓ SCAS ✓ Table 2  Multidimensional generic, preference-based, and disease-specific PROMs in child and youth mental health concern Domain assessed PROMs Physical Pain/ discomfort Daily activities Emotional status Social functioning Negative feeling Family relationship Cognitive Others Generic CHQ ✓ ✓ ✓ ✓ KIDSCREEN ✓ ✓ ✓ ✓ ✓ KINDL ✓ ✓ ✓ PQ-LES-Q ✓ ✓ ✓ PedsQl 4.0 ✓ ✓ ✓ ✓ TAPQOL ✓ ✓ ✓ ✓ ✓ ✓ SF-36 ✓ ✓ ✓ ✓ CBCL MDBF ✓ SDQ ✓ ✓ VSP-A WEMWBS Y-QOL YSR ✓ Preference based EQ-5D-5L ✓ ✓ ✓ EQ-5D-Y ✓ ✓ ✓ HUI ✓ ✓ ✓ ✓ Disease-specific BDI ✓ ✓ ✓ ✓ EDE-Q CDI ✓ ✓ SCARED ✓ ✓ MFQ ✓ YMRS ✓ PROMIS pediatric depression scale ✓ ✓ ✓ YSR HONOSCA ✓ ✓ SCAS ✓ Table 2  Multidimensional generic, preference-based, and disease-specific PROMs in child and youth mental h sional generic, preference-based, and disease-specific PROMs in child and youth mental health concern health in children and youth including items on nega- tive feelings. Likewise, the other common dimensions covered are family and friend relationships, school and leisure achievement, symptomatology, mental health, change in health, and self-esteem. consistency (Cronbach’s alpha). The rest did not report any information or made a general statement that the measures were valid and reliable. Moreover, thirty five percent (35%) of studies of the identified PROMs were reported to have good test–retest reliability, Intraclass correlation coefficient, or Guttman split-half reliability of PROMs identified while the rest of the studies did not report any information on reliability. Responder type and method of administration Many of the PROMs in the included studies were admin- istered to the child for self-report [27–33, 35, 38, 40, 44, 48–50, 52, 54–58]. Twelve measures included both self- report and proxy report [21, 28, 29, 41–47, 51, 58] and five measures have been reported by proxy only [34, 36, 37, 41, 44]. Proxy reporting was used in some studies due to a child’s young age and cognitive abilities (Additional file 2: S2). i Many studies [31, 33–35, 45, 48, 49, 51–53] used non- electronic methods of administration, for example inter- view, paper in clinic or by mail. Less commonly [38, 41] data were collected using electronic methods whereas most of the studies did not report on methods or modes of PROMs administration. Thapa Bajgain et al. Risk of bias assessment In accordance with the QATSDD tool, the quality rat- ing of included studies ranged from 38 to 90% with an average quality rating of 65%. Twenty-nine studies score above 60% (See QATSDD score in Additional file 3: S3). Thapa Bajgain et al. Journal of Patient-Reported Outcomes (2023) 7:14 Page 8 of 15 Table 3  Psychometric properties of PROMs (validity, reliability, and responsiveness) PROM name Validity Reliability Responsiveness EQ-5D-5L [27] NR (Not Reported) N/R N/R EQ-5D-5L [52] NR N/R N/R Screen for Child Anxiety Related Disorders [31] NR N/R Screen for Child Anxiety Related Disorders [28] Internal consistency (0.92–0.96) Good test–retest reliability (intraclass correlation coefficients = 0.34–0.79) N/R Screen for Child Anxiety Related Disorders Child version [57] Internal consistency (alpha = 0.74–0.93) Test–retest reliability (intraclass correlation coef- ficients = 0.70–0.90) N/R Screen for Child Anxiety Related Disorders Par- ent version [57] Internal consistency (alpha = 0.74–0.93) Test–retest reliability (intraclass correlation coef- ficients = 0.70–0.90) N/R The Children’s Depression Inventory—2 [52] Internal consistency (Cronbach’s alpha = 0.91) Test–retest reliability (0.76–0.92) N/R The Children’s Depression Inventory—2 [28] Internal Consistency (0.75–0.85) N/R N/R KIDSCREEN-27 [29] Internal consistency (0.67–0.88) N/R N/R KIDSCREEN-27 [44] N/R N/R N/R KIDSCREEN-27 [43] Internal consistency: (0.78–0.83) Intraclass correlation between ICC = 0.44–0.61 N/R KIDSCREEN-27 [48] The internal consistency (0.80–0.84) Intraclass correlation between ICC = 0.44–0.61 N/R KIDSCREEN-27 [50] Internal consistency: (0.78–0.88) N/R N/R Pediatric Quality of Life Enjoyment and Satisfac- tion Questionnaire [30] NR NR Kevin’s scores [53–69], correspond with the 68th and 96th percentiles Pediatric Quality of Life Enjoyment and Satisfac- tion Questionnaire [54] NR NR NR Pediatric Quality of Life Enjoyment and Satisfac- tion Questionnaire [55] NR NR NR Pediatric Quality of Life Enjoyment and Satisfac- tion Questionnaire [56] NR NR NR PROMIS Pediatric Depression Scale [30] NR NR Liebowitz Social Anxiety Scale for Children/Ado- lescents decreased from (69–43) and (65–30) Beck Depression Inventory [31] NR NR NR Beck Depression Inventory-II [32] NR NR Patients had a high level of depression (BDI: 38.1 ± 15.6 vs. 26.6 ± 12.4) and a higher rate of suicidal behavior the beginning. Risk of bias assessment All physical and psychosocial measures improved substantially and clinically significantly by discharge Beck Depression Inventory-II [39] N/R N/R The depression score reduced after receiving CCBT Beck Depression Inventory-II [48] N/R N/R N/R able 3  Psychometric properties of PROMs (validity, reliability, and responsiveness) ROM name Validity Reliability Responsiveness Q-5D-5L [27] NR (Not Reported) N/R N/R Q-5D-5L [52] NR N/R N/R reen for Child Anxiety Related Disorders [31] NR N/R reen for Child Anxiety Related Disorders [28] Internal consistency (0.92–0.96) Good test–retest reliability (intraclass correlation coefficients = 0.34–0.79) N/R reen for Child Anxiety Related Disorders Child rsion [57] Internal consistency (alpha = 0.74–0.93) Test–retest reliability (intraclass correlation coef- ficients = 0.70–0.90) N/R reen for Child Anxiety Related Disorders Par- t version [57] Internal consistency (alpha = 0.74–0.93) Test–retest reliability (intraclass correlation coef- ficients = 0.70–0.90) N/R e Children’s Depression Inventory—2 [52] Internal consistency (Cronbach’s alpha = 0.91) Test–retest reliability (0.76–0.92) N/R e Children’s Depression Inventory—2 [28] Internal Consistency (0.75–0.85) N/R N/R DSCREEN-27 [29] Internal consistency (0.67–0.88) N/R N/R DSCREEN-27 [44] N/R N/R N/R DSCREEN-27 [43] Internal consistency: (0.78–0.83) Intraclass correlation between ICC = 0.44–0.61 N/R DSCREEN-27 [48] The internal consistency (0.80–0.84) Intraclass correlation between ICC = 0.44–0.61 N/R DSCREEN-27 [50] Internal consistency: (0.78–0.88) N/R N/R diatric Quality of Life Enjoyment and Satisfac- n Questionnaire [30] NR NR Kevin’s scores [53–69], correspond with the 68th and 96th percentiles diatric Quality of Life Enjoyment and Satisfac- n Questionnaire [54] NR NR NR diatric Quality of Life Enjoyment and Satisfac- n Questionnaire [55] NR NR NR diatric Quality of Life Enjoyment and Satisfac- n Questionnaire [56] NR NR NR OMIS Pediatric Depression Scale [30] NR NR Liebowitz Social Anxiety Scale for Children/Ado- lescents decreased from (69–43) and (65–30) ck Depression Inventory [31] NR NR NR ck Depression Inventory-II [32] NR NR Patients had a high level of depression (BDI: 38.1 ± 15.6 vs. 26.6 ± 12.4) and a higher rate of suicidal behavior the beginning. All physical and psychosocial measures improved substantially and clinically significantly by discharge ck Depression Inventory-II [39] N/R N/R The depression score reduced after receiving CCBT ck Depression Inventory-II [48] N/R N/R N/R Page 9 of 15 Thapa Bajgain et al. Risk of bias assessment Journal of Patient-Reported Outcomes (2023) 7:14 Table 3  (continued) PROM name Validity Reliability Responsiveness Columbia Suicide Severity Rating Scale [31] NR NR No differences were detected between the group of children who had a previous SA Suicide Ideation Questionnaire Short Version [31] NR NR NR Young Mania Rating Scale [31] NR NR NR The health of the Nation Outcome Scale for Children and Adolescents [32] NR NR Children’s Global Assessment Scale: 13.6 + 2 ver- sus 26.9 + 9;(HONOSCA): 41.7 + 5 versus 31.9 + 5) were worse at the beginning. All physical and psychosocial measures improved substantially and clinically significantly Morgan-Russell (M-R) scale [32] NR NR NR Multidimensional Mood Questionnaire [33] NR NR Significant improvement in current mood state, dimension’s mood (mean 1.86; 95% CI 0.13, 3.58; p = 0.036),calmness (mean 2.71, 95% CI 1.07, 4.36; p = 0.002) Pediatric Quality of Life Inventory [34] NR NR N/R Pediatric Quality of Life Inventory [33] N/R NR No changes in quality of life between 2 groups Pediatric Quality of Life Inventory [41] Internal consistency (Cronbach alpha: > 0.70) NR NR Warwick-Edinburgh Mental Well-Being Scale [33] N/R NR No changes in well being were found Child Health Questionnaire [35] Internal consistency (Cronbach α:0.70–0.87) NR NR Child Health Questionnaire Parent Form [36] NR NR Significant improvement in HRQOL, particularly psychosocial subscale Child Health Questionnaire Parent Form [37] N/R N/R N/R Strengths and Difficulties Questionnaire [21] Internal consistency (α: 0.73) NR N/R Strengths and Difficulties Questionnaire [38] N/R NR Economic analyses suggest that SDS has at least a 50% probability of being cost-effective com- pared with usual care Strengths and Difficulties Questionnaire [40] Internal consistency (α: 0.73) NR N/R Strengths and Difficulties Questionnaire [42] Internal consistency (α: 0.73) NR Significant improvements in child-reported emotional problems from pre-treatment to post- treatment Strengths and Difficulties Questionnaire [49] N/R NR NR European Quality of Life Five Dimension [39] N/R NR Quality of life was improved Health Utility Index Mark 2 [39] N/R NR NR Mood and Feelings Questionnaire [39] Internal consistency (α = 0.95) NR The reduction was seen in depression score as measured by MFQ Spence Children’s Anxiety Scale [39] Internal consistency (α = 0.92) Guttman split-half reliability (0.90) NR Page 10 of 15 Thapa Bajgain et al. Discussion Another important consideration is the “responder type”, which can be either self, parent/caregiver, or both, and from a treatment point of view, all these viewpoints are essential [21]. It is recommended to use the proxy version, although our review disclosed very little use of parent reports including wide age ranges of children and youth. However, using self and proxy-reported versions determines various limitations, perhaps due to differ- ences in thinking levels about the events and interpre- tation in different ways, though it seems that the proxy measurement is very useful [68, 69]. Many of the stud- ies included in this review used paper-based methods of administration, which is the traditional common way to administer. However, electronic methods of data collec- tion are becoming more popular [70] to reduce the extra burden of data entry, and they have the potential to be more cost-effective in the long run, in comparison to paper-based methods [71]. In this systematic review, twenty-eight PROMs were identified from 34 studies to improve child and youth mental health services. We described both generic and disease-specific PROMs used in this population, their psychometric properties, and how they were most com- monly used. This study finds that PROMs used in child and youth mental health settings are more predominant in Euro- pean countries; showed more than half of the studies were conducted in European countries including the United Kingdom, Germany, Netherland. These findings are consistent with the study which also showed outcome measures were frequently used in child and adolescent mental health services in the United Kingdom, Norway, and Denmark [60]. Another literature review also showed that England, the Netherlands, Sweden, and the United States are the nations that are advanced in implement- ing PROMs at the national level, with growing interest in adopting a national strategy in Canada [61]. Concerning the response scale, it should be easily understandable and obvious for children, particularly with mental health concerns. The current review showed that most of the questionnaires used the Likert scale in some form. This finding is consistent with Davis et  al. [72], that there is some evidence for children aged 8 and up, that the five-response option is likely to be valid, younger children seem to be differentiated and often go for severe options when compared with the parents. Risk of bias assessment Journal of Patient-Reported Outcomes (2023) 7:14 ble 3  (continued) OM name Validity Reliability Responsiveness ence Children’s Anxiety Scale [42] Internal consistency (α = 0.92) Guttman split-half reliability (0.90) Significant improvements in child-reported anxi- ety from pre-treatment–posttreatment O-AZL Preschool Children Quality of Life [41] Cronbach’s alpha (0.71–0.92) NR NR ild Behavior Checklist [44] NR NR NR uth Self Report [43] NR NR NR NDL-R [46] Cronbach’s alpha =  ≥ 0.70 NR Age-specific versions take into account the changes in the quality-of-life dimensions throughout the child’s development NDL-R [45] Cronbach’s alpha =  ≥ 0.70 NR NR NDL-R [47] Internal consistency = 0.84–0.89 NR No change in environmental conditions, while change did significantly impair the quality of life of children NDL-R [58] Internal consistency (Cronbach’s α ≥ 0.70) NR NR NDL-R [59] Cronbach’s α = 0.80) parent ratings, (0.82) the child ratings NR NR ting Disorder Examination-Questionnaire [50] N/R Cronbach’s α: Restraint = 0.82; Eating Concern = 0.81; Shape Concern = 0.92; Weight Concern = 0.83, and Global score = 0.95 NR NR -Item Short Form Survey [50] Widely used and well-validated N/R NR -VAS [52] N/R N/R NR cial Phobia and Anxiety Inventory for Children 7] Internal consistency (α = 0.946) The test–retest reliability (r = 0.780) NR uth Quality of Life Instrument–Research rsion [55] Internal consistency (α = 0.77–0.96) Intra-class-correlation coefficient (ICCs = 0.74– 0.85) NR ildren’s Yale-Brown Obsessive–Compulsive ale [59] Internal consistency (α = 0.90) Intra-class-correlation coefficient (ICC = 0.79) Significant differences between the first and second administrations for the Obsession Sever- ity Score with administration being lower than those on the first Thapa Bajgain et al. Journal of Patient-Reported Outcomes (2023) 7:14 Page 11 of 15 Page 11 of 15 Thapa Bajgain et al. Journal of Patient-Reported Outcomes (2023) 7:14 Overall, the studies possessed a high score on the explicit theoretical framework, statements of aim/objective, clear description of research questions, reasonable sample size, good justification of analytical methods, and strengths and limitations critically discussed. On the other hand, some criteria consistently received lower scores across studies, including a limited description of the research setting, evidence of sample size, and evidence of user involvement in design. disease-specific measures have been used for this popu- lation. This is somewhat unsurprising as research shows that in recent years usage of disease-specific measures has increased at an exponential rate [66]. Risk of bias assessment Disease-specific PROMs are focused on the individual and are therefore most applicable for assessing specific treatment out- comes in defined populations [8, 63]. Ultimately, generic and disease-specific PROMs provide complementary information, so it is recommended to use both to obtain the full information that is required to support health systems [67]. Discussion On the other hand, using facial expressions or pictorials for assessing pain or discomfort is common and assumed to be easily readable or understood by children [72]. Some of the studies concluded that pediatric questionnaires were quicker to complete if illustrations were provided and presumed that pictorial could assist children’s inter- est, capture their attention, clarifying response options which will ultimately create a more meaningful response. Further investigation is recommended, on whether this pictorial aid works better in the real world, however, pic- torial might be beneficial for younger children based on expert opinion and many instruments that have adopted this method [73]. Generic PROMs are multidimensional and assess the general aspects of health that are relevant to the patient group and the general population, allowing compari- son across different health conditions, populations, and interventions [14]. The KIDSCREEN, SDQ, KINDL, PedsQL were our review’s most used generic PROMs. Well-validated generic PROMs such as SDQ, SF-36, and CHQ were used in mental health settings and have been reported in other reviews [62]. Typically, generic PROMs lack sensitivity to disease-specific outcomes and tend to be used in the general population and are perhaps more relevant at the system level [8, 63]. On the other hand, generic preference-based measures such as EQ-5D and HUI are the most common preference-based PROMs identified in this review, and the same finding has been revealed in a previous review [64]. These measures are specifically developed for the youth and adolescent popu- lation, maybe the cause of their lower frequency of usage in the literature might be due to less vigorous data on their psychometric properties [65].i Disease-specific PROMs are rather focused to assess the aspect of health that is particular for a specific disease [8]. Like generic PROMs, our review revealed various In this review, we found the instruments have provided an accepted standard of internal consistency, and fairly Thapa Bajgain et al. Journal of Patient-Reported Outcomes (2023) 7:14 Page 12 of 15 quality appraisal did not impact the study selection. We also did not include PROMs that were still in the phase of validation, over time they would have met the criteria with more extensive validation. a few specified data on reliability, and responsiveness and we did not explicitly include studies that evaluated the psychometric properties of PROMs. Discussion For the clinical trial, longitudinal studies, or monitoring patients it’s con- cerning when there is a lack of evidence in responsive- ness [66]. This highlighted whether the instruments can identify clinical change over time or not. Notably, we presented the typical concept of validity, reliability of the measures in the study. Mokkink et al. [74] have encour- aged to follow COSMIN guidelines while developing PROMs with appropriate validity and a high degree of evidence [74]. This could be taken into consideration for future review. Conclusion and future researchh Abbreviations CHQ Child Health Questionnaire KIDSCREEN 25 KIDSCREEN 25 KINDR-L KINDR-L PQ-LES-Q Pediatric Quality of Life Enjoyment and Satisfaction PedsQ l 4.0 Pediatric Quality of Life Inventory 4.0 TAPQOL TNO-AZL Preschool Children Quality of Life CHQ-50 Child Health Questionnaire-Parent Form-50 SF-36 36 Items Short Survey PROMIS Patient-Reported Outcomes Medical Information System (EQ-5D-5L, EQ-5D-Y) European Quality of Life Five Dimension HUI Mark2/3 Health Utility Index SCARED-R Screen for Child Anxiety Related Disorders CDI The Children’s Depression Inventory BDI-II Beck Depression Inventory YMRS Young Mania Rating Scale HONOSCA The Health of the Nation Outcome Scale for Children and Adolescents EDEQ Eating Disorder Examination Questionnaire SDQ Strength and Difficulties Questionnaire MDBF Multidimensionnel Mood Questionnaire MFQ Mood and Fatigue Questionnaire SCAS Spence Child’s Anxiety Scale YSR Youth Self Report Conclusion and future researchh Abbreviations CHQ Child Health Questionnaire KIDSCREEN 25 KIDSCREEN 25 KINDR-L KINDR-L PQ-LES-Q Pediatric Quality of Life Enjoyment and Satisfaction PedsQ l 4.0 Pediatric Quality of Life Inventory 4.0 TAPQOL TNO-AZL Preschool Children Quality of Life CHQ-50 Child Health Questionnaire-Parent Form-50 SF-36 36 Items Short Survey PROMIS Patient-Reported Outcomes Medical Information System (EQ-5D-5L, EQ-5D-Y) European Quality of Life Five Dimension HUI Mark2/3 Health Utility Index SCARED-R Screen for Child Anxiety Related Disorders CDI The Children’s Depression Inventory BDI-II Beck Depression Inventory YMRS Young Mania Rating Scale HONOSCA The Health of the Nation Outcome Scale for Children and Adolescents EDEQ Eating Disorder Examination Questionnaire SDQ Strength and Difficulties Questionnaire MDBF Multidimensionnel Mood Questionnaire MFQ Mood and Fatigue Questionnaire SCAS Spence Child’s Anxiety Scale YSR Youth Self Report Supplementary Information The online version contains supplementary material available at https://​doi.​ org/​10.​1186/​s41687-​023-​00556-0. Additional file 1. Search strategy for PROMs used in child and youth mental illnesses: Supplementary file (S1): Search strategy (MEDLINE). Additional file 2. General Characteristics of the included studies. Additional file 3. Quality assessment of the included studies. Abbreviations CHQ Child Health Questionnaire KIDSCREEN 25 KIDSCREEN 25 KINDR-L KINDR-L PQ-LES-Q Pediatric Quality of Life Enjoyment and Satisfaction PedsQ l 4.0 Pediatric Quality of Life Inventory 4.0 TAPQOL TNO-AZL Preschool Children Quality of Life CHQ-50 Child Health Questionnaire-Parent Form-50 SF-36 36 Items Short Survey PROMIS Patient-Reported Outcomes Medical Information System (EQ-5D-5L, EQ-5D-Y) European Quality of Life Five Dimension HUI Mark2/3 Health Utility Index SCARED-R Screen for Child Anxiety Related Disorders CDI The Children’s Depression Inventory BDI-II Beck Depression Inventory YMRS Young Mania Rating Scale HONOSCA The Health of the Nation Outcome Scale for Children and Adolescents EDEQ Eating Disorder Examination Questionnaire SDQ Strength and Difficulties Questionnaire MDBF Multidimensionnel Mood Questionnaire MFQ Mood and Fatigue Questionnaire SCAS Spence Child’s Anxiety Scale YSR Youth Self Report Supplementary Information The online version contains supplementary material available at https://​doi.​ org/​10.​1186/​s41687-​023-​00556-0. Additional file 1. Search strategy for PROMs used in child and youth mental illnesses: Supplementary file (S1): Search strategy (MEDLINE). Additional file 2. General Characteristics of the included studies. Additional file 3. Quality assessment of the included studies. Conclusion and future researchh This review provides an overview of the PROMs available for children and youth living with MHCs and provides evidence on the type and measurement characteristics of these PROMs. Moreover, the evidence from this review can be used to inform clinical practice and patient and family-centered care. There is a growing interest in applying PROMs to engage patients in the decision-making process and to help health care professionals to make better decisions about their treatment [8]. This systematic review informs our research program about integrating PROMs into routine clinical care of youth living with MHCs aiming to improve the mental health of youth. Further research is needed to evaluate the plausibility of integrating these measures into routine clinical care and mental health research. There are certain challenges have been recognized in using PROMs in this population. As reported else- where, the content and format of PROMs are not able to capture or convey the complexity of the youth’s experi- ence [75, 76]. Clinicians are more concerned about the technical aspect of PROMs use as it could diminish the time for therapy during an encounter [77]. Other com- monly argued barriers to PROMs use include constraints around time, allocation of resources and training, and perceived dearth of clinical utility [68]. Overall, we found that in recent years there is growing utilization of PROMs in child and youth mental health settings. We identified inconsistencies across studies regarding the use of measures as several measures used with different age groups implies that there is no con- sensus on best practice and most appropriate measures targeted for this population [68]. However, disease-spe- cific PROMs have been upsurging, specifically, since the increase in the production of such measures in 2001 [66]. Future studies need to attention on the improvement of the PROMs designed especially for child and youth with MHC. Declarations 17. Jokovic A, Locker D, Guyatt G (2004) How well do parents know their children? Implications for proxy reporting of child health-related qual- ity of life. Qual Life Res 13(7):1297–1307 Limitationsh This study is not without limitations. Given that grey lit- erature was not studied, there is the potential that some PROMs may have been missed. However, our search strategy was otherwise complete and comprehensive given our broad inclusion criteria and use of a research librarian. In addition, we reviewed the reference lists and citations of included studies and hand-searched all identified prior reviews for potentially eligible studies. In addition, despite our search being limited to three elec- tronic databases, this is not likely to have affected the comprehensiveness of our search given that these data- bases are the most relevant in capturing mental health outcome measures [14, 78]. In our study, the quality of the studies was assessed but conducted independently, without inter-related reliability measures calculated and Supplementary Information Supplementary Information The online version contains supplementary material available at https://​doi.​ org/​10.​1186/​s41687-​023-​00556-0. Additional file 1. Search strategy for PROMs used in child and youth mental illnesses: Supplementary file (S1): Search strategy (MEDLINE). Additional file 2. General Characteristics of the included studies. Additional file 3. Quality assessment of the included studies. The online version contains supplementary material available at https://​doi.​ org/​10.​1186/​s41687-​023-​00556-0. Additional file 1. Search strategy for PROMs used in child and youth mental illnesses: Supplementary file (S1): Search strategy (MEDLINE). Additional file 2. General Characteristics of the included studies. Additional file 3. Quality assessment of the included studies. Page 13 of 15 Thapa Bajgain et al. Journal of Patient-Reported Outcomes (2023) 7:14 Thapa Bajgain et al. Journal of Patient-Reported Outcomes (2023) 7:14 Availability of data and materials All data generated and analysis during this review are included in this pub- lished article (and its supplementary information file). The original contribu- tions presented in the study are included in the article, further inquiries can be directed to the corresponding author/s. 15. APERSU (2020) Enhancing the use of patient-reported outcome meas- ures (PROMs) in the healthcare system in Alberta. Edmonton 16. Food and Drug Administration (2009) Guidance for industry- patient reported outcome measures: use in medical product development to support labeling claims. Food and Drug Administration Consent for publication Not applicable. 19. Landgraf JM, Abetz LN (1996) Measuring health outcomes in pediatric populations: issues in psychometrics and applications. In: Spilker B (ed) Quality of life and pharmacoeconomics in clinical trials. Lippincott- Raven Publishers, Philadelphia, pp 793–802 Acknowledgements 9. Happell B (2008) The value of routine outcome measurement for con- sumers of mental health services: master or servant? Int J Soc Psychiatry 54(4):317–327 We gratefully acknowledge the contributions from the Alberta Children’s Hospital Foundation funding. Jennifer D Zwicker is supported by a Tier II Canada Research Chair in Disability Policy for Children and YouthWe gratefully acknowledge the expertise and advice provided by Diane Lorenzetti, PhD, in the initial stages of this project. 10. Santana MJ, Feeny D (2014) Framework to assess the effects of using patient-reported outcome measures in chronic care man- agement. Qual Life Res 23:1505–1513. https://​doi.​org/​10.​1007/​ s11136-​013-​0596-1 Received: 30 August 2022 Accepted: 31 January 2023 Received: 30 August 2022 Accepted: 31 January 2023 21. Wolpert M, Ford T, Trustam E, Law D, Deighton J, Flannery H, Fugard A (2012) Patient-reported outcomes in child and adolescent mental health services (CAMHS): use of idiographic and standardized meas- ures. J Ment Health 21(2):165–173. https://​doi.​org/​10.​3109/​09638​237.​ 2012.​664304 Funding g This work was supported by Alberta Children’s Hospital Foundation. g This work was supported by Alberta Children’s Hospital Foundation. 14. Tsang KLV, Wong PYH, Lo SK (2012) Assessing psychosocial well-being of adolescents: a systematic review of measuring instruments. Child Care Health Dev 38(5):629–646. https://​doi.​org/​10.​1111/j.​1365-​2214.​ 2011.​01355.x Author contributions 11. Greenhalgh J (2009) The application of PROMs in clinical practice: what are they, do they work and why? Qual Life Res 18:115–123. https://​doi.​ org/​10.​1007/​s11136-​008-​9430-6 11. Greenhalgh J (2009) The application of PROMs in clinical practice: what are they, do they work and why? Qual Life Res 18:115–123. https://​doi.​ org/​10.​1007/​s11136-​008-​9430-6 MS and JZ conceptualized and design the study, coordinated, supervised data collection, and reviewed and revised the manuscript. KT and FA critically revised the manuscript for important intellectual content. KTB conceptualized and design the study, designed the data collection instruments, collected data, initial analysis, drafted the initial manuscript, and revised the manuscript. MA, KW, and SFN designed the data collection instruments, collected data, and reviewed and revised the manuscript. All authors read and approved the final manuscript. 12. Bickman L, Kelley SD, Breda C, de Andrade AR, Reimer M (2011) Effects of routine feedback to clinicians on mental health outcomes of youths: results of a randomized trial. Psychiatr Serv 62(12):1423–1429. https://​ doi.​org/​10.​1176/​appi.​ps.​00205​2011 13. Carlier IVE, Meuldijk D, Van Vliet IM, Van Fenema E, Van der Wee NJA, Zitman FG (2012) Routine outcome monitoring and feedback on physical or mental health status: evidence and theory. J Eval Clin Pract 18(1):104–110. https://​doi.​org/​10.​1111/j.​1365-​2753.​2010.​01543.x Competing interests The authors declare that the research was conducted in the absence of any commercial or financial relationship that could be constructed as a potential conflict of interest. 20. Feeny D, Juniper EF, Ferrie PJ et al (1998) Why not just ask the kids? Health-related quality of life in children with asthma. Questionnaire: methodology and preliminary item scaling results. Qual Life Res 7:433–445 Received: 30 August 2022 Accepted: 31 January 2023 Ethics approval and consent to participate Not applicable. 18. Rajmil L, López AR, López-Aguilà S, Alonso J (2013) Parent-child agree- ment on health-related quality of life (HRQOL): a longitudinal study. Health Qual Life Outcomes 11:101 References https://​doi.​org/​ 10.​1016/j.​heliy​on.​2018.​e01014 50. Jenkins PE, Hoste RR, Doyle AC, Eddy K, Crosby RD, Hill L, Powers P, Mitchell JE, Le Grange D (2014) Health-related quality of life among adolescents with eating disorders. J Psychosom Res 76(1):1–5. https://​doi.​ org/​10.​1016/j.​jpsyc​hores.​2013.​11.​006 34. Ride J, Huang L, Mulraney M, Hiscock H, Coghill D, Sawyer M, Sciberras E, Dalziel K (2020) Is “minimally adequate treatment” really adequate? Investigating the effect of mental health treatment on quality of life for children with mental health problems. J Affect Disord 1(276):327–334. https://​doi.​org/​10.​1016/j.​jad.​2020.​07.​086 51. 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ОСОБЕННОСТИ ЛИПИДОМА У БОЛЬНЫХ С РАЗЛИЧНОЙ КЛИНИЧЕСКОЙ ВЕРОЯТНОСТЬЮ СЕМЕЙНОЙ ГИПЕРЛИПИДЕМИИ А. А. Рогожина1,2, Л. О. Минушкина1 , А. В. Алесенко3, У. А. Гутнер3, М. А. Шупик3, И. Н. Курочкин3, О. А. Малошицкая4, С. А. Соколов4, Д. А. Затейщиков1,2 1 Центральная государственная медицинская академия Управления делами Президента Российской Федерации, Москва, Россия 2 Городская клиническая больница №51 Москва Россия 1 Центральная государственная медицинская академия Управления делами Президента Российской Федерации, Москва, Россия Центральная государственная медицинская академия Управления делами Президента Российской Федерации, Москва, Россия 2 Городская клиническая больница № 51, Москва, Россия Центральная государственная медицинская академия Управления делами Президента Российской Федерации, Москва, Россия 2 Городская клиническая больница № 51, Москва, Россия 2 Городская клиническая больница № 51, Москва, Россия 2 Городская клиническая больница № 51, Москва, Россия 3 Институт биохимической физики имени Н. М. Эмануэля РАН, Москва, Россия 3 Институт биохимической физики имени Н. М. Эмануэля РАН, Москва, Россия 4 Московский государственный университет имени М В Ломоносова Москва Россия 4 Московский государственный университет имени М. В. Ломоносова, Москва, Россия Разработка современных методов оценки метаболома, таких как хромато-масс-спектрометрия, позволяет существенно расширить представления о липидном обмене в конкретных клинических ситуациях. Целью исследования было изучить особенности липидома у больных с различной вероятностью семейной гиперхолестеринемии (СГХС). В исследовании приняли участие 35 пациентов — 15 мужчин (42,9%) и 20 женщин (57,1%) с дислипидемией или ранними сердечно-сосудистыми заболеваниями, развившимися в возрасте до 55 лет у мужчин и до 60 лет у женщин. Средний возраст пациентов составил 49,8 ± 9,96 лет. Вероятность семейной дислипидемии оценивали по критериям сети голландских липидных клиник. У 10 пациентов вероятность СГХС оценивали как низкую (1–2 балла), у 22 пациентов диагноз расценивали как вероятную СГХС (3–5 баллов). У 3 пациентов присутствовала возможная или определенная СГХС (2 пациента — 6 баллов, один пациент — 9 баллов). Определение молекулярных видов сфингомиелинов, церамидов и сфингоидных оснований (сфингозина, сфинганина), а также галактозоцерамида проводили методом хромато- масс-спектрометрии. Пациенты с определенной/вероятной СГХС имели достоверно более высокий уровень сфингозина по сравнению с пациентами с низкой клинической вероятностью СГХС (144,36 ± 107,863 и 50,14 ± 62,409 нг/мл; р = 0,01). В случае семейной СГХС отмечали увеличение доли длинноцепочечного сфингомиелина SM 18 : 1/22 : 0 и существенное увеличение уровня церамидов с длинной углеродной цепью С 20 : 1 и С 22 : 1. Была выявлена значимая прямая корреляция уровня липопротеинов низкой плотности (ЛНП) и сфингозина (r = 0,344; p = 0,047) наряду с обратными корреляциями уровня липопротеинов высокой плотности (ЛВП), сфинганина (r = –0,52; p = 0,002) и галактозилцерамида (r = –0,56; p = 0,001). LIPIDOME FEATURES IN PATIENTS WITH DIFFERENT PROBABILITY OF FAMILY HYPERCHOLESTEROLEMIA Keywords: atherosclerosis, family hyperlipidemia, sphingomyelins, sphingosine, ceramides, risk marker Keywords: atherosclerosis, family hyperlipidemia, sphingomyelins, sphingosine, ceramides, risk marke Author contribution: Rogozhina AA — sampling, data acquisition; Minushkina LO — data analysis, text writing; Zateyshchikov DA — planning, data analysis, manuscript writing; Alessenko AV — project manager; Gutner UA, Shupik MA, Maloshitskaya OA and Sokolov SA — sample preparation, laboratory analysis, data analysis; Kurochkin IN — data analysis. Author contribution: Rogozhina AA — sampling, data acquisition; Minushkina LO — data analysis, text writing; Zateyshchikov DA — planning, data analysis, manuscript writing; Alessenko AV — project manager; Gutner UA, Shupik MA, Maloshitskaya OA and Sokolov SA — sample preparation, laboratory analysis, data analysis; Kurochkin IN — data analysis. Compliance with ethical standards: the study was approved by the Local Ethics Committee of City Clinical Hospital № 51 (protocol № 02/19 dated February 7, 2019). Informed consent was obtained from all study participants. Compliance with ethical standards: the study was approved by the Local Ethics Committee of City Clinical Hospital № 51 (protocol № 02/19 dated February 7, 2019). Informed consent was obtained from all study participants. Compliance with ethical standards: the study was approved by the Local Ethics Committee of City Clinical Ho 2019). Informed consent was obtained from all study participants. Correspondence should be addressed: Larisa O. Minushkina Filevsky Boulevard, 36–19, Moscow, 121601; minushkina@mail.ru Correspondence should be addressed: Larisa O. Minushkina Filevsky Boulevard, 36–19, Moscow, 121601; minushkina@mail.ru Received: 30.11.2019 Accepted: 18.12.2019 Published online: 26.12.2019 Received: 30.11.2019 Accepted: 18.12.2019 Published online: 26.12 DOI: 10.24075/brsmu.2019.090 LIPIDOME FEATURES IN PATIENTS WITH DIFFERENT PROBABILITY OF FAMILY HYPERCHOLESTEROLEMIA Minushkina LO1 , Alessenko AV3, Gutner UA3, Shupik MA3, Kurochkin IN3, Maloshitskaya OA4, Sokolov SA4, Zateyshchikov DA1,2 Rogozhina AA1,2, Minushkina LO1 , Alessenko AV3, Gutner UA3, Shupik MA3, Kurochkin IN3, Maloshitskaya OA4, Sokolov SA 1 Central State Medical Academy under the Administrative Department of the President of the Russian Federation, Moscow, Russia 2 City Clinical Hospital №51 Moscow Russia 4 Lomonosov Moscow State University, Moscow, Russia Development of modern methods for metabolome assessment, such as gas chromatography–mass spectrometry, allows one to expand the knowledge about the features of lipid metabolism in various clinical conditions. The study was aimed to investigate lipidome features in patients with different probability of family hypercholesterolemia (FH). The study involved 35 patients: 15 men (42.9%) and 20 women (57.1%) with dislipidemia or early cardiovascular diseases which manifested below 55 in men and 60 in women (average age of patients was 49.8 ± 9.96). The family dislipidemia probability was evaluated using the Dutch Lipid Clinic Network Score. In 10 patients the probability of FH was low (score 1–2), 22 patients had possible FH (score 3–5). Three patients had probable or definite FH (score 6 in 2 patients, score 9 in one patient). Determination of molecular species of sphingomyelins, ceramides and sphingoid bases (sphingosine, sphinganine) as well as galactosylceramide was carried out using gas chromatography–mass spectrometry. In patients with definite/probable FH the sphingosine level was significantly higher compared with patients having low probability of FH (144.36 ± 107.863 and 50.14 ± 62.409 ng/ml; р = 0.01). In patients with FH, an increase in the proportion of long chain sphingomyelin SM 18 : 1/22 : 0 as well as a significant increase in the level of long chain ceramides with С 20 : 1 and С 22 : 1 was determined. Positive correlation of low-density lipoproteins and sphingosine level (r = 0.344; p = 0.047) together with negative correlation of high-density lipoproteins (HDL), sphinganine (r = –0.52; p = 0.002), and galactosylceramide level (r = –0.56; p = 0.001) were detected. Thus, in patients with high probability of FH the lipidome changes were observed, which could be considered the cardiovascular risk markers. METHODS An active study of the lipidome features associated with cardiovascular diseases is currently carried out. The prognostic value of some lipid fractions, mainly ceramides, in acute coronary syndrome has been revealed. The ratios of ceramides C 16 : 0, C 20 : 0, C 24 : 1 and their relationship к С 24 : 0 are considered as possible risk markers. The study was carried out at the City Clinical Hospital № 51 in March-October 2019. Thirty five patients were surveyed. In the group of patients under study there were 15 men (42.9%) and 20 women (57.1%), average age was 49.8 ± 9.96. Inclusion criteria: early manifestations of atherosclerosis (coronary heart disease, peripheral artery disease or cerebrovascular disease with the age of onset below 55 in men and 60 in women, and/or dislipidemia (LDL > 4,9 mmol/l). Exclusion criteria: The prognostic value of ceramides was evaluated in prospective studies. The ceramides’ level was determined in patients with acute coronary syndrome [2]. It was found that the level of sphingomyelins, sphingosine, sphingazine-1- Table 1. Lipids and sphingolipids level in patiens with different probability of family hyperlipidemia Table 1. ОСОБЕННОСТИ ЛИПИДОМА У БОЛЬНЫХ С РАЗЛИЧНОЙ КЛИНИЧЕСКОЙ ВЕРОЯТНОСТЬЮ СЕМЕЙНОЙ ГИПЕРЛИПИДЕМИИ Таким образом, у пациентов с высокой клинической вероятностью СГХС были выявлены изменения липидома, являющиеся маркерами риска сердечно- сосудистых осложнений. Ключевые слова: атеросклероз, семейная гиперлипидемия, сфингомиелины, сфингозин, церамиды, маркеры риска Финансирование: грант РФФИ 19-04-00870А «Сфинголипидомный анализ маркеров сердечно-сосудистых заболеваний». Информация о вкладе авторов: А. А. Рогожина — отбор материала, сбор данных; Л. О. Минушкина — анализ полученных данных, написание статьи; Д. А. Затейщиков — планирование работы, анализ данных, подготовка публикации; А. В. Алесенко — руководитель проекта; У. А. Гутнер, М. А. Шупик, О. А. Малошицкая и С. А. Соколов — пробоподготовка, проведение лабораторных исследований, анализ данных; И. Н. Курочкин — анализ данных. Соблюдение этических стандартов: исследование одобрено этическим комитетом ГБУЗ «Городская клиническая больница № 51 ДЗМ» (протокол № 02/19 от 7 февраля 2019 г.). Все пациенты подписали добровольное информированное согласие на участие в исследовании. Для корреспонденции: Минушкина Лариса Олеговна Филевский б-р, 36–19, г. Москва, 121601; minushkina@mail.ru Для корреспонденции: Минушкина Лариса Олеговна Филевский б-р, 36–19, г. Москва, 121601; minushkina@mail.ru Статья получена: 30.11.2019 Статья принята к печати: 18.12.2019 Опубликована онлайн: 26.12.2019 DOI: 10.24075/vrgmu.2019.090 BULLETIN OF RSMU 6, 2019 VESTNIKRGMU.RU | | 84 ОРИГИНАЛЬНОЕ ИССЛЕДОВАНИЕ ЛИПИДОЛОГИЯ phosphate and ceramides can differ significantly in patients with acute and chronic forms of coronary heart disease [3]. Lipid metabolism disorders, including the hereditary ones, are a key risk factor for atherosclerosis and its complications. The development of newest metabolome investigation methods, such as gas chromatography-mass spectrometry, allows one to expand the knowlege about the features of lipid metabolism in various clinical situations. with acute and chronic forms of coronary heart disease [3]. At the same time, the lipidome features in patients with hereditary dislipidemia have not been studied. There are still no convincing data on the dynamics of the level of sphingolipids and ceramides against the background of lipid-lowering therapy. There are only single cases of comparison of the level of sphingolipids in patients without therapy and in patients receiving the lipid-lowering therapy [4, 5]. It was found that sphingolipids (sphingomyelins, ceramides, sphingosine, sphinganine sphingosine-1-phosphate (S1P) etc.) can play a significant role [1]. A change in the ratio of various sphingolipids is detected in patients affected with certain metabolic, genetic and autoimmune diseases (Fabry disease, Niemann–Pick diseases, Gaucher disease etc., some types of epilepsy, migraine, Alzheimer's disease). The study was aimed to investigate the features of sphingolipids in patients with different probability of family hypercholesterolemia. ORIGINAL RESEARCH LIPIDOLOGY ORIGINAL RESEARCH LIPIDOLOGY acute myocardial infarction, acute stroke, diabetes mellitus, secondary dislipidemia. The study did not include patients who received lipid-lowering therapy at the time of the examination. Vakutainer tubes. Serum was obtained by blood centrifuging at a speed of 3000 rpm for 15 minutes. Parameters with the following reference values were defined: total cholesterol (TC, 2.0–5.2 mmol/l), low-density lipoprotein cholesterol (LDL-C, up to 3.3 mmol/l), high-density lipoprotein cholesterol (HDL-C, 0.91–1.56 mmol/l), blood serum triglycerides (TG, 0.50–1.70 mmol/l). To determine the parameters of serum, the CLIMA MC-15 biochemical analyzer was used (RAL; Spain). In the beginning of the study 16 patients had arterial hypertension (45.7%), 10 patients had coronary heart disease (28.6%) and one patient had peripheral artery disease (2.9%). Nineteen patients (54.3%) had significant family history of cardiovascular diseases. Nine patients (25.7%) smoked in their past but stopped smoking before inclusion in the study, 8 patients smoked at the moment of inclusion in the study (22.9%) Lipids were extracted from plasma in accordance with Bligh and Dyer Procedure [6]. Mass-spectrometry of molecular species of sphingomyelins, ceramides and sphingoid bases (sphingosine and sphinganine), as well as galactosylceramides, was performed using the TSQ Endura Triple Quadrupole Mass Spectrometer (Thermo Fisher Scientific; Germany) working in the ММР mode. The pressure at the collision cell was 1.5 mTorr. The resolution on Q1 and Q3 was 1.2 Da. The familial hypercholesterolemia (FH) probability was evaluated using the Dutch Lipid Clinic Network Score. In 10 patients the probability of FH was low (score 1–2), 22 patients had possible FH (score 3–5). Three patients had probable or definite FH (score 6 in 2 patients, score 9 in one patient). Blood sampling for biochemical analysis and mass spectrometry was performed on the day the patients were included in the study (in the morning on an empty stomach, after a 12-hour fast). Blood was taken from the cubital vein into sterile Ceramides: fragmentation of the protonated and dehydrated molecules was carried out at the energy of 25 eV down to ion with m/z 264.4 Da, the dwell time was 25 ms. Table 2. Blood lipids and sphingolipids in patients with family history and in patients without family history Table 2. METHODS Lipids and sphingolipids level in patiens with different probability of family hyperlipidemia Note K k l W lli t t Parameters Unlikely FH (n = 10) Probable FH (n = 22) Possible/definite FH (n = 3) р 1 2 3 TC, µmol/l 6.79 ± 0.627 8.04 ± 1.746 12.00 ± 5.344 0.006 LDL, µmol/l 4.32 ± 0.45435 5.40 ± 0.973 7.24 ± 1.447 0.001 HDL, µmol/l 1.52 ± 0.431 1.45 ± 0.457 1.15 ± 0.578 0.713 TG, µmol/l 1.81 ± 1.123 2.46 ± 3.245 5.80 ± 6.141 0.240 Sphingosine, ng/ml 50.14 ± 62.409 83.59 ± 70.774 144.36 ± 107.863 0.051 *0.010 (groups 1 and 3) Sphinganine, ng/ml 0.752 ± 0.3713 0.895 ± 0.5841 1.663 ± 1.4619 0.142 Galactosylceramide, ng/ml 55.48 ± 29.867 66.60 ± 43.291 76.95 ± 25.626 0.473 Sphingomyelines SM 18 : 1/16 : 0, µg/ml 18997.6 ± 13203.93 15407.2 ± 7769.07 9557.6 ± 2435.11 0.274 SM 18 : 1/16 : 1, µg/ml 1893.9 ± 714.16 1861.1 ± 1642.95 2208.3 ± 1071.19 0.432 SM 18 : 1/18 : 0, µg/ml 3646.2 ± 2447.91 3322.6 ± 1981.05 2392.6 ± 1758.81 0.629 SM 18 : 1/18 : 1, µg/ml 6138.8 ± 4915.11 5605.4 ± 2747.14 7240.6 ± 3716.52 0.806 SM 18 : 1/20 : 0, µg/ml 19573.6 ± 9198.49 22693.9 ± 15985.31 24874.3 ± 6191.24 0.525 SM 18 : 1/20 : 1, µg/ml 55331.1 ± 34643.17 55612.7 ± 32720.49 45554.0 ± 17549.55 0.924 SM 18 : 1/22 : 0, µg/ml 6484.3 ± 3692.833 7141.1 ± 2842.95 10927.6 ± 4151.37 0.028 SM 18 : 1/22 : 1, µg/ml 407.4 ± 191.59 416.9 ± 211.78 478.6 ± 143.01 0.721 SM 18 : 1/24 : 0, µg/ml 1759.7 ± 1613.16 2155.4 ± 1063.40 1728.0 ± 337.634 0.328 SM 18 : 1/24 : 1, µg/ml 6095.1 ± 3364.35 4835.2 ± 2611.45 4711.3 ± 1018.43 0.569 Ceramides С 18 : 0, µg/ml 3.70 ± 8.820 6.04 ± 9.740 0.018 ± 0.186 0.513 С 20 : 0, µg/ml 224.70 ± 655.577 240.60 ± 431.668 367.67 ± 144.417 0.075 С 20 : 1, µg/ml 85.10 ± 124.969 98.00 ± 229.133 698.67 ± 1138.155 0.019 С 22 : 0, µg/ml 149.60 ± 347.728 75.96 ± 71.642 221.33 ± 170.365 0.100 С 22 : 1, µg/ml 77.00 ± 82.254 60.80 ± 111.859 714.67 ± 1118.787 0.003 С 24 : 0, µg/ml 587.80 ± 200.069 737.96 ± 354.259 782.00 ± 357.669 0.598 С 24 : 1, µg/ml 206.20 ± 77.150 313.08 ± 254.952 465.67 ± 457.362 0.546 С 18 : 0/С 24 : 0, µg/ml 0.0043 ± 0.00938 0.0079 ± 0.01275 0.0000 ± 0.00000 0.963 С 24 : 1/С 24 : 0, µg/ml 0.3678 ± 0.13805 0.4600 ± 0.35776 0.5124 ± 0.29631 0.675 ВЕСТНИК РГМУ 6, 2019 VESTNIKRGMU.RU | | 85 ОРИГИНАЛЬНОЕ ИССЛЕДОВАНИЕ ЛИПИДОЛОГИЯ used for calibration with 50% of Cer d18 : 1/18 : 0 and 20% of Cer d18 : 1/24 : 1. The calculation was based on the sum of peak areas of the MMP transitions MH+·→ m/z 264.4 Da and (МН-Н2О)+·→ m/z 264.4 Da. Sphingomyelines: fragmentation of the protonated molecules was performed at the energy of 25 eV down to ion with m/z 184.1 Да, the dwell time was 25 ms. Sphingosine and its deuterated standard (d7, Avanti; USA): fragmentation of the protonated molecules was carried out at the energy of 12.5 eV down to ions with m/z 264.4 and 259.3 Da respectively. The dwell time was 25 ms. 2 When determining sphingomyelines, the Sphingomielin Porcine Brain 860062P mixture (Avanti; USA) and sphingomyelines d18 : 1/16 : 0, d18 : 1/18 : 0 (Avanti; USA) were used for calibration. The sum of peak areas of the MRM transitions MH+·→ m/z 184.1 Da was used for calculation. Sphinganine: fragmentation of the protonated molecule was performed at the energy of 12.5 eV down to ion with m/z 266.4 Да, the dwell time was 50 ms. The sphingosine d18 : 1 content was determined by internal calibration (internal standard method, the standard was D-erythro- sphingosine d7, Sigma; USA) using the sum of peak areas of the MMP transitions (m/z 300+·→ m/z 264.4 Da for non-deuterated and m/z 307+·→ m/z 259.3 Da for deuterated sphingosine). Galactosylceramide d18 : 1/18 : 0: [M + H]+ ion with a mass of 728.5 Da. The following parameters of the ionization source were used: heater temperature 300 °С, capillary temperature 340 °С, sheath gas flow 45 arb, auxiliary gas flow 13 arb, sweep gas flow 1 arb. The sphinganine d18 : 0 content was determined by external calibration (the standard was DL-erythro-dihidrosphingosine, Sigma; USA) using the sum of peak areas of the MMP transitions (m/z 302+·→ m/z 266 Da). Sphingosine d7, sphinganine, sphingomyelin d18 : 1/16 : 0, sphingomyelin d18 : 1/18 : 0, ceramide d18 : 1/16 : 0, ceramide d18 : 1/18 : 1, ceramide d18 : 1/18 : 0, ceramide d18 : 1/24 : 1, ceramide d18 : 1/24 : 0 and galactosylceramide d18 : 1/18 : 0 (Avanti; USA) were used as standards. Statistical analysis Statistical analysis was carried out using the SPSS software, version 23.0 (IBM; USA). Quantitative variables were presented as mean with standard deviation. All variables were checked for compliance with normal distribution using the Shapiro–Wilk test. The distribution of all quantitative variables was different from normal. The significance of differences for two independent samples was evaluated using the Mann–Whitney test, and for three of more samples using the Kruskal–Wallis test. The significance of correlations was determined using the Sperman rank correlation test. The differences were considered significant when р < 0.05. RESULTS Comparison of blood lipids and sphingolipids was carried out in groups of patients with different probability of family hyperlipidemia (Table 1). When determining sphinganine, the following mobile phases were used: фаза А, water + 0.1% (v.v.) formic acid, phase B, 50% methanol + 50% acetonitrile + 0.1% (v.v.) formic acid (1.5 minutes 20% of phase B, 100 % of phase B up to 3.2 minutes, 100% of phase B up to 6.7 minutes, 20% of phase B up to 7.7 minutes, 20% of phase B up to 10th minute). Higher level of TC and LDL was observed in patients with FH. In addition, in patients with FH, a tendency was observed to sphingosine level increase compared with a group of patients having a low probability of FH (р < 0.05). ORIGINAL RESEARCH LIPIDOLOGY Blood lipids and sphingolipids in patients with family history and in patients without family history Parameters No family history (n = 16) Family history (n = 19) р TC, µmol/l 8.11 ± 1.142 7.35 ± 1.881 0.026 LDL, µmol/l 5.49 ± 1.063 4.75 ± 0.820 0.039 HDL, µmol/l 1.63 ± 0.352 1.32 ± 0.479 0.034 TG, µmol/l 1.91 ± 1.119 2.57 ± 3.712 0.845 Sphingosine, ng/ml 65.31 ± 55.298 82.37 ± 84.841 0.021 Sphinganine, ng/ml 0.25 ± 0.447 0.47 ±0.612 0.062 Galactosylceramide, ng/ml 59.38 ± 46.989 67.00 ± 33.579 0.123 Sphingomyelines SM 18 : 1/16 : 0, µg/ml 15812.5 ± 8874.74 16142.37 ± 10210.772 0.678 SM 18 : 1/16 : 1,µg/ml 1703.38 ± 1153.149 2079.74 ± 1637.244 0.635 SM 18 : 1/18 : 0, µg/ml 3446.00 ± 2012.195 3115.37 ± 1651.906 0.942 SM 18 : 1/18 : 1, µg/ml 6066.06 ± 4210.684 5388.68 ± 2755.342 0.862 SM 18 : 1/20 : 0, µg/ml 21605.00 ± 6986.063 22197.89 ± 18558.786 0.756 SM 18 : 1/20 : 1, µg/ml 57836.31 ± 37448.414 51584.74 ± 29461.884 0.684 SM 18 : 1/22 : 0, µg/ml 8366.13 ± 3752.568 8090.74 ± 2977.416 0.862 SM 18 : 1/22 : 1, µg/ml 387.56 ± 224.592 441.26 ± 183.190 0.672 SM 18 : 1/24 : 0, µg/ml 1809.31 ± 983.979 2218.1 ± 1409.971 0.584 SM 18 : 1/24 : 1, µg/ml 5398.19 ± 2713.511 5094.32 ± 2995.497 0.682 Ceramides С 18 : 0, µg/ml 6.31 ± 10.163 4.58 ± 8.946 0.213 С 20 : 0, µg/ml 78.56 ± 150.510 391.21 ± 629.556 0.021 С 20 : 1, µg/ml 57.38 ± 108.836 121.32 ± 257.882 0.010 С 22 : 0, µg/ml 60.19 ± 64.744 130.21 ± 252.256 0.040 С 22 : 1, µg/ml 47.75 ± 52.003 77.16 ± 133.153 0.252 С 24 : 0, µg/ml 726.69 ± 334.931 622.16 ± 255.175 0.572 С 24 : 1, µg/ml 324.25 ± 264.550 247.05 ± 181.903 0.457 С 18 : 0/С 24 : 0, µg/ml 0.0072 ± 0.01166 0.0067 ± 0.01235 0.323 С 24 : 1/С 24 : 0, µg/ml 0.4730 ± 0.37832 0.4078 ± 0.24104 0.872 Note: Mann Whitney test BULLETIN OF RSMU 6, 2019 VESTNIKRGMU.RU | | 86 Chromatography Chromatography was performed using the Ultimate 3000 system (Thermo Fisher Scientific; Germany) and Eclipse Plus C8 column 3.0 × 150 mm (Agilent; USA), the particle size was 3.5 µm. The temperature was 50 °С, and the flow rate was 400 µl/min. When determining sphingosine, ceramides and sphingomyelin, the following mobile phases were used: phase А, water + 0.1% (v.v.) formic acid, phase B, methanol + 0.1% (v.v.) formic acid (0.7 minutes 55% of phase B, 100 % of phase B up to 6.7 minutes, 100% of phase B up to 12th minute, 55% of phase B up to 1 –17th minute, 55% of phase B up to 13th minute). Note: r — Spearman rank correlation; * — p < 0.005; ** — p < 0.001. Note: r — Spearman rank correlation; * — p < 0.005; ** — p < 0.001. Data processing In patients with FH, an increase in the proportion of long- chain sphingomyelin SM 18 : 1/22 : 0 was noted, as well as a significant increase in the level of long chain ceramides, С 20 : 1 and С 22 : 1. No significant differences of С 18 : 0/С 24 : 0 and С 24 : 1/С 24 : 0 ratios were revealed. The relative content of ceramides was evaluated using external calibration (method of standard addition). The Ceramide Porcine Brain 860052P ceramide mixture (Avanti; USA) was Fig. 1. Correlation of LDL and blood sphingosine level Fig. 2. Correlation of HDL and blood sphinganine level Sphingosine (ng/ml) Sphinganine (ng/ml) LDL (mmol/l) HDL (mmol/l) 0 0.0 50 r = 0.344 р = 0.047 0.5 3 4 0.0 5 0.5 6 1.0 7 1.5 8 2.0 9 2.5 150 1.5 250 2.5 100 1.0 200 2.0 300 3.0 3.5 r = –0.52 р = 0.002 Sphinganine (ng/ml) HDL (mmol/l) 0.0 0.5 0.0 0.5 1.0 1.5 2.0 2.5 1.5 2.5 1.0 2.0 3.0 3.5 r = –0.52 р = 0.002 Sphingosine (ng/ml) LDL (mmol/l) 0 50 r = 0.344 р = 0.047 3 4 5 6 7 8 9 150 250 100 200 300 HDL (mmol/l) LDL (mmol/l) Fig. 1. Correlation of LDL and blood sphingosine level Fig. 2. Correlation of HDL and blood sphinganine level ВЕСТНИК РГМУ 6, 2019 VESTNIKRGMU.RU | | 87 ОРИГИНАЛЬНОЕ ИССЛЕДОВАНИЕ ЛИПИДОЛОГИЯ ОРИГИНАЛЬНОЕ ИССЛЕДОВАНИЕ ЛИПИДОЛОГИЯ Fig. 3. Correlation of LDL and blood sphingosine level Cardiovascular diseases family history LDL (mmol/l) 3 4 5 6 7 8 9 Sphingosine (ng/ml) 0 50 no yes 150 250 100 200 300 LDL (mmol/l) 3 4 5 6 7 8 9 Sphingosine (ng/ml) 0 50 150 250 100 200 300 LDL (mmol/l) Cardiovascular diseases family history Fig. 3. Correlation of LDL and blood sphingosine level We analyzed the relationship between the level of various lipids and sphingolipids and the presence of a significant family history in patients (Table 2). In patients with significant family history, the higher level of sphingosine and significantly higher level of ceramides С 20 : 0, С 20 : 1, С 22 : 0 were observed. ceramides was observed earlier and to a much greater extent than weight loss, which correlated with a decrease in coronary risks [9]. It was found that in oxidized LDL the content of total sphingolipids and ceramides was significantly higher, which could be an evidence of the role of sphingolipids in destabilization of atherosclerotic plaque and coronary heart disease and other disorders’ complications manifestation [10]. Sphingosine causes aggregation of Cu2+ peroxide vesicles and accelerates LDL peroxidation, making them more atherogenic. Long chain ceramides can serve as catalysts for said process. Ceramides with chain length C6, C8, C10 do not possess such activity. Sphinganine, on the opposite, blocks peroxidation processes [11]. In our study we noted the significant increase of sphingosine level in patients with definite family dislipidemia. There were no significant differences in the sphinganine level in patients with low and high probability of family hyperlipidemia. Positive correlation of LDL and sphingosine level was revealed (Fig. 1). In addition, it was possible to identify negative correlation of HDL and sphinganin (Fig. 2) and galactosylceramide levels (r = –0.56; p = 0.001). Correlation analysis of sphingomyelin fractions level and ceramides with classical lipid fractions is presented in Table 3. A positive correlation of the level of ceramides С 24 : 0 and С 24 : 1 with the TC and LDL level is noteworthy. For С 20 : 0 ceramide, a positive correlation with the HDL and TG level and a negative correlation with LDL level were revealed. Negative correlation of the С22 : 0 ceramide level with the HDL level was determined. ОРИГИНАЛЬНОЕ ИССЛЕДОВАНИЕ ЛИПИДОЛОГИЯ ApoE gene polymorphism (2/3/4) is associated with the increase of ceramide pathogenic fractions which may be related with increased coronary heart disease risk in young people [12]. We analyzed correlations between the level of classical lipids and sphingolipids in patients having a significant family history and in patients with no sifnificant family history. It is noteworthy, that a positive correlation between the level of LDL-C and sphingosine, revealed in the whole group, was of greater strength in patients with a significant family history (r = 0.536; p = 0.022). In patients with no significant family history, there was a negative correlation between LDL-C and sphingosine levels (r = –0.351; p = 0.048) (Fig. 3). p p The value of ceramides C 16 : 0, C 22 : 0, C 24 : 0, C 24 : 1 in the carotid atherosclerosis pathogenesis in HIV patients was shown. For the long chain ceramides С : 22 and С : 24 a positive correlation with the TC and LDL level was determined [13]. Positive correlation of sphingomyelines SM d16 : 0/28 : 5, SM d18 : 1/24 : 1 and SM d18 : 1/16 : 0 with the TC and LDL level was revealed in the animal model of dislipidemia (АроЕ-deficient mice). The level of said fractions in animals with hyperlipidemia was elevated. Sphingolipides of such kind are considered pro-atherogenic [14]. There is evidence that oxidative stress and lipotoxicity are associated precisely with an increase in the level of long chain ceramides, which, for example, becomes apparent in patients with insulin resistance [15]. In our study the SM 18 : 1/22 : 0 sphingomyeline was increased in patients with definite/probable hyperlipidemia. Positive correlations of blood cholesterol with ceramides С24 : 0, С24 : 1 level were revealed. ORIGINAL RESEARCH LIPIDOLOGY Table 3. Correlation of blood lipids, sphingomyeline and ceramide levels TC, µmol/l TG, µmol/l LDL-C, µmol/l HDL-C, µmol/l SM 18 : 1/16 : 0, µg/ml r 0.178 –0.104 0.084 0.162 p 0.307 0.564 0.636 0.391 SM 18 : 1/16 : 1, µg/ml r 0.260 –0.171 0.093 0.045 p 0.132 0.341 0.602 0.813 SM 18 : 1/18 : 0, µg/ml r 0.257 –0.140 0.278 0.236 p 0.135 0.439 0.111 0.210 SM 18 : 1/18 : 1, µg/ml r –0.139 –0.095 –0.202 0.077 p 0.426 0.597 0.251 0.686 SM 18 : 1/20 : 0, µg/ml r 0.363* –0.015 0.184 –0.110 p 0.032 0.934 0.297 0.561 SM 18 : 1/20 : 1, µg/ml r –0.101 0.111 –0.098 0.334 p 0.562 0.540 0.581 0.072 SM 18 : 1/22 : 0, µg/ml r –0.017 –0.313 –0.155 0.165 p 0.924 0.076 0.383 0.382 SM 18 : 1/22 : 1, µg/ml r 0.082 0.146 0.125 –0.187 p 0.642 0.419 0.481 0.321 SM 18 : 1/24 : 0, µg/ml r 0.048 –0.183 0.100 –0.254 p 0.782 0.307 0.572 0.175 SM 18 : 1/24 : 1 µg/ml r 0.217 –0.297 0.148 0.046 p 0.210 0.094 0.403 0.809 С 18 : 0, µg/ml r 0.104 –0.041 0.105 –0.104 p 0.552 0.820 0.556 0.584 С 20 : 0, µg/ml r 0.055 0.141 –0.003 –0.420* p 0.752 0.433 0.987 0.021 С 20 : 1, µg/ml r –0.177 0.447** –0.425* 0.525** p 0.310 0.009 0.012 0.003 С 22 : 0, µg/ml r 0.015 0.342 0.049 –0.429* p 0.932 0.052 0.783 0.018 С 22 : 1, µg/ml r 0.070 0.051 –0.094 –0.168 p 0.689 0.776 0.598 0.374 С 24 : 0, µg/ml r 0.475** 0.100 0.334 0.008 p 0.004 0.579 0.054 0.965 С 24 : 1, µg/ml r 0.558** 0.005 0.471** 0.296 p 0.000 0.976 0.005 0.112 Note: r — Spearman rank correlation; * — p < 0.005; ** — p < 0.001. Table 3. Correlation of blood lipids, sphingomyeline and ceramide levels BULLETIN OF RSMU 6, 2019 VESTNIKRGMU.RU | | 88 References 1. Matanes F, Twal WO, Hammad SM. Sphingolipids as biomarkers of disease. Adv Exp Med Biol. 2019; (1159): 109–38. DOI: 10.1007/978-3-030-21162-2_7. insulin resistance. Front Endocrinol (Lausanne). 2019; (10): 577. DOI: 10.3389/fendo.2019.00577. insulin resistance. Front Endocrinol (Lausanne). 2019; (10): 577. DOI: 10.3389/fendo.2019.00577. 9. 9. Kayser BD, Lhomme M, Dao MC, Ichou F, Bouillot JL, Prifti E, et al. Serum lipidomics reveals early differential effects of gastric bypass compared with banding on phospholipids and sphingolipids independent of differences in weight loss. Int J Obes (Lond). 2017; 41 (6): 917–25. DOI: 10.1038/ijo.2017.63. 2. Anroedh S, Hilvo M, Akkerhuis KM, Kauhanen D, Koistinen K, Oemrawsingh R, et al. Plasma concentrations of molecular lipid species predict long-term clinical outcome in coronary artery disease patients. J Lipid Res. 2018; 59 (9): 1729–37. DOI: 10.1194/jlr.P081281. 10. Paul A, Lydic TA, Hogan R, Goo YH. Cholesterol acceptors regulate the lipidome of macrophage foam cells. Int J Mol Sci. 2019; 20 (15): E3784–801. DOI: 10.3390/ijms20153784. 3. Sutter I, Klingenberg R, Othman A, Rohrer L, Landmesser U, Heg D, et al. Decreased phosphatidylcholine plasmalogens — a putative novel lipid signature in patients with stable coronary artery disease and acute myocardial infarction. Atherosclerosis. 2016; (246): 130–40. DOI: 10.1016/j.atherosclerosis.2016.01.003. 11. Jiménez-Rojo N, Viguera AR, Collado MI, Sims KH, Constance C, Hill KS et al. Sphingosine induces the aggregation of imine- containing peroxidized vesicles. Biochim Biophys Acta. 2014; 1838 (8): 2071–7. DOI: 10.1016/j.bbamem.2014.04.028. 1838 (8): 2071–7. DOI: 10.1016/j.bbamem.2014.04.028. 4. Ng TW, Ooi EM, Watts GF, Chan DC, Meikle PJ, Barrett PH. Association of plasma ceramides and sphingomyelin with VLDL apoB-100 fractional catabolic rate before and after rosuvastatin treatment. J Clin Endocrinol Metab. 2015; 100 (6): 2497–501. DOI: 10.1210/jc.2014-4348. PubMed PMID: 25816050. 12. Karjalainen JP, Mononen N, Hutri-Kähönen N, Lehtimäki M, Hilvo M(4), Kauhanen D, et al. New evidence from plasma ceramides links apoE polymorphism to greater risk of coronary artery disease in Finnish adults. J Lipid Res. 2019; 60 (9): 1622–9. DOI: 10.1194/ jlr.M092809. 5. Tarasov K, Ekroos K, Suoniemi M, Kauhanen D, Sylvänne T, Hurme R, et al. Molecular lipids identify cardiovascular risk and are efficiently lowered by simvastatin and PCSK9 deficiency. J Clin Endocrinol Metab. 2014; 99 (1): E45–52. DOI:10.1210/jc.2013- 2559. PubMed PMID: 24243630; PubMed Central PMCID: PMC3928964. 13. Zhao W, Wang X, Deik AA, Hanna DB, Wang T, Haberlen SA et al. Elevated plasma ceramides are associated with antiretroviral therapy use and progression of carotid artery atherosclerosis in HIV infection. References Circulation. 2019; 139 (17): 2003–11. DOI: 0.1161/ CIRCULATIONAHA.118.037487. 6. Bligh EG, Dyer WJ. A rapid method of total lipid extraction and purification. Can J Biochem Physiol. 1959; 37 (8): 911–7. 14. Chen Y, Wen S, Jiang M, Zhu Y, Ding L, Shi H, et al. Atherosclerotic dyslipidemia revealed by plasma lipidomics on ApoE-/- mice fed a high-fat diet. Atherosclerosis. 2017; (262): 78–86. DOI: 10.1016/j. atherosclerosis.2017.05.010. 7. Hoogendoorn A, den Hoedt S, Hartman EMJ, Krabbendam-Peters I, Te Lintel Hekkert M, van der Zee L, et al. Variation in coronary atherosclerosis severity related to a distinct LDL (Low-Density Lipoprotein) profile: findings from a familial hypercholesterolemia pig model. Arterioscler Thromb Vasc Biol. 2019; 39 (11): 2338–52. DOI:10.1161/ATVBAHA.119.313246. 15. Law BA, Liao X, Moore KS, Southard A, Roddy P, Ji R, et al. Lipotoxic very-long-chain ceramides cause mitochondrial dysfunction, oxidative stress, and cell death in cardiomyocytes. FASEB J. 2018; 32 (3): 1403–16. DOI: 10.1096/fj.201700300R. PubMed PMID: 29127192; PubMed Central PMCID: PMC5892719. 8. Sokolowska E, Blachnio-Zabielska A. The role of ceramides in CONCLUSION Lipidome changes may help to explain the mechanism of increasing the risk and early onset of atherosclerosis in said group of patients. Patients with definite/probable FH demonstrate not only high level of TC and LDL, but also the high level of pro-atherogenic sphingosine, sphingomyeline SM 18 : 1/22 : 0, and long chain ceramides (С 20 : 1, С 22 : 1). The revealed lipidome features require further clarification of their clinical significance. g p p Positive correlation of sphingosine with the LDL level in patients with significant family history is the evidence of the importance of sphingosine as an additional risk factor associated with the family nature of the disease. DISCUSSION There are few studies of the sphingomyelins’ and ceramides’ profile in patients with family hyperlipidemia. The animal model of family hyperlipidemia associated with LDL receptor gene mutations demonstrated the significant increase of total sphingomyeline and С18 : 0 ceramide in homozygotes [7]. In our study we noted only the SM 18 : 1/22 : 0 fraction and С20 : 1 ceramide increase. It was shown that the level of ceramides is associated with other coronary heart disease risk factors (obesity and insulin resistance). It was believed that some ceramide fractions were able to stimulate the synthesis of pro-inflammatory cytokines (e.g., tumor necrosis factor) in case of increased consumption of saturated fat with food [8]. In patients after bariatric surgery, a decrease in the level of atherogenic sphinogomyelins and Our study had a number of limitations: single site study, small sample size, lack of data from large studies on the epidemiological relationship between detected changes in lipid component and cardiovascular events (heart attacks, strokes, cardiovascular death). ВЕСТНИК РГМУ 6, 2019 VESTNIKRGMU.RU | | 89 ORIGINAL RESEARCH LIPIDOLOGY Литература 1. Matanes F, Twal WO, Hammad SM. Sphingolipids as biomarkers of disease. Adv Exp Med Biol. 2019; (1159): 109–38. DOI: 10.1007/978-3-030-21162-2_7. 2559. PubMed PMID: 24243630; PubMed Central PMCID: PMC3928964. 6. Bligh EG, Dyer WJ. A rapid method of total lipid extraction and purification. Can J Biochem Physiol. 1959; 37 (8): 911–7. 2. Anroedh S, Hilvo M, Akkerhuis KM, Kauhanen D, Koistinen K, Oemrawsingh R, et al. Plasma concentrations of molecular lipid species predict long-term clinical outcome in coronary artery disease patients. J Lipid Res. 2018; 59 (9): 1729–37. DOI: 10.1194/jlr.P081281 7. Hoogendoorn A, den Hoedt S, Hartman EMJ, Krabbendam-Peters I, Te Lintel Hekkert M, van der Zee L, et al. Variation in coronary atherosclerosis severity related to a distinct LDL (Low-Density Lipoprotein) profile: findings from a familial hypercholesterolemia pig model. Arterioscler Thromb Vasc Biol. 2019; 39 (11): 2338–52. DOI:10.1161/ATVBAHA.119.313246. 3. Sutter I, Klingenberg R, Othman A, Rohrer L, Landmesser U, Heg D, et al. Decreased phosphatidylcholine plasmalogens — a putative novel lipid signature in patients with stable coronary artery disease and acute myocardial infarction. Atherosclerosis. 2016; (246): 130–40. DOI: 10.1016/j.atherosclerosis.2016.01.003. 8. Sokolowska E, Blachnio-Zabielska A. The role of ceramides in insulin resistance. Front Endocrinol (Lausanne). 2019; (10): 577. DOI: 10.3389/fendo.2019.00577. 4. Ng TW, Ooi EM, Watts GF, Chan DC, Meikle PJ, Barrett PH. Association of plasma ceramides and sphingomyelin with VLDL apoB-100 fractional catabolic rate before and after rosuvastatin treatment. J Clin Endocrinol Metab. 2015; 100 (6): 2497–501. DOI: 10.1210/jc.2014-4348. PubMed PMID: 25816050. 9. Kayser BD, Lhomme M, Dao MC, Ichou F, Bouillot JL, Prifti E, et al. Serum lipidomics reveals early differential effects of gastric bypass compared with banding on phospholipids and sphingolipids independent of differences in weight loss. Int J Obes (Lond). 2017; 41 (6): 917–25. DOI: 10.1038/ijo.2017.63. 5. Tarasov K, Ekroos K, Suoniemi M, Kauhanen D, Sylvänne T, Hurme R, et al. Molecular lipids identify cardiovascular risk and are efficiently lowered by simvastatin and PCSK9 deficiency. J Clin Endocrinol Metab. 2014; 99 (1): E45–52. DOI:10.1210/jc.2013- 10. Paul A, Lydic TA, Hogan R, Goo YH. Cholesterol acceptors regulate the lipidome of macrophage foam cells. Int J Mol Sci. 2019; 20 (15): E3784–801. DOI: 10.3390/ijms20153784. 11. Jiménez-Rojo N, Viguera AR, Collado MI, Sims KH, Constance C, BULLETIN OF RSMU 6, 2019 VESTNIKRGMU.RU | | 90 ВЕСТНИК РГМУ 6, 2019 VESTNIKRGMU.RU | | ОРИГИНАЛЬНОЕ ИССЛЕДОВАНИЕ ЛИПИДОЛОГИЯ ОРИГИНАЛЬНОЕ ИССЛЕДОВАНИЕ ЛИПИДОЛОГИЯ Hill KS, et al. Sphingosine induces the aggregation of imine- containing peroxidized vesicles. Biochim Biophys Acta. 2014; 1838 (8): 2071–7. DOI: 10.1016/j.bbamem.2014.04.028. HIV infection. Circulation. 2019; 139 (17): 2003–11. DOI: 0.1161/ CIRCULATIONAHA.118.037487. 14. Chen Y, Wen S, Jiang M, Zhu Y, Ding L, Shi H, et al. Atherosclerotic dyslipidemia revealed by plasma lipidomics on ApoE-/- mice fed a high-fat diet. Atherosclerosis. 2017; (262): 78–86. DOI: 10.1016/j. atherosclerosis.2017.05.010. 12. Karjalainen JP, Mononen N, Hutri-Kähönen N, Lehtimäki M, Hilvo M(4), Kauhanen D, et al. New evidence from plasma ceramides links apoE polymorphism to greater risk of coronary artery disease in Finnish adults. J Lipid Res. 2019; 60 (9): 1622–9. DOI: 10.1194/ jlr.M092809. 15. Law BA, Liao X, Moore KS, Southard A, Roddy P, Ji R, et al. Lipotoxic very-long-chain ceramides cause mitochondrial dysfunction, oxidative stress, and cell death in cardiomyocytes. FASEB J. 2018; 32 (3): 1403–16. DOI: 10.1096/fj.201700300R. PubMed PMID: 29127192; PubMed Central PMCID: PMC5892719. 13. Zhao W, Wang X, Deik AA, Hanna DB, Wang T, Haberlen SA, et al. Elevated plasma ceramides are associated with antiretroviral therapy use and progression of carotid artery atherosclerosis in ВЕСТНИК РГМУ 6, 2019 VESTNIKRGMU.RU | | 91
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Scalability of an Eulerian-Lagrangian large-eddy simulation solver with hybrid MPI/OpenMP parallelisation
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The University of Manchester Research The University of Manchester Research The University of Manchester Research Citing this paper Citing this paper Please note that where the full-text provided on Manchester Research Explorer is the Author Accepted Manuscript or Proof version this may differ from the final Published version. If citing, it is advised that you check and use the publisher's definitive version. Published in: Computers and Fluids Citation for published version (APA): Citation for published version (APA): Ouro, P., Fraga, B., Lopez-Novoa, U., & Stoesser, T. (2019). Scalability of an Eulerian-Lagrangian large-eddy simulation solver with hybrid MPI/OpenMP parallelisation. Computers and Fluids, 179, 123-136. https://doi org/10 1016/j compfluid 2018 10 013 DOI: 10.1016/j.compfluid.2018.10.013 DOI: 10.1016/j.compfluid.2018.10.013 Document Version Final published version Link to publication record in Manchester Research Explorer Link to publication record in Manchester Research Explorer Citation for published version (APA): Ouro, P., Fraga, B., Lopez-Novoa, U., & Stoesser, T. (2019). Scalability of an Eulerian-Lagrangian large-eddy simulation solver with hybrid MPI/OpenMP parallelisation. Computers and Fluids, 179, 123-136. https://doi.org/10.1016/j.compfluid.2018.10.013 Citation for published version (APA): Ouro, P., Fraga, B., Lopez-Novoa, U., & Stoesser, T. (2019). Scalability of an Eulerian-Lagrangian large-eddy simulation solver with hybrid MPI/OpenMP parallelisation. Computers and Fluids, 179, 123-136. https://doi.org/10.1016/j.compfluid.2018.10.013 General rights C General rights Copyright and moral rights for the publications made accessible in the Research Explorer 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. Takedown policy If you believe that this document breaches copyright please refer to the University of Manchester’s Takedown Procedures [http://man.ac.uk/04Y6Bo] or contact uml.scholarlycommunications@manchester.ac.uk providing relevant details, so we can investigate your claim. Download date:24. Oct. 2024 Takedown policy If you believe that this document breaches copyright please refer to the University of Manchester’s Takedown Procedures [http://man.ac.uk/04Y6Bo] or contact uml.scholarlycommunications@manchester.ac.uk providing relevant details, so we can investigate your claim. a r t i c l e i n f o Article history: Received 22 March 2018 Revised 19 September 2018 Accepted 9 October 2018 Available online 10 October 2018 Keywords: Hybrid MPI/OpenMP Eulerian-Lagrangian Large-eddy simulation Immersed boundary method Multiphase flows High performance computing Article history: Received 22 March 2018 Revised 19 September 2018 Accepted 9 October 2018 Available online 10 October 2018 Article history: Received 22 March 2018 Revised 19 September 2018 Accepted 9 October 2018 Available online 10 October 2018 Eulerian-Lagrangian approaches capable of accurately reproducing complex fluid flows are becoming more and more popular due to the increasing availability and capacity of High Performance Comput- ing facilities. However, the parallelisation of the Lagrangian part of such methods is challenging when a large number of Lagrangian markers are employed. In this study, a hybrid MPI/OpenMP parallelisa- tion strategy is presented and implemented in a finite difference based large-eddy simulation code fea- turing the immersed boundary method which generally employs a large number of Lagrangian mark- ers. A master-scattering-gathering strategy is used to deal with the handling of the Lagrangian markers and OpenMP is employed to distribute their computational load across several CPU threads. A classical domain-decomposition-based MPI approach is used to carry out the Eulerian, fixed-mesh fluid calcula- tions. The results demonstrate that by using an effective combination of MPI and OpenMP the code can outperform a pure MPI parallelisation approach by up to 20%. Outcomes from this paper are of interest to various Eulerian-Lagrangian applications including the immersed boundary method, discrete element method or Lagrangian particle tracking. Keywords: Hybrid MPI/OpenMP Eulerian-Lagrangian Large-eddy simulation Immersed boundary method Multiphase flows High performance computing © 2018 The Authors. Published by Elsevier Ltd. © 2018 The Authors. Published by Elsevier Ltd. This is an open access article under the CC BY license. ( http://creativecommons.org/licenses/by/4.0/ ) This is an open access article under the CC BY license. ( http://creativecommons.org/licenses/by/4.0/ ) What follows is that CFD codes must not only be portable to modern HPC hardware, but also scalable to hundreds of thousands of processors. The main strategies to parallelise and scale modern CFD codes most commonly used are: distributed memory through Message Passing Interface (MPI), shared memory through Open Multi-Processing (OpenMP) or a combination of both. Alternatively, Graphics Processing Units (GPUs) can be employed to speedup particular portions of code and its application to CFD is growing [8] . Scalability of an Eulerian-Lagrangian large-eddy simulation solver with hybrid MPI/OpenMP parallelisation Pablo Ouro a , ∗, Bruño Fraga b , Unai Lopez-Novoa c , Thorsten Stoesser a Pablo Ouro a , ∗, Bruño Fraga b , Unai Lopez-Novoa c , Thorsten Stoesser a a Hydro-environmental Research Centre, Cardiff School of Engineering, Cardiff University, The Parade, Cardiff CF24 3AA, UK b School of Engineering, University of Birmingham, Edgbaston, Birmingham B15 2TT, UK c Data Innovation Research Institute, Cardiff University The Parade, Cardiff CF24 3AA UK a Hydro-environmental Research Centre, Cardiff School of Engineering, Cardiff University, The Parade, Cardiff CF24 3AA, UK b School of Engineering, University of Birmingham, Edgbaston, Birmingham B15 2TT, UK c Data Innovation Research Institute, Cardiff University The Parade, Cardiff CF24 3AA UK a r t i c l e i n f o To date, MPI is the most used protocol to compute DNS and LES in parallel using mesh-based methods. It allows to divide the computational domain into smaller sub-domains and to solve the same code on basis of the Single Program Multiple Data (SPMD) paradigm. The key to an efficient MPI parallelisation strategy is the communication between sub-domains as the information exchange across their interfaces must ensure the coherence and continuity of the simulation [9] . On the other hand, the efficient computation of particle-based methods is frequently performed using OpenMP [10] . Complementary to pure MPI or OpenMP codes, their combi- nation can provide an outstanding increase in code performance as it allows to specifically tackle the code’s bottleneck. ∗Corresponding author. E-mail address: ourobarbap@cardiff.ac.uk (P. Ouro). ciently perform simulations in many CFD fields such as S https://doi.org/10.1016/j.compfluid.2018.10.013 0045-7930/© 2018 The Authors. Published by Elsevier Ltd. This is an open access article under the CC BY license. ( http://creativecommons.org/licenses/by/4.0/ ) Takedown policy Download date:24. Oct. 2024 Computers and Fluids 179 (2019) 123–136 Contents lists available at ScienceDirect https://doi.org/10.1016/j.compfluid.2018.10.013 0045-7930/© 2018 The Authors. Published by Elsevier Ltd. This is an open access article under the CC BY license. ( http://creativecommons.org/licenses/by/4.0/ ) fluid.2018.10.013 rs. Published by Elsevier Ltd. This is an open access article under the CC BY license. ( http://creativecommons.org/licenses/by/4.0/ ) ∇ · u = 0 ∂ u ∂t = −∇ p −u · ∇ u + ν∇ 2 u −∇ τ + f (2) (2) where u ( x, t) represents the velocity field, p ( x, t) is the pressure, ν is the kinematic viscosity of the fluid, and f ( x, t) is a volume force from a source external to the fluid, e.g. Lagrangian particles. The sub-grid scale stress (SGS) tensor, τ, can be calculated in Hydro3D with the Smagorinsky [31] or the Wall-Adapted Local Eddy viscos- ity (WALE) [32] SGS models. Here the latter is adopted as it is pre- ferred when dealing with moving boundaries as it implicitly calcu- lates the SGS viscosity near solid boundaries [6,9] . where u ( x, t) represents the velocity field, p ( x, t) is the pressure, ν is the kinematic viscosity of the fluid, and f ( x, t) is a volume force from a source external to the fluid, e.g. Lagrangian particles. The sub-grid scale stress (SGS) tensor, τ, can be calculated in Hydro3D with the Smagorinsky [31] or the Wall-Adapted Local Eddy viscos- ity (WALE) [32] SGS models. Here the latter is adopted as it is pre- ferred when dealing with moving boundaries as it implicitly calcu- lates the SGS viscosity near solid boundaries [6,9] . Overall the development of hybrid MPI/OpenMP parallelisation strategies is of interest to many CFD research areas: in DNS and LES of single-phase flows the main aim is to reduce inter-node communications between hundreds-to-thousands of cores, or in multiphase flow applications in which load-balancing problems due to Lagrangian computations (e.g. interpolation functions recon- struction or neighbour searching algorithm) need to be overcome. Hydro3D is based on finite differences with staggered storage of the three velocity components on three rectangular Cartesian grids and the storage of the pressure in their respective cell centre. Second- and fourth-order Central Differences Schemes (CDS) are available to approximate convective and diffusive velocity fluxes. In this research, second-order CDS is adopted as the direct forcing method used to resolve moving boundaries is also second-order accurate [33] . In the research reported here a refined hybrid MPI/OpenMP par- allelisation strategy is implemented in the open-source LES-based code Hydro3D. The code features coarse-grained MPI parallelisa- tion the efficiency of which is studied first for the lid-driven cav- ity test-case. ∇ · u = 0 The performance of the hybrid strategy is then eval- uated by comparing MPI/OpenMP to pure MPI computations for two Eulerian-Lagrangian fluid-structure interaction test-problems for which the Lagrangian part of the solution is a known bottle- neck to the overall speed of the code. Hydro3D employs a refined direct forcing Immersed Bound- ary (IB) and Lagrangian Particle Tracking (LPT) methods to per- form simulations of Eulerian-Lagrangian flow problems, allowing the simulation of moving bodies or particles inside a fixed Eule- rian fluid domain. Fig. 1 depicts a fixed Cartesian rectangular grid as the Eulerian together with an unstructured Lagrangian domain moving at a given Lagrangian velocity. As depicted in this figure, lower-case variables (here coordinates, velocities and pressure) be- long to the Eulerian framework whereas upper-case variables are used in the Lagrangian framework. The paper is organised as follows: the governing equations for fluid flow and the immersed boundary method are described in Section 2 . Section 3 presents the hybrid parallelisation strategy. Section 4 presents the performance results comparing pure MPI and hybrid MPI/OpenMP schemes for the multiphase applications. A discussion based on the overall results towards the application of the hybrid parallelisation approach within Eulerian-Lagrangian applications is presented in Section 5 together with the main con- clusions from this study. 2.1. Time integration The advancement in time of the governing equations is per- formed using the fractional-step method [34] . This adopts the Helmholtz decomposition to calculate the velocity field from a solenoidal and an irrotational vector fields obtained throughout several steps. The first is to predict the non-divergence free ve- locity, ˜ u ( x, t), from the explicit computation of convection and dif- fusion terms using a low-storage third-order Runge-Kutta scheme together with pressure values from the previous time step as, 1. Introduction The constant evolution of High Performance Computing (HPC) systems has accelerated the development of sophisticated Compu- tational Fluid Dynamics (CFD) codes. This has facilitated expensive Direct Numerical Simulations (DNS) and Large-Eddy Simulations (LES) of turbulent flows at low to moderately high Reynolds num- bers in complex geometries in the fields of aeronautics, bio-flows or hydro-environmental engineering [1–3] . Recent applications of DNS and LES include complex multiphase flows which often re- quire adopting Eulerian-Eulerian frameworks, e.g. scalar transport [4] or free-surface flows [5] ; or Eulerian-Lagrangian frameworks, e.g. fluid-structure interaction [6] or air-gas interaction [7] . Most of the cited computations were performed at a reduced scale and for validation purposes demonstrating the methods’ adequacy to re- produce the relevant physics. There is a fast-growing interest in ap- plying these advanced eddy-resolving techniques to real-life prob- lems, which means that the range of spatial and temporal scales to be resolved increases by one or several orders of magnitude and hence these computations become extremely expensive. Hybrid parallelisation techniques are becoming key to effi- ciently perform simulations in many CFD fields such as Smoothed P. Ouro et al. / Computers and Fluids 179 (2019) 123–136 124 Fig. 1. 2D sketch of a distribution of Lagrangian points in an Eulerian staggered grid for a body represented by the immersed boundary method. Particle Hydrodynamics (SPH) whose applicability is somewhat limited by the number of Lagrangian particles due to their in- herent expensive computations, e.g. neighbour searching. Novel hybrid techniques are under development in order to enhance its computational efficiency, such as an MPI/CUDA scheme pre- sented by Dominguez et al. [11] , which improved load-balancing. In a similar fashion, the most efficient way to parallelise Dis- crete Element Methods (DEM) depends on the homogeneity of the particles’ distribution. Gopalakrishnan et al. [12] presented good performance results for a pure MPI implementation of the open-source DEM code MFIX. A similar approach was followed by Yang et al. [13] achieving good scalability results in simula- tions with more than 10 6 particles. Liu et al. [14] implemented multi-threading in MFIX showing that a hybrid MPI/OpenMP code could overcome load-balancing problems outperforming the MPI scheme when 5.2 · 10 6 particles were simulated. Additionally, Am- ritkar et al. [15] showed that for several DEM applications pure OpenMP can be notably faster than MPI especially when a reduced number of processes were used in the simulations. 1. Introduction Particle Hydrodynamics (SPH) whose applicability is somewhat limited by the number of Lagrangian particles due to their in- herent expensive computations, e.g. neighbour searching. Novel hybrid techniques are under development in order to enhance its computational efficiency, such as an MPI/CUDA scheme pre- sented by Dominguez et al. [11] , which improved load-balancing. In a similar fashion, the most efficient way to parallelise Dis- crete Element Methods (DEM) depends on the homogeneity of the particles’ distribution. Gopalakrishnan et al. [12] presented good performance results for a pure MPI implementation of the open-source DEM code MFIX. A similar approach was followed by Yang et al. [13] achieving good scalability results in simula- tions with more than 10 6 particles. Liu et al. [14] implemented multi-threading in MFIX showing that a hybrid MPI/OpenMP code could overcome load-balancing problems outperforming the MPI scheme when 5.2 · 10 6 particles were simulated. Additionally, Am- ritkar et al. [15] showed that for several DEM applications pure OpenMP can be notably faster than MPI especially when a reduced number of processes were used in the simulations. Fig. 1. 2D sketch of a distribution of Lagrangian points in an Eulerian staggered grid for a body represented by the immersed boundary method. Hydro3D efficiently solves the filtered Navier–Stokes equations for unsteady, incompressible, viscous flows solved in an Eulerian frame reading, Yakubov et al. [16] adopted a hybrid MPI/OpenMP strategy in an Euler-Lagrange framework to simulate the flow around an airfoil where bubbles were injected into the cavitation areas, and results proved this scheme features good performance. Shi et al. [17] stud- ied in detail the performance differences between pure MPI and hybrid MPI/OpenMP implementations of a DNS code with applica- tion to Taylor-Couette flows. They found that a mixed scheme has many benefits in reducing inter-node communications which is key to scale to hundreds or thousands of cores. Similar results were obtained by Guo et al. [18] for the finite element model Fluidity achieving better performance using a hybrid scheme compared to pure MPI due to lower communication overheads. ∇ · u = 0 (1) ∂ u ∂t = −∇ p −u · ∇ u + ν∇ 2 u −∇ τ + f (2) (1) ∇ · u = 0 2.2. Immersed boundary method The IB method in Hydro3D was successfully validated in a se- ries of applications ranging from fluid-structure interaction [36] , flow around pitching airfoils [28] , multi-chamber tanks [23] , tidal turbines [6,37] and geophysical flows [38] . The numerical method used to accomplish fluid-structure interaction is a refined version presented in Kara et al. [36] based on the direct forcing IB method introduced by Fadlun et al. [39] and refined by Uhlmann [33] . In this approach, the immersed solid is comprised by a collection of N L Lagrangian forcing points conforming the targeted geome- try ( Fig. 1 ), which directly enforce a no-slip boundary condition at their location through the forcing term f . Note that the forwards interpolation (from Eulerian to La- grangian) uses the fluid cell volume x i while the backwards pro- cess adopts the volume assigned to each of the Lagrangian mark- ers V L , as represented in Fig. 1 . The direct forcing method needs to satisfy mass and torque conservation requiring the force trans- ferred to all fluid cells ( N e ) in the backwards procedure equals the total force exerted by the solid markers ( N L ). This condition is indi- cated in Eq. (13) which implies the same total force is interpolated between frameworks. N e  i =1 f i · δ( x i −X L ) · x i = N L  L =1 F L · δ( X L −x i ) · V L (13) (13) The direct forcing method follows a multi-step predictor- corrector procedure which is detailed in the following. First, the predicted Eulerian velocities ˜ u , calculated according to Eq. (3) , are transferred to the closest Lagrangian markers. This procedure is ac- complished using interpolation functions which can feature a dif- ferent number of neighbours depending on their stencil, i.e. sup- port width. Hereinafter n e stands for the number of Eulerian cells used to transfer the information to each neighbouring Lagrangian marker, the total number of Eulerian cells and Lagrangian mark- ers are N e and N L respectively, and n L is the number of Lagrangian markers used to interpolate solid quantities to the closest Eule- rian cells. 2. Numerical framework This force term results as the difference between the desired (or forced) marker velocity, U ∗ L , and the interpolated veloc- ity from the fluid U L , calculated as, Here x i and X L are the coordinates of the Eulerian cell i and La- grangian marker L , respectively, and x i = x i x j x k represents the volume of an Eulerian cell. The second step of the direct forc- ing method is to compute the force F L each Lagrangian marker ex- erts on the fluid to satisfy the no-slip condition at the marker’s position [33] . This force term results as the difference between the desired (or forced) marker velocity, U ∗ L , and the interpolated veloc- ity from the fluid U L , calculated as, (4) ∇ · ˜ u ∗≤ε ∇ · ˜ u ∗≤ε The predicted velocity field ˜ u ∗is projected onto the divergence- free field following Eq. (7) to obtain the solution velocity field at the current step u t ( x, t). U ∗ L = ∂ X L ∂t (11) u t = ˜ u ∗−t∇ ˜ p (7) u t = ˜ u ∗−t∇ ˜ p (7) (11) Note the latter velocity field differs from that obtained right af- ter the Lagrangian correction ˜ u ∗, i.e. the final flow velocity is not exactly that enforced by the solid in Eq. (4) . Cristallo et al. [35] showed that the error associated to this step can be deemed negligible. Finally, the pressure field at the current time step, p t , is calculated in Eq. (8) resulting from the value at the previous time step p t−1 and ˜ p field. The third step constitutes the backwards procedure where the La- grangian force F L is transferred to all the Eulerian cells in the fluid domain affected by Lagrangian particles obtaining the Eule- rian force f as, f i = n L  L =1 F L · δ( X L −x i ) · V L , i = 1 , . . . , N e (12) (12) p t = p t−1 + ˜ p −νt 2 ∇ 2 ˜ p (8) Here the interpolation of F L from the closest n L Lagrangian markers to each fluid cell adopts the delta functions values from the for- wards step, Eq. (9) . This implies performing the neighbour search- ing just in the forwards step which is the most computationally ex- pensive operation in the direct forcing method when dealing with moving boundaries. (8) 2.2. Immersed boundary method Therefore, the interpolated Lagrangian velocity U L at the Delta functions based on discrete kernels do not directly sat- isfy the partition of unity condition [41] and this condition is then fulfilled whenever the volume of each solid marker approximated that of a fluid cell, i.e. V L ≈x i . 2.3. Reconstruction of interpolation functions 2. Numerical framework Hydro3D is an in-house open-source [19] large-eddy simula- tion code that has been well-validated in a number of hydro- environmental engineering flows such as compound channels [20] , contact tanks [21–23] , free-surface flows [24–27] , aeronautical en- gineering applications such as flow around pitching airfoils [28] or geophysical flows [29,30] . ˜ u −u l−1 t = αl ν∇ 2 u l−1 −αl ∇p l−1 −αl [ u (∇ · u )] l−1 −βl [ u (∇ · u )] l−2 (3) P. Ouro et al. / Computers and Fluids 179 (2019) 123–136 125 marker L is obtained interpolating ˜ u from its n e closest Eulerian neighbours as, where l = 1,2,3 is the Runge-Kutta sub-step for which l = 1 denotes values from the previous time step t −1 , and αl and βl stand as the Runge-Kutta coefficients with values: αl = βl = 1/3, 1/6, 1/2. U L = n e  i =1 ˜ u i · δ( x i −X L ) · x i , L = 1 , . . . , N L (9) (9) In Eulerian-Lagrangian simulations using the IB method, the ex- ternal forces are represented by the forcing term f in the r.h.s of Eq. (2) , which is used to correct the predicted velocity ˜ u ob- taining the updated intermediate velocity ˜ u ∗( x, t) as indicated in Eq. (4) . This source term f enforces the fluid to have the solid ve- locity at its location fulfilling the no-slip equation as explained in Section 2.2 . Here x i and X L are the coordinates of the Eulerian cell i and La- grangian marker L , respectively, and x i = x i x j x k represents the volume of an Eulerian cell. The second step of the direct forc- ing method is to compute the force F L each Lagrangian marker ex- erts on the fluid to satisfy the no-slip condition at the marker’s position [33] . ∇ 2 ˜ p = ∇ · ˜ u ∗ t ∇ 2 ˜ p = ∇ · ˜ u ∗ t (5) ∇ 2 ˜ p = ∇ · ˜ u ∗ t (5) Here, the corrected velocity field satisfies the divergence-free condition once Eq. (6) achieves a residual lower than a set toler- ance ε often set to a value ≤10 −7 . ∇ · ˜ u ∗≤ε (6) (6) ˜ u ∗= ˜ u + f t A projection scalar function ˜ p is obtained in Eq. (5) resolving the Poisson pressure equation, which in Hydro3D is accomplished using an iterative multi-grid technique. This equation is iterated until the predicted intermediate velocity field ˜ u ∗satisfies the in- compressiblity condition. F L = U ∗ L −U L t , L = 1 , . . . , N L (10) (10) The forced velocity U ∗ L is computed depending on the solid body movement pattern, and there are three different possible scenar- ios. Firstly, when the body is static the forced velocity is zero. In case the body moves as a reaction to the fluid action, a fluid- structure interaction algorithm is needed to compute the forced velocity, which results from the time rate-of-change of the marker position as indicated in Eq. (11) [36,40] . The last case is when the solid body is moving with a prescribed velocity and pattern which permits a straightforward calculation of its coordinates at any time, such as the cases of vertical axis turbines rotating at fixed veloc- ities or pitching airfoils oscillating at a given reduced frequency [6,28] . 3. Parallelisation strategy 0 . 0 , if | h | ≥2 . 0 . ⎩ (16) (16) φ∗ 4 (h ) = ⎧ ⎪ ⎪ ⎪ ⎪ ⎪ ⎪ ⎪ ⎪ ⎨ ⎪ ⎪ ⎪ ⎪ ⎪ ⎪ ⎪ ⎪ ⎩ 3 8 + π 32 −h 2 4 , if | h | < 0 . 5 . 1 4 + 1 −| h | 8 −2 + 8 | h | −4 h 2 −1 8 arcsin √ 2 (| h | −1) , if 0.5 ≤| h | < 1 . 5 . 17 16 −π 64 −3 | h | 4 + r 2 8 + | h |−2 16 −14 + 16 | h | −4 h 2 + 1 16 arcsin √ 2 (| h | −2) , if 1.5 ≤| h | < 2 . 5 . 0 , if | h | ≥2 . 5 . (17) (17) 2.3. Reconstruction of interpolation functions Note that these two techniques have a similar computational expense as the most time-consuming oper- ation in the interpolation procedure is the neighbour searching, which is accomplished in both methods. Therefore performance results obtained here for the delta functions can be extrapolated to MLS. Delta functions δ are calculated as a result of three one- dimensional kernels φ as, are constructed only once at the first time step. However, it in- creases significantly for moving bodies, especially in DNS/LES as fine grids are required and a solid body can comprise thousands of markers. Searching for the closest fluid cells in the vicinity of La- grangian markers is the most time-consuming operation due to the fact that the staggered storage of the three components of velocity entails operations on three different grids, i.e. three interpolation functions for each marker needs to be computed. Hence, two rel- evant computational aspects in the present efficient implementa- tion of the IB method are: (1) delta functions and indices of the closest neighbours to each Lagrangian marker are computed only during the forwards interpolation and stored to be used during the backwards interpolation avoiding a second neighbour searching process, i.e. δ( X L −x i ) = δ( x i −X L ) ; and (2) a master-scattering- gathering technique (explained in Section 3.2 ) is developed to effi- ciently deal with moving Lagrangian particles that travel along dif- ferent sub-domains and computed by different processes through- out the simulation. δ  x i −X L x i  = 1 x i φ  x i −X i L x i  φ  x j −X j L x j  φ  x k −X k L x k  (14) The kernel functions of φ3 by Roma et al. [44] , φ4 by Peskin [43] , and φ∗ 4 by Yang et al. [42] as a function of the normalised grid spacing h = ( x i −X L ) / x i read, The kernel functions of φ3 by Roma et al. [44] , φ4 by Peskin [43] , and φ∗ 4 by Yang et al. 2.3. Reconstruction of interpolation functions [42] as a function of the normalised grid spacing h = ( x i −X L ) / x i read, φ3 (h ) = ⎧ ⎨ ⎩ 1 3 (1 + √ −3 h 2 + 1 )) , if | h | < 0 . 5 . 1 6  5 −3 | h | − −3(1 −| h | ) 2 + 1 , if 0.5 ≤| h | < 1 . 5 . 0 , if | h | ≥1 . 5 . (15) if | h | < 0 . 5 . if 0.5 ≤| h | < 1 . 5 . if | h | ≥1 . 5 . 3. Parallelisation strategy φ4 (h ) = ⎧ ⎪ ⎨ ⎪ ⎩ 1 8 (3 −2 | h | + 1 + 4 | h | −4 h 2 )) , if | h | < 1 . 0 . 1 8  5 −2 | h | − −7 + 12 | h | −4 h 2 , if 1.0 ≤| h | < 2 . 0 . 0 , if | h | ≥2 . 0 . (16) φ∗ 4 (h ) = ⎧ ⎪ ⎪ ⎪ ⎪ ⎪ ⎪ ⎪ ⎪ ⎨ ⎪ ⎪ ⎪ ⎪ ⎪ ⎪ ⎪ ⎪ ⎩ 3 8 + π 32 −h 2 4 , if | h | < 0 . 5 . 1 4 + 1 −| h | 8 −2 + 8 | h | −4 h 2 −1 8 arcsin √ 2 (| h | −1) , if 0.5 ≤| h | < 1 . 5 . 17 16 −π 64 −3 | h | 4 + r 2 8 + | h |−2 16 −14 + 16 | h | −4 h 2 + 1 16 arcsin √ 2 (| h | −2) , if 1.5 ≤| h | < 2 . 5 . 0 , if | h | ≥2 . 5 . (17) Large eddy simulations require sufficiently fine grids to explic- itly resolve the large-scale turbulence in the flow [1,46] , which usually implies an enormous computational load especially when the Reynolds number is relatively high. Hydro3D features a Lo- cal Mesh Refinement (LMR) methodology that allows refining the fluid mesh in certain areas of interest or of steep gradients while using coarser grids away from them. The implementation of LMR in Hydro3D is detailed in [9] and allows performing high- resolution LES with a reasonable amount of MPI processes. The next Section 3.1 details the way that the Eulerian field is di- vided and mapped using pure MPI, and Section 3.2 focuses on the Eulerian-Lagrangian computation using a new hybrid MPI/OpenMP environment. φ4 (h ) = ⎧ ⎪ ⎨ ⎪ ⎩ 1 8 (3 −2 | h | + 1 + 4 | h | −4 h 2 )) , if | h | < 1 . 0 . 1 8  5 −2 | h | − −7 + 12 | h | −4 h 2 , if 1.0 ≤| h | < 2 . 2.3. Reconstruction of interpolation functions Delta functions [42–44] or Moving Least Squares (MLS) [41,45] are commonly used to reconstruct the interpolation func- tions used in the direct forcing method framework. To date, the P. Ouro et al. / Computers and Fluids 179 (2019) 123–136 126 Fig. 2. (a) Kernel functions adopted to reconstruct the interpolating delta and (b) regions over which forces are transferred between Eulerian and Lagrangian frameworks. to reconstruct the interpolating delta and (b) regions over which forces are transferred between Eulerian and Lagrangian framewor Fig. 2. (a) Kernel functions adopted to reconstruct the interpolating delta and (b) regions over which forces are transferred betw use of delta functions in IB applications is more frequent than MLS and thus adopted herein. Note that these two techniques have a similar computational expense as the most time-consuming oper- ation in the interpolation procedure is the neighbour searching, which is accomplished in both methods. Therefore performance results obtained here for the delta functions can be extrapolated to MLS. Delta functions δ are calculated as a result of three one- dimensional kernels φ as, are constructed only once at the first time step. However, it in- creases significantly for moving bodies, especially in DNS/LES as fine grids are required and a solid body can comprise thousands of markers. Searching for the closest fluid cells in the vicinity of La- grangian markers is the most time-consuming operation due to the fact that the staggered storage of the three components of velocity entails operations on three different grids, i.e. three interpolation functions for each marker needs to be computed. Hence, two rel- evant computational aspects in the present efficient implementa- tion of the IB method are: (1) delta functions and indices of the closest neighbours to each Lagrangian marker are computed only during the forwards interpolation and stored to be used during the backwards interpolation avoiding a second neighbour searching process, i.e. δ( X L −x i ) = δ( x i −X L ) ; and (2) a master-scattering- gathering technique (explained in Section 3.2 ) is developed to effi- ciently deal with moving Lagrangian particles that travel along dif- ferent sub-domains and computed by different processes through- out the simulation. use of delta functions in IB applications is more frequent than MLS and thus adopted herein. 3.1. Eulerian field parallelisation using MPI Fig. 2 a shows the support width of these kernels utilising between 3 and 5 neighbours in each direction yielding a to- tal number of neighbours, n e , of 27, 64 and 125, respectively. Fig. 2 b depicts how the interpolation area is distributed in a two-dimensional plane (bounded by solid, dashed or dotted lines, respectively) increasing with the kernel width. Yang et al. [42] showed that a larger number of neighbours reduces the non- physical force oscillations during the variable exchange procedures. Nevertheless, the improvement of the interpolations results in ad- ditional computational load that is directly proportional to the number of neighbours used. In most LES and DNS the solution of the Poisson pressure equa- tion often constitutes the most time-consuming operation within the fractional-step method. The concept of the coarse-grained MPI parallelisation is used to divide the computational domain of the Eulerian field into sub-domains or blocks and execute them in par- allel using multiple processing units by means of the Single Pro- gram Multiple Data (SPMD). These blocks are assigned to differ- ent MPI ranks and communication is accomplished via MPI oper- ations. The blocks overlap at their boundaries by one or several layers of ghost cells (or halos) through which information is ex- changed. Fig. 3 depicts an example of four sub-domains with a solid body in two of them. Each sub-domain overlaps with its im- mediate neighbours through two layers of ghost cells and the in- The computational overhead of the IB method is relatively low if Lagrangian markers are static because the interpolation functions P. Ouro et al. / Computers and Fluids 179 (2019) 123–136 127 Fig. 3. A fluid domain composed of 4 sub-domains with communication via 2-layer overlapping ghost cells. Fig. 3. A fluid domain composed of 4 sub-domains with communication via 2-layer overlapping ghost cells. Fig. 4. Schematic representation of the time advancement procedure using 8 physical threads with MPI processes 2 and 5 spawning 3 OpenMP threads. Fig. 4. Schematic representation of the time advancement procedure using 8 physical threads with MPI processes 2 and 5 spawning 3 OpenMP threads. he time advancement procedure using 8 physical threads with MPI processes 2 and 5 spawning 3 OpenMP threads. Fig. 4. Schematic representation of the time advancement procedu formation stored in these cells is exchanged, guaranteeing a con- tinuous Eulerian field across domain interfaces. 3.1. Eulerian field parallelisation using MPI This is a standard parallelisation approach for block-structured grids and increases the calculation speed of the solution of the Poisson equation when using a multigrid solver because a big matrix solution problem is broken down into many small sub-problems [47] . egy combining the ”master-slave” concept from Uhlmann [53] with the ”scattering-and-gathering” strategy from Wang et al. [54] . The master processor (hereinafter referred to as master) gathers the general information from all the Lagrangian markers, e.g. their coordinates. Based on these data, the master calculates for each marker in which sub-domain i is located and the MPI process that is assigned to deal with it, and also generates a vector X L i with the indices of the markers contained within the sub-domain i . The lat- ter is distributed via SCATTER together with the integer n L i that indicates the number of markers within the sub-domain i . Depend- ing on whether the marker moves (dynamic) or is static (fixed) the particle allocation and scattering-and-gathering are performed at every time step or just once at the first one, respectively. 4.1. Lid-driven cavity flow In order to ensure a correct sequential mapping of the pro- cesses to the compute cores in the mixed MPI/OpenMP scheme, it is necessary to tune the launch configuration of the code in the job scheduler. Considering Slurm as scheduler, the envi- ronment variable SLURM _ TASKS _ PER _ NODE is set in the batch script to indicate ensure those MPI processes spawning additional OpenMP threads are placed on the same nodes, which can be also shared with those running pure MPI processes. For instance, in the SMP-style (a sequential) assignation of the resources for the scenario depicted in Fig. 5 , the environment variable would be SLURM _ TASKS _ PER _ NODE = ′ 16 (x1 ) , 12 (x1 ) , 8 (x1 ) , 2 (x1 ) ′ , in the value which is a list of comma-separated items of set as A ( xB ) with A denoting the number of MPI processes on B consecutive nodes. This value would Hence, 16 MPI processes are assigned to the first compute node, 12 MPI processes to the second one leav- ing room for two of them (MPI processes 26 and 27) to spawn an additional OpenMP thread each, 8 MPI processes to the third node, leaving room for all allowing them to spawn an additional OpenMP thread each, and the remaining MPI processes (36 and 37) to the last node. Note this feature is not exclusive of Slurm as the pro- posed hybrid parallelisation scheme of Hydro3D could be adopted with other schedulers, e.g. PBS, and without the need for adminis- trative privileges. Firstly, the scalability of the MPI parallelisation is analysed us- ing the lid-driven cavity flow [56] , a common benchmark case used for testing incompressible flow solvers [57] . Here a similar setup to that by Wang et al. [54] is adopted. The domain is a three- dimensional cube the sides of which are equal to one and the Reynolds number is set to 400. A Dirichlet boundary condition is set at the top lid with an imposed velocity of (u, v , w ) = (1 , 0 , 0) , no-slip conditions are used at the bottom, west and east walls and slip conditions are adopted on the north and south walls. 3.2. Hybrid MPI/OpenMP strategy Schematic distribution of 38 MPI processes on 4 SMP nodes for which 12 MPI processes spawn 2 OpenMP threads. Fig. 5. Schematic distribution of 38 MPI processes on 4 SMP nodes for which 12 MPI processes spawn 2 OpenMP threads. avoids some of the drawbacks associated with such hybrid paral- lelisation schemes [49,55] . where T 0 corresponds to the wall-time or runtime obtained with the configuration using the lowest number of cores and T n corre- sponds to the runtime when using n cores. The runtime is obtained with the MPI _ WTIME () directive from time-averaging 200 time steps executed under fully developed flow conditions, which are enough to obtain representative runtime values as there is an almost negli- gible difference in computing time among these time steps. Gener- ation of input/output files (e.g. IB method forces) is omitted during the simulations in order to focus the analysis on the flow solver performance. After performing the Lagrangian forcing correction on the Eule- rian field via Eq. (12) , an inverse operation sending the Lagrangian forces from the processors to the master is performed via GATHER . The latter is needed when the Lagrangian forces are physically meaningful, such as in the analysis of tidal turbines [6,37] . The final step is to compute the remaining Eulerian variables of the scalar ˜ p correcting the final velocity u t and pressure p t fields using Eqs. (5) –(8) . All simulations are carried out on a cluster of the Super- computing Wales 1 project hosting 128 nodes, each with 2 In- tel Xeon E5-2670 (Sandy Bridge) processors and 64GB (DDR3- 1600Mhz ECC SDR) RAM. Nodes are interconnected with an Infini- band (Connect2-X) 4x QDR/PCIe gen2 16x network infrastructure (40Gbps HS/LL QDR, 1.2 μs latency). The code was compiled with Intel Fortran compiler version 16.0 using −O2 −AVX −qopenmp flags and linked with Intel MPI library version 5.1. In many hybrid MPI/OpenMP applications the distribution of MPI/OpenMP threads is homogeneous, while in our implementa- tion not every MPI process spawns OpenMP threads. This adds certain flexibility in the hybrid scheme especially when allocating cores dedicated to either MPI or OpenMP within the same node to reduce inter-node communications [49] . Fig. 5 shows a schematic core distribution for 38 MPI tasks among 4 nodes from which 12 ranks uses 2 threads. 3.2. Hybrid MPI/OpenMP strategy The use of Eulerian-Lagrangian methods featuring a large num- ber of Lagrangian markers in a relatively confined Eulerian do- main [6,7,28,37,48] calls for a parallelisation strategy beyond pure MPI, as most likely Lagrangian markers are not equally distributed amongst the Eulerian sub-domains. For instance, in Fig. 3 the La- grangian markers comprising the airfoil are all located in domains 2 and 3 and consequently there is a greater computational effort solving the flow in these domains than in domains 0 and 1. Adopt- ing a parallelisation strategy that combines MPI and OpenMP aims at taking advantage of the benefits of each technique [49–51] . The proposed hybrid scheme in the Eulerian-Lagrangian solver com- bines a coarse-grained message-passing parallelism in the Eulerian calculations with a fine-grained multi-thread parallelism for the Lagrangian calculations [52] . The computation of the IB method equations ( Eqs. (9) –(12) ) is performed by all MPI processes whose assigned sub-domains con- tain Lagrangian markers. This differs from Wang et al.’s [54] strat- egy in which only the master deals with these equations ex- changing the Lagrangian velocities and forces via MPI communi- cations with the other MPI processes once resolved. This is an efficient strategy whenever the number of Lagrangian points is relatively small as the communication of large arrays can lead to significant overheads. In the present cases there is a great number of markers causing an important load-unbalancing and hence the proposed alternative strategy adding multi-threading to the ”master-scattering-gathering” strategy aims at improving the code’s speedup by (i) reducing inter-node communication between MPI processes, and (ii) improving the locality of the IB method computations. No MPI calls are made within the OpenMP par- allelised loops, which simplifies the present implementation and A global layout of the proposed hybrid approach using as exam- ple 4 MPI processes with 2 of them spawning 3 OpenMP threads to fork the Lagrangian calculations is depicted in Fig. 4 . Firstly, the predicted Eulerian velocities are calculated by each MPI rank according to Eq. (9) . The next step, denoted as ”particle alloca- tion”, concerns the distribution of the Lagrangian points among the different MPI processes. This is accomplished with a strat- P. Ouro et al. / Computers and Fluids 179 (2019) 123–136 P. Ouro et al. / Computers and Fluids 179 (2019) 123–136 128 Fig. 5. 4.1. Lid-driven cavity flow The grid resolution is uniform in the whole domain with an even distribu- tion of Eulerian cells per processor. The time step is set variable with a CFL value of 0.5 in all cases. The resulting flow field obtained with the mesh resolution com- prising 160 grid cells along each spatial direction is shown in Fig. 6 with the contour plot of u-velocity at a transversal plane along the mid-width of the domain. Profiles of u- and w-velocities confirm the accuracy of Hydro3D to predict the flow developed in the cav- ity achieving a good match with those of Ghia et al. [56] . Scala- bility of the code is assessed for three grid-resolutions using five different number of cores, namely 1, 8, 64, 125 and 512 (512 is the largest number of cores available on the cluster). Details of mesh resolution ( x i ), number of divisions along each direction ( n i = 1 / x i ) and total number of cells ( N e ) are provided in Table 1 . Results of the code’s speedup are presented in Fig. 7 a demonstrat- ing that Hydro3D features a good strong scalability for all grid res- olutions (and especially for the finest mesh n i = 320) except when 512 CPUs are used in cases 1 and 2, i.e. those with the least num- ber of grid cells. 1 Supercomputing Wales homepage: http://www.supercomputing.wales . 3.2. Hybrid MPI/OpenMP strategy Different distributions among the processes are combined with nodes dedicated to pure MPI processes, mixed use of pure MPI and hybrid MPI/OpenMP, and exclusively dedicated to hybrid MPI/OpenMP. 4.1. Lid-driven cavity flow 4. Parallel performance assessment This section presents the scalability study of Hydro3D for three different flow problems. The first one is a lid-driven cavity flow case and the other two are high-resolution large-eddy simulations of complex flows of engineering interest [6,28] . The parallelisation speedup S n is evaluated as, As mentioned before the most expensive computation at every time step in LES solvers is the solution of the Poisson pressure equation ( Eq. (10) ). Fig. 7 b shows that in the present cases com- S n = T 0 T n (18) P. Ouro et al. / Computers and Fluids 179 (2019) 123–136 129 P. Ouro et al. / Computers and Fluids 179 (2019) 123–136 Fig. 6. Velocity field and validation of the coarse-grid lid-driven cavity flow using data of Ghia et al. [56] . Fig. 6. Velocity field and validation of the coarse-grid lid-driven cavity flow using data of Ghia et al. [56] . Fig. 6. Velocity field and validation of the coarse-grid lid-driven cavity flow using data of Ghia et al. [56] . ow case results. (a) Speedup obtained for the different resolutions using up to 512 cores and (b) runtime associated with the pressure solver (blank tep (filled symbols). Fig. 6. Velocity field and validation of the coarse-grid lid-driven cavity flow using data of Ghia et al. [56] . Fig. 7. Lid-driven cavity flow case results. (a) Speedup obtained for the different resolutions using up to 512 cores and (b) runtime associated with the pressure solver (blank symbols) and total time step (filled symbols). Fig. 7. Lid-driven cavity flow case results. (a) Speedup obtained for the different resolutions using up to 512 cores and (b) runtime associated with the pressure solver (blank symbols) and total time step (filled symbols). Table 2 Details of the mesh resolutions tested, number of Eulerian cells in the fluid domain, Lagrangian markers conforming the airfoil shape, sub- domains and sub-domains hosting Lagrangian markers. Details of the mesh resolutions tested, number of Eulerian cells in the fluid domain, Lagrangian markers conforming the airfoil shape, sub- domains and sub-domains hosting Lagrangian markers. Details of mesh resolution, number of divi- sions per spatial direction and total number of fluid cells for the three scenarios used in the lid-driven cavity flow. Case Mesh x /c N e N L N d N dLm 1.a M1 0.0125 13.32 · 10 6 186,240 57 24 1.b M1 0.0125 13.32 · 10 6 186,240 114 48 1.c M1 0.0125 13.32 · 10 6 186,240 171 72 2.a M2 0.0100 52.59 · 10 6 357,0 0 0 114 48 2.b M2 0.0100 52.59 · 10 6 357,0 0 0 171 72 Case x i n i N e 1 0.00625 160 4.096 · 10 6 2 0.0 050 0 200 8.0 0 0 · 10 6 3 0.003125 320 32.768 · 10 6 puting the pressure solver always takes more than 50% of the to- tal time and for those cases using less than 8 tasks this increases up to 70%. Overall, good strong scalability is obtained as the mean runtime needed to compute the pressure equation decreases al- most linearly when increasing the number of cores. blades with a chord length of c = 0 . 032 m. The radius of the tur- bine is R = 2 . 73 c and it rotates at an imposed rotational speed of 52.57 rad / s attaining a tip speed ratio of 2, i.e. the tangential speed of the blades is twice the incoming flow velocity. The result- ing Reynolds number based on the blade’s chord is Re c = cU 0 /ν = 73 , 600 . The flume’s cross-section measures 32 c by 18 c in stream- wise and transversal directions, and these dimensions are kept in the computational domain while extending vertically 2 c . The tur- bine centre is x = 10 c away from the inlet and centered in the spanwise direction. The mesh resolution is uniform in x - and y - directions, i.e. x = y, while it is doubled in the normal direc- tion. The kernel function φ4 is used in the immersed boundary method [6,58] . 4.2. Simulation of a vertical axis tidal turbine The turbine blades move within the finest LMR level but only 24 of the 36 sub-domains deal with Lagrangian markers dur- ing the simulation, which means that 24 MPI processes can require to spawn OpenMP threads. The speedup obtained with every hybrid configuration relative to the pure MPI scenario is presented in Fig. 9 c and d for meshes M1 and M2, respectively. The average speedup gained to compute the IB method with 1 additional thread is about 1.7, which in terms of speedup based on the total runtime is 1.3. However, when using 3 threads the speedup increases up to about 2.2 and 1.4 related to the IB method and total runtime per time step. Note that the slope of the speedup curves related to the total runtime flattens when adopting 3 threads as a result of the time spent solving the Poisson equation again becoming the most expensive computation over the IB method. The scalability of the scheme is assessed for 57, 114 and 171number of sub-domains for the coarse resolution (M1) while for the fine resolution (M2) only 114 and 171number of sub- domains are used. Each case is tested with a pure MPI configu- ration (meaning that no additional OpenMP thread is spawned), and using the hybrid MPI/OpenMP scheme with 2 and 3 OpenMP threads for those MPI processes computing IB markers, i.e. each MPI process spawns 1 or 2 additional OpenMP threads. The pro- cedure to determine the processes computing the IB bodies is straightforward when the body moves with a prescribed motion, e.g. a circular movement described by a VATT, and for this case the sub-domains requiring multi-threading are the ones enclosed within the blue boundary in Fig. 8 . The percentage of time spent on the different stages of the LES solver to advance the simulation in time for the pure MPI con- figurations is summarised in Table 3 . It is appreciated that the IB method consumes from 48% to almost 60% of the computing time whilst resolving the Poisson equation takes about 30–38%, which indicates that the IB method arises as the code bottleneck. This is noticeable when increasing from 114 to 171 cores, i.e. 1.5 times more resources, runtime time drops by 14% and 21% for cases 1 and 2 respectively. 4.2. Simulation of a vertical axis tidal turbine 4.2. Simulation of a vertical axis tidal turbine This section assesses the parallelisation performance of Hy- dro3D for the simulation of the flow past a Vertical Axis Tidal Turbine (VATT). In contrast to the lid-driven cavity flow, this sim- ulation requires the computation of moving Lagrangian markers and the hybrid MPI/OpenMP parallelisation approach of the code is employed. The accuracy of these simulations using the immersed boundary method was successfully validated in previous works [6,58] . The efficiency of the hybrid parallelisation strategy is tested with two different mesh resolutions, namely M1 and M2, which are chosen based on the mesh convergence study of Ouro et al. [6] . Table 2 details the mesh configurations regarding the nor- The turbine operates in a hydraulic flume with an incoming velocity U 0 of 2.3m/s and comprises three cambered NACA 0018 P. Ouro et al. / Computers and Fluids 179 (2019) 123–136 130 / p ( ) Fig. 8. Zoom-in of the Eulerian sub-domains distribution and the VATT blades with contour of the normalised time-averaged streamwise velocity. The LMR levels are also indicated. Fig. 8. Zoom-in of the Eulerian sub-domains distribution and the VATT blades with contour of the normalised time-averaged streamwise velocity. The LMR levels are also indicated. conditioned by the time spent solving the Poisson equation, as shown in Table 3 . For the finer mesh resolution, M2, similar re- sults are obtained. In case 2.a, executing the code with 2 additional OpenMP threads drops by 42% the time spent computing the IB method leading to a smaller runtime than that obtained for case 2.b with 171 MPI processes. malised grid resolution ( x / c ), number of Eulerian cells in the en- tire fluid domain ( N e ), Lagrangian markers comprising the turbine ( N L ), number of domains ( N d ) and number of domains hosting La- grangian markers ( N dLm ). Fig. 8 shows a zoom-in of the fluid domain of the horizontal plane at z/c = 1 with contours of normalised mean streamwise ve- locity. The domain is divided into 57 sub-domains in the x - y plane, meaning that the code runs 57 MPI processes when using one ver- tical layer of sub-domains, whilst 114 and 171 MPI processes are used when adopting two or three layers in the vertical, respec- tively. 4.2. Simulation of a vertical axis tidal turbine Results of runtime and speedup obtained with the pure MPI and hybrid MPI/OpenMP schemes on the VATT simulations are pre- sented in Fig. 9 . Note that the OpenMP Dynamic schedule directive with chunk size of 50 is used as this gave the best performance according to the test described in Appendix A . For case 1.a, using 1 and 2 additional OpenMP threads reduces the time to compute the IB method by 43% and 55% respectively, which diminish the over- all time to 25% and 32%. Nonetheless, the configuration using 105 threads (57 MPI processes with 48 additional OpenMP threads) in case 1.a takes longer to run than using 114 MPI processes with no OpenMP in case 1.b. Note that having two vertical domains reduces the number of Eulerian cells used in the neighbour searching, thus the computation of the IB method also benefits from a larger do- main partitioning. Hybrid MPI/OpenMP performance for different kernel functions In the direct forcing IB method the accuracy and smoothness of the interpolation can be improved increasing the number of neigh- bours [42] . However, this is not free-of-charge and brings addi- tional computational overhead due to a larger number of opera- tions in the neighbour searching. Here, three delta functions φ3 , φ4 and φ∗ 4 are examined which use 27, 64 and 125 neighbours re- spectively. Fig. 10 presents the mean runtime per time step and that corresponding to the IB method with mesh M1. For all cases with pure MPI configuration the computing time spent on the IB method increases about 1.8 times using φ4 and 3.4 times using φ∗ 4 when compared to the runtime obtained with φ3 , which uses the least number neighbours in the interpolation. The runtime obtained with 114 MPI processes and 1 additional OpenMP thread (162 cores in total) using φ∗ 4 and φ4 is 22% and 12% lower, respectively, than that with 171 MPI processes with- out OpenMP threads. In the case of φ3 , the hybrid scheme does not outperform the pure MPI performance as the resolution of the For case 1.b, using 114 MPI tasks with 2 additional OpenMP threads (162 cores in total) the hybrid scheme outperforms by 12% the results obtained with the pure MPI with 171 cores. In view of these runtimes, the effectiveness of the hybrid scheme is deemed P. Ouro et al. 4.2. Simulation of a vertical axis tidal turbine / Computers and Fluids 179 (2019) 123–136 131 Fig. 9. Physical average runtime spent computing the IB method and total time per time step for meshes M1 (a) and M2 (b). Speedup in the code’s performance regarding the IB method computations and the total time per time step for meshes M1 (c) and M2 (d). Fig. 9. Physical average runtime spent computing the IB method and total time per time step for meshes M1 (a) and M2 (b). Speedup in the code’s performance regarding the IB method computations and the total time per time step for meshes M1 (c) and M2 (d). Table 4 l (20) α(t) = α0 + α · sin (ωt) (20) α(t) = α0 + α · sin (ωt) α(t) = α0 + α · sin (ωt) where α0 is the pre-set angle with value 10 °, α is the angle amplitude equal to 6 °, and ω is the oscillation frequency equal to 0.32rad/s. The resulting maximum and minimum pitch angles are 16 ° and 4 °, respectively. Fig. 11 shows the flow developed over the moving airfoil at α = 15 . 88 ◦↑ and 15.92 °↓ . Fig. 11 a represents the last stage of the upstroke motion with the leading edge vortex dominating the flow over the airfoil’s suction side also observed during the experiments [61] . This energetic large-scale structure is shed once the airfoil achieves its maximum angle of attack and a trailing edge vortex is then generated as observed in Fig. 11 b. where α0 is the pre-set angle with value 10 °, α is the angle amplitude equal to 6 °, and ω is the oscillation frequency equal to 0.32rad/s. The resulting maximum and minimum pitch angles are 16 ° and 4 °, respectively. Fig. 11 shows the flow developed over the moving airfoil at α = 15 . 88 ◦↑ and 15.92 °↓ . Fig. 11 a represents the last stage of the upstroke motion with the leading edge vortex dominating the flow over the airfoil’s suction side also observed during the experiments [61] . This energetic large-scale structure is shed once the airfoil achieves its maximum angle of attack and a trailing edge vortex is then generated as observed in Fig. 11 b. 4 Overall good parallel efficiency is obtained with the hybrid MPI/OpenMP scheme whenever the ratio T IB / T Press is greater than one, which seems a good indicator of whether extra computational resources should be added to pure MPI ( T IB / T Press < 1) or multi- threading ( T IB / T Press > 1). The performance of the hybrid MPI/OpenMP scheme is tested against pure MPI runs using two grid resolutions. Details are pro- vided in Table 5 together with total number of Eulerian cells N e and Lagrangian markers N L . Mesh P1 features 320 markers uni- formly distributed over both pressure and suction sides of the air- foil while 400 markers are adopted in mesh P2. Table 4 l Values of speedup in the IB method calculation, speedup based on the aver- age time per time step and parallel efficiency. Values of speedup in the IB method calcula age time per time step and parallel efficien Values of speedup in the IB method calculation, speedup based on the aver- age time per time step and parallel efficiency. age time per time step and parallel efficiency. Case N d N omp N threads T IB / T Press S IB n S time _ step n E n φ3 1.a 57 2 81 0.743 1.559 1.187 0.835 1.b 114 2 162 0.520 1.441 1.170 0.823 1.c 171 2 243 0.523 1.402 1.126 0.792 2.a 57 3 105 0.596 1.941 1.227 0.693 2.b 114 3 210 0.440 1.645 1.214 0.659 2.c 171 3 315 0.4 4 4 1.635 1.161 0.630 φ4 1.a 57 2 81 1.187 1.754 1.341 0.943 1.b 114 2 162 0.789 1.518 1.216 0.855 1.c 171 2 243 0.766 1.756 1.316 0.926 2.a 57 3 105 0.936 2.225 1.483 0.805 2.b 114 3 210 0.624 2.0 0 0 1.308 0.710 2.c 171 3 315 0.607 2.215 1.410 0.765 φ∗ 4 1.a 57 2 81 2.304 1.838 1.508 1.061 1.b 114 2 162 1.417 1.778 1.421 1.0 0 0 1.c 171 2 243 1.364 1.794 1.402 0.987 2.a 57 3 105 1.690 2.463 1.777 0.965 2.b 114 3 210 1.053 2.393 1.635 0.888 2.c 171 3 315 1.005 2.447 1.619 0.879 Fig. 11. Contours of normalised streamwise velocity contours and flow streamlines around the pitching NACA 0012 at a) α = 15 . 88 ◦↑ and b) 15.92 °↓ . Poisson equation is constantly more time-consuming than the IB method. An effective measure of multi-threading performance is through parallel efficiency evaluated as, Poisson equation is constantly more time-consuming than the IB method. An effective measure of multi-threading performance is through parallel efficiency evaluated as, remarkably complex nature depending on a large number of flow and kinematic variables, e.g. flow or pitching conditions [59] . In the simulation of pitching airfoils, the velocity gradients over the airfoil surfaces need to be well-resolved in order to accu- rately capture flow phenomena such as flow separation, laminar- to-turbulent boundary layer transition during upstroke motion, or boundary layer reattachment during pitch down. Therefore, eddy- resolving approaches, such as LES, provided with very fine meshes are required to obtain trustworthy results. Table 4 l These are selected based on the mesh sensitivity study performed in [28] that pro- vided an accurate resolution of the flow. The grid is uniform in x- and y-directions while in the spanwise direction it is z = 2x . Table 3 Table 3 Percentage of the mean runtime spent on computing convection-diffusion, pressure equa- tion, IB method, and average time (in seconds) per time step for the pure MPI configura- tions. Case N d Convection-diffusion Pressure IB method Mean time step (s) 1.a 57 10.80 % 28.41% 59.14% 6.02 1.b 114 11.05% 38.66% 48.26% 3.44 1.c 171 10.98% 38.18% 48.65% 2.96 2.a 114 9.13 % 34.71% 53.80% 12.10 2.b 171 9.55 % 35.62% 52.75% 9.63 Fig. 10. Comparison of the mean (a) total time step runtime and (b) runtime computing the IB method using different kernels. Table 3 Percentage of the mean runtime spent on computing convection-diffusion, pressure equa- tion, IB method, and average time (in seconds) per time step for the pure MPI configura- tions. Percentage of the mean runtime spent on computing convection-diffusion, pressure equa- tion, IB method, and average time (in seconds) per time step for the pure MPI configura- tions. Case N d Convection-diffusion Pressure IB method Mean time step (s) 1.a 57 10.80 % 28.41% 59.14% 6.02 1.b 114 11.05% 38.66% 48.26% 3.44 1.c 171 10.98% 38.18% 48.65% 2.96 2.a 114 9.13 % 34.71% 53.80% 12.10 2.b 171 9.55 % 35.62% 52.75% 9.63 Fig. 10. Comparison of the mean (a) total time step runtime and (b) runtime computing the IB method using different kernels. Fig. 10. Comparison of the mean (a) total time step runtime and (b) runtime computing the IB method using different kernels. P. Ouro et al. / Computers and Fluids 179 (2019) 123–136 132 Fig. 11. Contours of normalised streamwise velocity contours and flow streamlines around the pitching NACA 0012 at a) α = 15 . 88 ◦↑ and b) 15.92 °↓ . Table 4 l The computational load of simulating these moving bodies is notably high mainly due to extra computations to re-allocate variables when body-fitted or chimera methods are used [60] or to re-construct the interpolation functions using the immersed boundary method [28] . E n = nT n mT m (19) (19) which compares the runtime obtained with n and m number of cores. Details of the different hybrid configurations with their speedup and parallel efficiency calculated in reference to the re- spective pure MPI configurations are given in Table 4 , together with the ratio between time computing the IB method ( T IB ) and pressure solver ( T Press ) for the different kernel functions. N omp rep- resents the number of additional OpenMP threads and N threads the total number of threads, summing the ones running MPI processes and OpenMP threads. Here the hybrid parallelisation scheme is tested in the simu- lation of a NACA 0012 [61] under a pitching motion using the IB method with kernel function φ4 and whose accuracy was suc- cessfully proven in Ouro et al. [28] . In the present case an airfoil with chord length c = 0 . 15 m oscillates sinusoidally with a con- stant pitching frequency ( ω) around its gravity centre located at 0.25 c away from the leading edge. The angle described by the solid at any time is calculated as, The performance of adding multi-threading improves for φ∗ 4 as speedup values based on the total time step are above 1.4 for all cases using 2 threads and 1.6 when using 3 threads. This is also reflected in good parallel efficiency values being approx. 1.0 and 0.88 for 2 and 3 threads, respectively. Values of E n for φ4 de- crease to a range between 0.85 and 0.94 when using 2 threads and from 0.71 to 0.80 for 3 threads. Speedup results for φ3 are relatively low ( < 1.2) as the computational load of the IB method compared to that of Poisson pressure equation, i.e. T IB / T Press is con- stantly lower than 0.75. The resulting parallel efficiency shows val- ues mostly over 0.80 for 2 OpenMP threads while dropping to 0.60 for 3 threads. Results suggest that it should be borne in mind the balance between the higher-order kernels being more accurate, e.g. φ∗ 4, and their computational expense. 4.3. Simulation of a pitching airfoil under dynamic stall The simulation of pitching airfoils undergoing dynamic stall is of interest to many fields, as it is a key phenomenon in the aero- dynamics of helicopters, micro-aerial vehicles or wind and tidal turbines. Despite its relevance in such variety of flows, the un- derstanding of the dynamic stall is still not complete due to its P. Ouro et al. / Computers and Fluids 179 (2019) 123–136 133 Fig. 12. Distribution of the different resolution levels on the mesh used for the pitching airfoil simulations. Red contour bounds the sub-domains requiring OpenMP threads. Fig. 13. Performance of the hybrid MPI/OpenMP parallelisation on the pitching airfoil simulations. Table 5 Details of the mesh resolutions used for the pitching airfoil simulations. Case Mesh x/c N NL Nd Nd mesh P1 comprises a single layer of sub-domains in the spanwise direction, so up to 12 MPI processes can spawn OpenMP threads. In mesh P2 this number is doubled as two domains are distributed Fig 12 Distribution of the different resolution levels on the mesh used for the pitching airfoil simulations Red contour bounds the sub domains requiring OpenMP threads Fig. 12. Distribution of the different resolution levels on the mesh used for the pitching airfoil simulations. Red contour bounds th tion levels on the mesh used for the pitching airfoil simulations. Red contour bounds the sub-domains requiring OpenMP threads. Fig. 13. Performance of the hybrid MPI/OpenMP parallelisation on the pitching airfoil simulations. Fig. 13. Performance of the hybrid MPI/OpenMP parallelisation on the pitching airfoil simulations. Table 6 action problems in which the Lagrangian-framework-based im- mersed boundary method is employed to simulate a moving solid body. The mixed parallelisation strategy outperforms the perfor- mance of pure MPI schemes in those cases in which the load from Lagrangian computations is considerably larger than the Eulerian ones, and here mainly the solution of the Poisson pressure equa- tion requires most of the resources. It has been shown that the hy- brid MPI/OpenMP scheme achieves a reduction of approx. 20% of the computational cost needed for the simulation of the pitching airfoil due to a larger computational load of the Lagrangian part than in the case of the turbine. This performance increase can have a notable impact in many CFD fields considering the huge expense of most LES or DNS applications allowing to carry out a certain simulation in a shorter time using less computational resources. Table 6 Values of speedup in the IB method calculation, speedup based on the aver- age time per time step and parallel efficiency for the pitching airfoil simu- lations. Values of speedup in the IB method calculation, speedup based on the aver- age time per time step and parallel efficiency for the pitching airfoil simu- lations. Case N d N omp N threads T IB / T Press S IB n S time _ step n E n 1.a 38 2 50 1.351 1.824 1.429 1.086 1.b 76 2 100 1.003 1.611 1.245 0.954 2.a 38 3 62 0.981 2.502 1.656 1.015 2.b 76 3 124 0.835 1.948 1.353 0.829 number of cores. Furthermore, the hybrid scheme in case 1.a with 3 OpenMP threads (62 cores in total) outperforms case 1.b with 78 MPI processes being the latter 5% faster using 20% less computa- tional resources. The hybrid MPI/OpenMP scheme was further analysed for dif- ferent kernel functions used in the immersed boundary method, which showed that the relative performance of the mixed strat- egy improves when the number is larger. Good parallel efficiency values close to the unity are reported when 64 and 125 neigh- bours were adopted in the interpolations. The OpenMP paralleli- sation was further refined using Dynamic scheduling with chunk size of 50 which performed best with a speedup of 1.3–1.4 times the default Static directive. Appendix A. Analysis of scheduling directives OpenMP allows the developer to control the way threads are scheduled and assigned to physical cores. The scheduling of the threads can have a significant impact on the performance of the code, as it directly affects the way that memory is accessed [62] . The impact of the following OpenMP directives is assessed: Table 6 Analogous results are obtained for mesh P2 with the hy- brid scheme using 50 cores (38 MPI processes and 12 additional OpenMP threads) performing similarly to 78 pure MPI cores and becoming faster when 2 additional OpenMP threads ( N dLm = 24 ) are adopted. Fig. 13 c and d show that the hybrid MPI/OpenMP fea- tures a good weak scalability, as similar speedup is achieved be- tween meshes P1 and P2 comparing analogous hybrid configura- tions. Results of the relative time computing the IB method and pres- sure solver, speedup related to the IB method and total time step, and parallel efficiency are presented in Table 6 . For cases 1.a with 2 and 3 threads, the ratio T IB / T Press is consistently almost equal to or above 1.0 identifying the IB method as the code’s bottleneck, and consequently the parallel efficiency for these cases is over 1.0 proving the feasibility of the multi-threading scheme. For case 1.b, the relative time spent on the IB method reduces attaining an E n of 0.954 using 2 and 0.829 using 3 threads as the IB method com- putation becomes faster than computing the pressure equation, i.e. the Lagrangian part is not the code bottleneck after 2 additional threads are used. The presented test-cases used the standard direct forcing equa- tions without additional fluid-structure interaction algorithm, such as the ones use for deformable bodies, which require to solve a larger number of equations meaning they can benefit even more from the proposed hybrid strategy. Multiphase techniques, such as Lagrangian particle tracking, can also take advantage of the mixed MPI/OpenMP strategy which will be analysed in the future. Table 5 mesh P1 comprises a single layer of sub-domains in the spanwise direction, so up to 12 MPI processes can spawn OpenMP threads. In mesh P2 this number is doubled as two domains are distributed along the spanwise direction. Note the Dynamic OpenMP schedul- ing directive with chunk size of 50 is used as it obtained the best performance results in Appendix A . Table 5 Details of the mesh resolutions used for the pitching airfoil simulations. Case Mesh x /c N e N L N d N dLm 1.a P1 0.003125 8.0 · 10 6 235,040 38 12 1.b P1 0.003125 8.0 · 10 6 235,040 76 24 2.a P2 0.0 0250 0 10.14 · 10 6 364,224 38 12 2.b P2 0.0 0250 0 10.14 · 10 6 364,224 76 24 Fig. 13 presents the performance comparison between the hy- brid MPI/OpenMP and pure MPI parallelisation schemes with mean runtime and speedup values for meshes P1 and P2. Adding an ad- ditional OpenMP thread to the MPI processes computing the La- grangian markers in the 38 sub-domain configuration results in a reduction of the runtime from 4.9s to 3.4s, about a 30% of the total mean time step. This achieves an almost perfect parallel efficiency as 31% more cores are added. The hybrid scheme takes 3.4s per time step compared to 3.11s from the 78 pure MPI setup, i.e. needs about 9% more time to compute each time step but with 36% less Four levels of LMR are adopted to construct the fluid mesh as depicted in Fig. 12 with the airfoil embedded within the finest level. This allows to reduce the total number of fluid cells required to perform these fine-grid simulations with a relatively affordable number of computational resources. The sub-domains dealing with IB markers that may require multi-threading are indicated by the red boundary in Fig. 12 . Analogously to the VATT case, the fluid P. Ouro et al. / Computers and Fluids 179 (2019) 123–136 134 Acknowledgements This research was partially funded by EPSRC under the grant EP/K502819/1 and information on the data underpinning the re- sults presented here can found at Cardiff University data cata- logue at DOI: 10.17035/d.2017.0033982819. The simulations were carried out in the facilities of the Supercomputing Wales, a project partly funded by the European Regional Development Fund (ERDF) via Welsh Government. The authors would like to thank Thomas Green, from the Advance Research Computing at Cardiff University (ARCCA) for his generous advice. It is noteworthy that Ouro et al. [28] performed almost 30 0,0 0 0 iterations to simulate four full cycles of a pitching airfoil albeit their flow and kinematic conditions were different to the present case. The computational load of their LES was equivalent to 38,0 0 0 CPU hours using a pure MPI scheme with 76 cores. In view of the present results, a hybrid scheme with 38 MPI processes and 2 ad- ditional OpenMP threads would lead to approx. 22% lower compu- tational cost as the total number of cores is 62 (38 MPI processes + 24 additional OpenMP threads) and the average runtime per time step reduces from 4.58s to 4,37s, i.e 5% less. An even better perfor- mance improvement could be achieved for those cases with large stencil kernels, e.g. φ∗ 4 . 5. Conclusions Comparison of the relative speedup computing the IB method ( S IB ) and total time step ( S total ) using different schedule dir peedup computing the IB method ( S IB ) and total time step ( S total ) using different schedule directives in OpenMP with 2 and 3 thread threads. Results are presented in Fig. A.1 comparing the speedup values relative to the IB method S IB and total time step S total which are calculated based on the runtime obtained the Static directive. The greatest speedup is achieved with the Dynamic directive using a chunk size larger or equal to 50 with S IB = 1.6 and S total = 1.25 using 2 threads, and S IB = 2.25 and S total = 2.35 using 3 threads. Chunk sizes between 50 and 20 0 0 achieve a significant perfor- mance increase with any thread number, while a larger chunk size of 50 0 0 experiences a decrease in speedup, being this noticeable for 3 threads. The Guided directive provides better performance than Static but lower than that achieved with Dynamic. [16] Yakubov S, Cankurt B, Abdel-Maksoud M, Rung T. Hybrid MPI/OpenMP paral- lelization of an euler-lagrange approach to cavitation modelling. Computers & Fluids 2013;80(1):365–71. doi: 10.1016/j.compfluid.2012.01.020 . [16] Yakubov S, Cankurt B, Abdel-Maksoud M, Rung T. Hybrid MPI/OpenMP paral- lelization of an euler-lagrange approach to cavitation modelling. Computers & Fluids 2013;80(1):365–71. doi: 10.1016/j.compfluid.2012.01.020 . ( ) /j p [17] Shi L, Rampp M, Hof B, Avila M. A hybrid MPI-Openmp parallel implemen- tation for pseudospectral simulations with application to taylor-Couette flow. 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This be- comes more relevant when a large number of threads are used. Therefore, the improved speedup obtained in case 1.b using 114 MPI processes and 2 additional OpenMP threads over the pure MPI with 171 processes could be only achievable using the Dynamic di- rective with chunk sizes of 50–200. /( ) [22] Kim D, Stoesser T, Kim JH. The effect of baffle spacing on hydrodynamics and solute transport in serpentine contact tanks. J Hydraulic Res 2013;51(5):558– 68. doi: 10.1080/00221686.2013.777681 . / [23] Ouro P, Fraga B, Viti N, Angeloudis A, Stoesser T, Gualtieri C. Instantaneous transport of a passive scalar in a turbulent separated flow. Environ Fluid Mech 2018;18(2):487–513. doi: 10.1007/s10652- 017- 9567- 3 . ( ) / [24] Kara S, Kara MC, Stoesser T, Sturm TW. Free-Surface versus rigid-Lid LES computations for bridge-Abutment flow. J Hydraul Eng 2015;141(9):04015019. doi: 10.1061/(ASCE)HY.1943-790 0.0 0 01028 . /( ) [25] Kara S, Stoesser T, Sturm TW, Mulahasan S. Flow dynamics through a sub- merged bridge opening with overtopping. J Hydraulic Res 2015;53(2):186–95. doi: 10.1080/00221686.2014.967821 . 5. Conclusions A hybrid MPI/OpenMP parallelisation methodology designed for Eulerian-Lagrangian simulations using the in-house code Hydro3D has been presented and applied to a series of benchmark cases. The hybrid scheme features multi-threading capabilities by means of OpenMP that has been added to an already existing MPI coarse- grained parallelisation approach. OpenMP has been included into a complex master-scattering-gathering strategy which targets the load imbalance of executing the Lagrangian computations and ef- ficiently solves the movement of dynamic bodies across Eulerian sub-domains during the simulation. Static : the number of chunks the loop is split into is equal to the number of threads. This is the default schedule directive. Dynamic : the iterations from the loop are divided in chunks of n -size. By default n is 1 but can be modified. This schedule works with a first-come first-served basis. Dynamic : the iterations from the loop are divided in chunks of n -size. By default n is 1 but can be modified. This schedule works with a first-come first-served basis. Guided : similar to Dynamic but the specified n -size chunk cor- responds to the largest piece of work. Thereafter, the new chunk size is approximately equal to the iterations left in the loop divided by the number of threads. This exponential decreasing of the chunk size makes Guided to have fewer synchronizations than Dynamic but adds an extra computa- tional cost due to communication and distribution. In this work, the performance of the enhanced code has been assessed for three different flow problems. The first one comprises various lid-driven cavity flow simulations with up to 512 CPUs which demonstrate the excellent scalability of the pure MPI par- allelisation of Hydro3D. 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English
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Catestatin and vasostatin concentrations in healthy dogs
Acta veterinaria Scandinavica
2,017
cc-by
7,311
© The Author(s) 2017. This article is distributed under the terms of the Creative Commons Attribution 4.0 International License (http://creativecommons.org/licenses/by/4.0/), which permits unrestricted use, distribution, and reproduction in any medium, provided you give appropriate credit to the original author(s) and the source, provide a link to the Creative Commons license, and indicate if changes were made. The Creative Commons Public Domain Dedication waiver (http://creativecommons.org/ publicdomain/zero/1.0/) applies to the data made available in this article, unless otherwise stated. Abstract Background:  The neuroendocrine glycoprotein chromogranin A is a useful biomarker in humans for neuroendo‑ crine tumors and stress. Chromogranin A can be measured in both blood and saliva. The objective of this study was to investigate concentrations of and correlation between the chromogranin A epitopes catestatin and vasostatin in healthy dogs accustomed to the sample collection procedures. Blood and saliva samples were collected from 10 research Beagle dogs twice daily for 5 consecutive days, and from 33 privately-owned blood donor dogs in associa‑ tion with 50 different blood donation occasions. All dogs were familiar with sample collection procedures. During each sampling, stress behavior was scored by the same observer using a visual analog scale (VAS) and serum cortisol concentrations. Catestatin and vasostatin were analyzed using radioimmunoassays for dogs. Results:  The dogs showed minimal stress behavior during both saliva sampling and blood sampling as monitored by VAS scores and serum cortisol concentrations. Few and insufficient saliva volumes were obtained and therefore only catestatin could be analyzed. Catestatin concentrations differed significantly and did not correlate significantly with vasostatin concentrations (P < 0.0001). Age, gender, breed, and time of sample collection did not significantly affect concentrations of plasma catestatin, vasostatin, and saliva catestatin. Conclusions:  The normal ranges of plasma catestatin (0.53–0.98 nmol/l), vasostatin (0.11–1.30 nmol/l), and saliva cat‑ estatin (0.31–1.03 nmol/l) concentrations in healthy dogs accustomed to the sampling procedures were determined. Separate interpretation of the different chromogranin A epitopes from either saliva or plasma is recommended. f Keywords:  Catestatin, Chromogranin A, Healthy dogs, Stress behavior visual analog scale, Vasostatin Catestatin and vasostatin concentrations in healthy dogs Thanikul Srithunyarat1,2*  , Ragnvi Hagman1, Odd V. Höglund1, Ulf Olsson3, Mats Stridsberg4, Supranee Jitpean2, Anne‑Sofie Lagerstedt1 and Ann Pettersson1 Acta Veterinaria Scandinavica Acta Veterinaria Scandinavica Srithunyarat et al. Acta Vet Scand (2017) 59:1 DOI 10.1186/s13028-016-0274-8 Open Access *Correspondence: thanikul.srithunyarat@slu.se 1 Department of Clinical Sciences, Swedish University of Agricultural Sciences, Box 7504, 75007 Uppsala, Sweden Full list of author information is available at the end of the article Background humans, pigs, cows, and dogs [4, 12–15]. Several bioac- tive peptides are derived from CgA degradation, includ- ing vasostatin, pancreastatin, catestatin, and serpinin [16–33]. These CgA bioactive peptides play different critical roles in the endocrine, cardiovascular, neurologic, and immune systems [21, 31, 34–36]. Chromogranin A (CgA) is a biomarker that is widely used in human medicine, but few studies of CgA have been reported in dogs [1–6]. Chromogranin A, an acidic gly- coprotein that belongs to the Granin family, is stored in chromaffin granules and coreleased with catecholamines and neuroendocrine hormones from the adrenal medulla and sympathetic nerve endings when the sympathoad- renal-medullary system is activated [7, 8]. An active secretion of CgA into saliva in the submandibular gland has been found in humans [9], horses, and rats [10, 11]. Chromogranin A can be measured in saliva and blood in Chromogranin A is a reliable biomarker for diagnos- ing and monitoring treatment outcome and prognosis in humans suffering from neuroendocrine tumors [8, 37–39]. Chromogranin A has detected in the myocardium in sev- eral species and has multiple roles in cardiovascular home- ostasis [40–42]. Chromogranin A and its derived peptides have shown promise as biomarkers for cardiovascular diseases such as hypertension, heart failure, myocardial infarction, and coronary syndromes [43–47]. Moreover, saliva CgA has been shown to be a sensitive biomarker for *Correspondence: thanikul.srithunyarat@slu.se 1 Department of Clinical Sciences, Swedish University of Agricultural Sciences, Box 7504, 75007 Uppsala, Sweden Full list of author information is available at the end of the article Srithunyarat et al. Acta Vet Scand (2017) 59:1 Page 2 of 8 stress in humans and pigs [12, 14, 48–53]. Some evidence suggests that CgA could be useful as a biomarker for neu- roendocrine tumors and stress also in dogs [1, 2]. healthy by complete physical examination including men- tal status, general attitude, appetite, mucus membrane appearance, capillary refill time, rectal temperature, body weight, body condition score, hydration status, ausculta- tion of heart and respiratory rate and sounds, abdominal palpation, and musculoskeletal system palpation. Dogs were familiar with being handled and routinely partici- pated in practical teaching in the veterinary education program and were housed at the Research Animal Facil- ity, Department of Clinical Sciences, Swedish University of Agricultural Sciences (SLU), Uppsala, Sweden. Part two: blood donor dogs and donation routines In total, thirty-three privately-owned dogs, twenty-four males and nine females, aged from one to eight years, of fourteen different breeds (Boxer, Bernese Mountain Dog, Collie, Dalmatian, Flat Coated Retriever, German Shep- herd Dog, Golden Retriever, Great Dane, Greyhound, Background In humans, saliva sampling is preferable to blood sampling for monitoring stress because the technique is noninvasive [54, 55] and humans can be informed of the procedure and deliver saliva samples by voluntary spitting into a container. To obtain spontaneous saliva samples in dogs, however, collection swabs must be intraorally placed. Although noninvasive, the saliva sam- ple collection procedure itself may cause a stress reac- tion in dogs [56, 57]. To date, the stress response to saliva sampling in comparison with the stress response to blood sampling has not been evaluated in dogs. Stress evalua- tion can be performed by subjective and objective meas- urements, for example, scoring stress behavior using visual analog scale (VAS) scoring and measuring cortisol concentrations [58, 59]. Sampling of saliva and blood Saliva and blood samples were collected twice daily for 5 consecutive days at the following times: (A) 6:30– 7:30 am and (B) 1:00–2:00 pm, this time points were selected based on the results from previous pilot study [67, 68]. Saliva samples were collected using a swab size 10 × 30 mm (SalivaBio, Salimetrics, PA, USA) placed in the oral cavity for 1 min. The swab was then transferred into a 4.5-ml polypropylene cryotube (CryoPure Tubes, Sarstedt, Nümbrecht, Germany) and centrifuged at 3000 rpm (1401 g) for 15 min. The saliva deposited was stored at −70 °C until analysis of all samples. Even though there are interspecies differences in CgA amino acid sequences, CgA can be measured in dogs [4]. A study on cross-reactivity between humans and dogs against different regions of the CgA molecule showed that CgA 17–38 (vasostatin) and CgA 361–372 (catestatin) could be measured using competitive radioimmunoassay (RIA) in dogs, whereas intact CgA could not [4]. Catestatin (CST) and vasostatin (VS), both CgA derived peptides, are bioactive. CST modulates catecholamine secretion (nega- tive feedback) and has antihypertensive, antimicrobial, and cardiosuppressive effects [21, 22, 36, 60–63]. VS regulates plasma calcium, influences vasodilation, and has antimi- crobial, and cardiosuppressive effects [17, 35, 42, 64–66]. Fundamental information concerning concentrations of CST and VS in healthy dogs of various breeds and gender that are accustomed to the sampling procedures is, how- ever, lacking. The aims of this study were to investigate and compare concentrations of CST and VS in healthy dogs familiar with the collection procedures. In addition, we hypothesized that if CST and VS have similar halflives then the concentrations should not differ significantly. Two ml of blood was collected from the distal cephalic vein using butterfly needles (BD Vacutainer, Becton- Dickson, Plymouth, United Kingdom) into lithium hep- arin tubes and clot activator tubes (Vacuette, Greiner Bio-One, Kremsmünster, Austria) and centrifuged at 3300 rpm (1695 g) for 5 min. The obtained heparinized plasma samples were freeze stored in cryotubes (Low Temperature Freezer Vials, VWR, Stockholm, Sweden) at −70 °C until analysis of all samples within a maximum of 11 months storage time. The saliva sampling was per- formed within 5 min prior to blood sampling. Visual analog scale (VAS) Visual analog scale scoring was performed during each saliva and plasma sampling occasion to score the sub- jective stress behavior on a plain 100-mm line. The pre-established subjective criteria used in this study to determine stress behaviors during saliva and blood sam- pling are given in Table 1 [69]. All sampling procedures were performed by the same two veterinarians and the sampling stress behavior VAS scores determined by one observer (TS). Study design and ethical approvalh This study was designed as a prospective clinical study in two parts; part one included destination bred research dogs, and part two included privately owned dogs admit- ted for routine blood donation. The study was approved by the Uppsala Ethical Committee (C301/12) and all dog owners were informed and gave their consent prior to participation, in accordance with Swedish legislation. Part one: research dogsh Three male and seven female research Beagle dogs (4–10 years old) were included. All dogs were determined as Page 3 of 8 Srithunyarat et al. Acta Vet Scand (2017) 59:1 Table 1  Pre-established subjective criteria used to determine stress behaviors using visual analog scale This stress behavior criteria are modified from Norling et al. [69] Stress intensity No stress Mild stress Moderate stress Severe stress A. Criteria used for saliva sampling  Criteria Turns head away Spits Lifts paw Moves away Turns head away Spits Lifts paw Moves away Avoids sampling Lifts lip Shakes Raises hair Growls Turns head away Spits Lifts paw Moves away Avoids sampling Lifts lip Shakes Raises hair Growls Not able to sample Not able to touch Bites Attacks B. Criteria used for blood sampling  Criteria Withdraws leg Moves away Withdraws leg Moves away Avoids sampling Lifts lip Shakes Raises hair Growls Withdraws leg Moves away Avoids sampling Lifts lip Shakes Raises hair Growls Not able to sample Not able to touch Bites Attacks Table 1  Pre-established subjective criteria used to determine stress behaviors using visual analog scale Table 1  Pre-established subjective criteria used to determine stress behaviors using visual analog scale Turns head away Spits Lifts paw Moves away B. Criteria used for blood sampling  Criteria This stress behavior criteria are modified from Norling et al. [69] Labrador Retriever, Leonberger, Shorthaired Pointer, White Shepherd, and Mixed Breed), were included in the study. All dogs that routinely donated blood at the University Animal Hospital (UDS), SLU, Uppsala, Swe- den during April 2014, and from September to Febru- ary 2015 were included. All dogs underwent a complete physical examination (as used for the research dogs) and blood samples were obtained from the distal cephalic vein and evaluated for health control purposes. Hema- tology and biochemistry (creatinine, alanine ami- notransferase (ALT), alkaline phosphatase (ALP), total protein, and albumin) were measured using in-house equipment (IDEXX ProCyte Dx and IDEXX Catalyst Dx, IDEXX Laboratories, Maine, USA). In all dogs, posi- tive and negative DEA 1.1 blood type (Quick Vet, Scan- dinavian Micro Biodevices ApS, Farum, Denmark) and presence of vector borne diseases including Anaplasma phagocytophilum, Anaplasma platys, Borrelia burgdor- feri, Ehrlichia canis, Ehrlichia ewingii, and Dirofilaria immitis (Snap 4DX tests, IDEXX Laboratories, Maine, USA) were determined. Part one: research dogsh Dogs with antibodies against Anaplasma phagocytophilum, Anaplasma platys, Bor- relia burgdorferi, Ehrlichia canis, and Ehrlichia ewingii were considered healthy if no signs of active infection was present when examined, whereas dogs with positive antigens of Dirofilaria immitis were considered infected. Only healthy dogs were allowed to donate blood, and were enrolled for routine donation every 3–4 months. All dogs included in the present study were familiar with the sampling procedures and needed no sedation dur- ing collection. Dog owners were present throughout procedures. Sampling of saliva and blood Heparinized plasma and serum samples remaining after the routine hematology and biochemistry analysis were used for the study. In total, seventeen dogs donated blood on one occasion whereas fifteen donated twice and one donated three times on different occasions (more than 3 months interval) resulting in fifty separate samplings. All blood samples were collected by the same two certified veterinary nurses. Saliva sampling was performed by TS using the same criteria as in research dogs. In contrast to the sampling in research dogs, for practical reasons, blood and saliva sampling was performed on variable times between 8:00 am–2:00 pm, and the order in which the samples were collected was randomized with an interval between saliva and blood sampling of less than 10 min. All samples were handled and stored in the same manner as described for research dogs. Analysis of catestatin and vasostatin of variance (MANOVA) model, but still allows for inclu- sion of random effects in the model. y Competitive radioimmunoassay (RIA) was used for measuring CST and VS. All heparinized plasma sam- ples were analyzed in duplicates at  the Clinical Chem- istry Laboratory, Uppsala University Hospital, Uppsala, Sweden as previously described [4, 70]. This method has been developed for both tissue and circulation and used for measuring CgA in humans. The detection limit is 0.01 nmol/l for plasma CST and VS and 0.04 nmol/l for saliva CST and the total coefficient of variance (CV) was <10%. The overall CV in the present study was <10%. For each analysis, 300 µl saliva and 100 µl plasma were required. The saliva sample volume obtained was insuf- ficient for analysis of saliva VS. Blood donor dog data For the blood donor dog data, the same categories as for the research dog data were used. Because the same dog could have data for one, two or three donation occasions, mixed models (ibid) were also used for these data. Several models were tried. The fixed part of the mod- els included category as above. Moreover, different back- ground variables for the dogs (gender, age, and breed) and site (plasma and saliva) were tested. The R-side cor- relations were modeled as for the research dogs. Random effects were dog, dog * site and dog * site * variable. Comparisons between blood donor dogs and research dogshf Comparisons between blood donor dogs and research dogs The two data sets were collected in different ways. To allow comparisons between the groups, mean values were calculated, for all variables, for each dog. This led to a simple data set where comparisons between groups could be made using one-way ANOVA, or, equivalently, using two-sample t tests. These data sets were also used for calculating correlations between different variables. Serum samples were analyzed for cortisol concentrations in duplicate using a solid-phase competitive chemilumi- nescent enzyme immunoassay (Immulite 2000, Siemens, Erlangen, Germany) at Clinical Chemistry Laboratory, UDS. The intraassay CV was <5%. Statistical analysis In all analysis of CST and VS, diagnostic plots were used to assess normality and homoscedasticity. Because the distributions of residuals for CST and VS data appeared skewed, these data were log transformed (natural log) prior to analysis. After transformation, no apparent devi- ations from normality and homoscedasticity could be detected. Visual analog scale (VAS) Visual analog scale scoring was performed by TS using the same criteria as in research dogs. Srithunyarat et al. Acta Vet Scand (2017) 59:1 Page 4 of 8 Resultsh The mean ± SD age and body weight was 7.5 ± 2.6 years and 14.3 ± 1.2 kg in research dogs and 3.7 ± 2.0 years and 36.2 ± 9.8 kg in blood donor dogs. From the 50 blood donation occasions, 48 plasma and 40 saliva samples were obtained. Due to insufficient volumes remaining in some cases, plasma CST was analyzed in 39 of the 48 plasma samples, plasma VS in 44 of the 48 plasma samples and saliva CST in 40 of the 40 saliva samples. In the research dogs, plasma CST, plasma VS, and saliva CST could be analyzed in all samples collected (100). Mean ± SD values of serum cortisol were 39.9 ± 6.1 nmol/l in research dogs and 65.8 ± 28.2 nmol/l in blood donor dogs. Mean ± SD values of plasma CST, plasma VS, saliva CST, blood and saliva sampling stress behavior VAS scores from research and blood donor dogs are illustrated in Table 2. No sig- nificant differences were found between research and blood donor dogs. The normal ranges of plasma CST, plasma VS, and saliva CST in this study was 0.53–0.98, 0.11–1.30, and 0.31–1.03 nmol/l, respectively. In all analysis, post hoc comparisons of least squares means were adjusted for multiplicity using Tukey’s method. Results were considered significant when P < 0.05. Most analysis were made using the mixed pro- cedure of the SAS package 2014, but other procedures for basic statistics, Proc Univariate, Proc Corr and Proq Freq, were also used. Normal range was calculated using percentile 2.5–97.5 of log transformed data and back- transformed to the original scale. Research dog data Blood and saliva sampling stress behavior VAS scores did not differ significantly between both dog groups a,b,c  Different letters within each column of concentration and stress behavior VAS score indicate significant differences using Tukey’s method adjustment (P < 0.05) as monitored by stress behavior VAS scoring and serum cortisol concentrations [76]. concentrations did not differ significantly when com- pared between different days of collection. Plasma CST, plasma VS, and saliva CST concentrations did not differ significantly between ages, genders, and breeds in both dog groups. Stress behavior VAS scores were low in all dogs and did not differ between sampling methods, ages, genders, breeds, collection time or day. Although both CST and VS are derived from CgA, the concentrations of plasma CST and VS in this study reflect both the intact CgA molecule and the two respective deg- radation derived peptides. The significant differences in concentrations seen in the present study may be because the peptides have different functions and clearance rates. The CgA derived peptides might also be secreted differ- ently into saliva and blood [13] which could contribute to our finding that CST concentrations were different in saliva and plasma in the blood donor dogs. Neverthe- less, plasma CST, plasma VS, and saliva CST concentra- tions did not correlate significantly in both dog groups. The concentrations of plasma CST, plasma VS, and saliva CST also did not vary by age, gender, or breed in either group of dogs. The results of the present study show that it is crucial to evaluate different CgA peptides indi- vidually, and with regard to whether measurements were made in plasma or saliva because otherwise the results are not comparable. In the blood donor dogs, all hematology and blood chemistry results were deemed acceptable for blood donation. Nineteen dogs were positive for DEA 1.1 and 14 negative for DEA 1.1. Plasma and saliva CST and VS did not differ significantly between blood groups. None of the blood donor dogs had positive antigens of Dirofi- laria immitis. Six dogs had antibodies against Borrelia burgdorferi without clinical signs of disease. Plasma CST, VS, and saliva CST concentrations did not differ signifi- cantly between positive and negative B. burgdorferi. Research dog data Because several measurements were made in each dog, mixed linear models [71, 72] were used for the analysis. The fixed part of the models included the variables “cat- egory” with three levels (plasma CST, plasma VS, and saliva CST); day (1–5); gender (male or female); time of day (am or pm), and interactions between these factors. The random part of the model included dog, dog * day and dog * category.h Plasma CST, plasma VS, and saliva CST concentra- tions did not correlate significantly in any of the groups of dogs. In research dogs, plasma VS concentrations dif- fered significantly from plasma and saliva CST concen- trations (P < 0.002). In blood donor dogs, plasma CST, VS, and saliva CST differed significantly (P  <  0.0001). Plasma CST, plasma VS, and saliva CST concentra- tions did not differ significantly between different col- lection times in research dogs. Plasma and saliva CST The relations between the three measurements (catego- ries) were modeled by allowing the R-side correlations among them to be an unstructured correlation matrix [71, 73]. This corresponds to using multivariate analysis Srithunyarat et al. Acta Vet Scand (2017) 59:1 Page 5 of 8 Table 2  Mean ± SD of plasma catestatin, vasostatin, and saliva catestatin and sampling stress behavior score In research dogs, plasma vasostatin concentrations differed significantly from plasma and saliva catestatin concentrations. In blood donor dogs, plasma catestatin, vasostatin, and saliva catestatin differed significantly. Blood and saliva sampling stress behavior VAS scores did not differ significantly between both dog groups a,b,c  Different letters within each column of concentration and stress behavior VAS score indicate significant differences using Tukey’s method adjustment (P < 0.05) Parameters Research dogs (n = 10) Blood donor dogs (n = 33) Plasma catestatin (nmol/l) 0.81 ± 0.08a 0.76 ± 0.10a Plasma vasostatin (nmol/l) 0.57 ± 0.55b 0.44 ± 0.39b Saliva catestatin (nmol/l) 0.83 ± 0.12a 0.64 ± 0.21c Blood sampling stress behavior VAS score (mm) 8.9 ± 10.5a 19.1 ± 17.3a Saliva sampling stress behavior VAS score (mm) 11.1 ± 7.8a 21.2 ± 16.7a n ± SD of plasma catestatin, vasostatin, and saliva catestatin and sampling stress behavior score In research dogs, plasma vasostatin concentrations differed significantly from plasma and saliva catestatin concentrations. In blood donor dogs, plasma catestatin, vasostatin, and saliva catestatin differed significantly. Discussionhi This is the first study in dogs that investigates concen- trations of and correlations between CST and VS in healthy dogs familiarized with a sample collection pro- cedure. The concentration values and ranges reported here can be used as reference ranges for plasma CST, plasma VS, and saliva CST concentrations in healthy dogs when analyzed by RIA. Our findings will be use- ful in future studies on the role and possibilities of using CST and VS as biomarkers in dogs. In a previous study of dogs with pyometra, using the same RIA as in the cur- rent study, the reported serum CST concentrations in healthy control dogs were higher than reported here [5]. This difference between studies could be due to different familiarity to the handling techniques, and sample stor- age time. Although CgA has been reported to be heat stable and the concentrations are stable through freeze and thaw cycle in humans and pigs [15, 74, 75], stud- ies on CST and VS in dogs are lacking. In contrast to the previous study, the dogs included in our study were all well accustomed to the sampling procedures prior to sample collection, and showed minimal stress behaviors Saliva sampling is preferable in humans because it is less invasive than blood sampling [54, 55]. In dogs, however, stress behaviors during saliva and blood sampling have not previously been evaluated and prolonged sampling time could induce stress [56, 57]. All dogs, in the pre- sent study were well accustomed to the sampling proce- dures and exhibit minimal stress levels as shown by stress behavior VAS scores and serum cortisol concentrations. However, in order to avoid inducing stress behavior we limited the time for saliva sampling to 60 s. We also chose not to pharmacologically induce saliva secretion because this may affect the secretion of neuroendocrine peptides. In the present study, there was no significant difference in the dogs’ acceptance of blood or saliva sampling as monitored by the stress behavior VAS. Our findings indi- cate that saliva sampling is unpredictable and that for our research purposes, blood sampling is a better choice. In human studies, saliva CgA has been used for evalu- ating stress [12, 49–51]. In humans and pigs, active CgA Srithunyarat et al. Acta Vet Scand (2017) 59:1 Page 6 of 8 References 1. Myers NC, Andrews GA, Chard-Bergstrom C. Chromogranin A plasma concentration and expression in pancreatic islet cell tumors of dogs and cats. Am J Vet Res. 1997;58:615–20. 2. Akiyoshi H, Aoki M, Shimada T, Noda K, Kumagai D, Saleh N, Sugii S, Ohashi F. Measurement of plasma chromogranin A concentrations for assessment of stress responses in dogs with insulin-induced hypoglyce‑ mia. Am J Vet Res. 2005;66:1830–5. 3. Kanai K, Hino M, Hori Y, Nakao R, Hoshi F, Itoh N, Higuchi S. Circadian vari‑ ations in salivary chromogranin a concentrations during a 24-h period in dogs. J Vet Sci. 2008;9:421–3. g 4. Stridsberg M, Pettersson A, Hagman R, Westin C, Höglund O. Chromogra‑ nins can be measured in samples from cats and dogs. BMC Res Notes. 2014;7:336. Competing interests p g The authors declare that they have no competing interests. g The authors declare that they have no competing interests. Authors’ contributions secretion from the mandibular salivary gland has been found [9, 12, 14], however, little is known about CgA secretion in dogs. If similar active secretion also occurs in dogs, analysis of CST or VS in saliva may still be useful for monitoring stress levels. However, the sampling tech- niques need to be improved to ensure sufficient sample volumes are obtained without undue stress or pharmaco- logical intervention. TS and AP designed the study. TS and SJ collected the samples. AP, RH, OVH, and MS gave input on the study design and data collections. MS performed CgA analyses and UO performed and drafted statistical analyses. The manu‑ script was drafted by TS and revised with assistance of AP, RH, OVH, MS, UO, ASL, and SJ. All authors read and approved the final manuscript. Author details 1 Department of Clinical Sciences, Swedish University of Agricultural Sciences, Box 7504, 75007 Uppsala, Sweden. 2 Department of Surgery and Theriogenol‑ ogy, Faculty of Veterinary Medicine, Khon Kaen University, Khon Kaen 40002, Thailand. 3 Unit of Applied Statistics and Mathematics, Swedish University of Agricultural Sciences, Box 7032, 75007 Uppsala, Sweden. 4 Department of Medical Sciences, Uppsala University, 75185 Uppsala, Sweden. Ten research Beagle dogs were included in the study to investigate whether concentrations of CST and VS var- ied over time in the same individual. In a previous pilot study, using the same RIA, five research Beagle dogs were sampled four times daily between 6:30 am and 3:00 pm, saliva CST was increased in samples collected between 6:30 and 8:00 am [67, 68]. In addition, CgA in saliva has been found to be increased in early morning samples (7:00 am) in humans [13, 77, 78]. In our study, there was no significant difference in the concentrations of plasma CST, VS and saliva CST between time of day, which is in agreement with a previous study that used an ELISA for human CgA 344–374 amino acid sequence for saliva samples in dogs [3]. On the other hand, a circadian variation in CgA has been found in plasma and saliva in humans [13, 79]. However, as stated previously compari- sons between different species and studies on different peptides should be made with caution. Funding g TS Doctoral studies are funded by the Royal Thai Government scholarship and AP is funded by Sveland Animals Insurance Company for sample analysis. TS Doctoral studies are funded by the Royal Thai Government scholarship and AP is funded by Sveland Animals Insurance Company for sample analysis. Received: 15 October 2016 Accepted: 23 December 2016 Received: 15 October 2016 Accepted: 23 December 2016 The bioactive peptides of CgA have shown promise as prognostic and diagnostic biomarkers for neuroendo- crine tumors, cardiac disease, burn trauma and stress in humans [12, 35, 80–82]. The main focus of this study was to investigate the concentrations of and correlation between CST and VS in healthy dogs familiar with the collection procedures. Further studies are warranted to investigate whether CST and VS can be used as biomark- ers for neuroendocrine tumors, cardiovascular diseases, and stress in dogs. Availability of data and materialsi All the data supporting the findings is included within the manuscript. All the data supporting the findings is included within the manuscript. CgA: chromogranin A; CST: catestatin; ELISA: enzyme-linked immunosorbent assay; RIA: radioimmunoassay; RPM: revolutions per minute; VS: vasostatin; VAS: visual analog scale. Acknowledgements The authors would like to thank the Clinical Pathology Laboratory, Depart‑ ment of Clinical Sciences, UDS, SLU, for allowing the use of laboratory equipment. Annika Rikberg and Emma Hörnebro are acknowledged for their skillful assistance, Louise Pettersson, Britta Liby, and Kristoffer Dreimanis kindly helped us to collect blood donor dog samples. Conclusions Concentrations of plasma CST (0.53–0.98  nmol/l), plasma VS (0.11–1.30  nmol/l), and saliva CST (0.31– 1.03 nmol/l) in healthy dogs accustomed to the sampling procedures were determined. The concentrations of plasma CST, plasma VS, and saliva CST significantly dif- fered and were unaffected by age, gender, breed, and time of sampling. 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Cell Tissue Res. 2010;342:353–61. q 20. Mahata SK, Mahata M, Wen G, Wong WB, Mahapatra NR, Hamilton BA, O’Connor DT. The catecholamine release-inhibitory “catestatin” fragment of chromogranin a: naturally occurring human variants with different potencies for multiple chromaffin cell nicotinic cholinergic responses. Mol Pharmacol. 2004;66:1180–91. 41. Brar BK, Helgeland E, Mahata SK, Zhang K, O’Connor DT, Helle KB, Jonas‑ sen AK. Human catestatin peptides differentially regulate infarct size in the ischemic-reperfused rat heart. Regul Pept. 2010;165:63–70. 42. Corti A, Mannarino C, Mazza R, Colombo B, Longhi R, Tota B. Vasostatins exert negative inotropism in the working heart of the frog. Ann N Y Acad Sci. 2002;971:362–5. 21. Abbreviations h Mahata SK, O’Connor DT, Mahata M, Yoo SH, Taupenot L, Wu H, Gill BM, Parmer RJ. Novel autocrine feedback control of catecholamine release. A discrete chromogranin a fragment is a noncompetitive nicotinic cholin‑ ergic antagonist. J Clin Invest. 1997;100:1623–33. 43. Liu L, Ding W, Li R, Ye X, Zhao J, Jiang J, Meng L, Wang J, Chu S, Han X, et al. Plasma levels and diagnostic value of catestatin in patients with heart failure. Peptides. 2013;46:20–5. 22. Mahata SK, Mahata M, Fung MM, O’Connor DT. Catestatin: a multifunc‑ tional peptide from chromogranin A. Regul Pept. 2010;162:33–43. 44. Liu L, Ding W, Zhao F, Shi L, Pang Y, Tang C. Plasma levels and potential roles of catestatin in patients with coronary heart disease. Scand Cardio‑ vasc J. 2013;47:217–24. 23. Mahata SK, Mahapatra NR, Mahata M, Wang TC, Kennedy BP, Ziegler MG, O’Connor DT. Catecholamine secretory vesicle stimulus-transcription coupling in vivo. Demonstration by a novel transgenic promoter/pho‑ toprotein reporter and inhibition of secretion and transcription by the chromogranin A fragment catestatin. J Biol Chem. 2003;278:32058–67. 45. Zhu D, Wang F, Yu H, Mi L, Gao W. Catestatin is useful in detecting patients with stage B heart failure. Biomarkers. 2011;16:691–7. 46. Angelone T, Mazza R, Cerra MC. Chromogranin-A: a multifaceted cardio‑ vascular role in health and disease. Curr Med Chem. 2012;19:4042–50. 24. Wen G, Mahata SK, Cadman P, Mahata M, Ghosh S, Mahapatra NR, Rao FW, Stridsberg M, Smith DW, Mahboubi P, et al. Both rare and common polymorphisms contribute functional variation at CHGA, a regulator of catecholamine physiology. Am J Hum Genet. 2004;74:197–207. 47. Goetze JP, Alehagen U, Flyvbjerg A, Rehfeld JF. Chromogranin A as a biomarker in cardiovascular disease. Biomark Med. 2014;8:133–40. 48. Reshma AP, Arunachalam R, Pillai JK, Kurra SB, Varkey VK, Prince MJ. Chromogranin A: novel biomarker between periodontal disease and psychosocial stress. J Indian Soc Periodontol. 2013;17:214–8. 25. Tatemoto K, Efendic S, Mutt V, Makk G, Feistner GJ, Barchas JD. Pancre‑ astatin, a novel pancreatic peptide that inhibits insulin secretion. Nature. 1986;324:476–8. y 49. Toda M, Kusakabe S, Nagasawa S, Kitamura K, Morimoto K. Effect of laughter on salivary endocrinological stress marker chromogranin A. Biomed Res. 2007;28:115–8. 26. Sanchez-Margalet V, Gonzalez-Yanes C, Najib S, Santos-Alvarez J. Meta‑ bolic effects and mechanism of action of the chromogranin A-derived peptide pancreastatin. Regul Pept. 2010;161:8–14. 50. Yamakoshi T, Park SB, Jang WC, Kim K, Yamakoshi Y, Hirose H. Abbreviations h Relation‑ ship between salivary chromogranin-A and stress induced by simulated monotonous driving. Med Biol Eng Comput. 2009;47:449–56. 27. Gayen JR, Saberi M, Schenk S, Biswas N, Vaingankar SM, Cheung WW, Najjar SM, O’Connor DT, Bandyopadhyay G, Mahata SK. A novel pathway of insulin sensitivity in chromogranin A null mice: a crucial role for pan‑ creastatin in glucose homeostasis. J Biol Chem. 2009;284:28498–509. 51. Lee T, Shimizu T, Iijima M, Obinata K, Yamashiro Y, Nagasawa S. Evaluation of psychosomatic stress in children by measuring salivary chromogranin A. Acta Paediatr. 2006;95:935–9. 28. Bandyopadhyay GK, Lu M, Avolio E, Siddiqui JA, Gayen JR, Wollam J, Vu CU, Chi NW, O’Connor DT, Mahata SK. Pancreastatin-dependent inflam‑ matory signaling mediates obesity-induced insulin resistance. Diabetes. 2015;64:104–16. 52. Takatsuji K, Sugimoto Y, Ishizaki S, Ozaki Y, Matsuyama E, Yamaguchi Y. The effects of examination stress on salivary cortisol, immunoglobulin A, and chromogranin A in nursing students. Biomed Res. 2008;29:221–4. Srithunyarat et al. Acta Vet Scand (2017) 59:1 Page 8 of 8 Page 8 of 8 53. Nickel T, Vogeser M, Emslander I, David R, Heilmeier B, Op den Winkel M, Schmidt-Trucksass A, Wilbert-Lampen U, Hanssen H, Halle M. Extreme exercise enhances chromogranin A levels correlating with stress levels but not with cardiac burden. Atherosclerosis. 2012;220:219–22. 67. Byström E. Chromogranin A in blood and saliva in dogs. Uppsala: Swedish University of Agricultural Sciences; 2014. 68. Srithunyarat T, Byström E, Stridsberg M, Olsson U, Pettersson A. The correlation of Chromogranin A in saliva and plasma in healthy dogs. In: Ramsey I, editor. Proceeding of BSAVA congress 2014. 1st ed. Gloucester: BSAVA; 2014. p. 645. but not with cardiac burden. Atherosclerosis. 2012;220:219–22. 54. Pfaffe T, Cooper-White J, Beyerlein P, Kostner K, Punyadeera C. Diagnos‑ tic potential of saliva: current state and future applications. Clin Chem. 2011;57:675–87. 69. Norling Y, Wiss V, Gorjanc G, Keeling L. Body language of dogs respond‑ ing to different types of stimuli. In: Waiblinge S, Winckler C, Gutmann A, editors. Proceeding of the 46th Congress of the International Society for applied ethology 2012. Wageningen: Wageningen Academic; 2012. p. 199. 55. Symons FJ, ElGhazi I, Reilly BG, Barney CC, Hanson L, Panoskaltsis-Mortari A, Armitage IM, Wilcox GL. 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The stress response to trauma and surgery. Br J Anaesth. 2000;85:109–17. 73. Fitzmaurice GM, Laird NM, Ware JH. Applied longitudinal analysis. Hobo‑ ken: Wiley; 2004. y 74. Escribano D, Gutierrez AM, Fuentes-Rubio M, Ceron JJ. Saliva chromogra‑ nin A in growing pigs: a study of circadian patterns during daytime and stability under different storage conditions. Vet J. 2014;199:355–9. 59. Weissman C. The metabolic response to stress: an overview and update. Anesthesiology. 1990;73:308–27. 60. Mahata SK, Mahata M, Parmer RJ, O’Connor DT. Desensitization of cat‑ echolamine release. The novel catecholamine release-inhibitory peptide catestatin (chromogranin a344-364) acts at the receptor to prevent nicotinic cholinergic tolerance. J Biol Chem. 1999;274:2920–8. 75. Theurl M, Schgoer W, Albrecht K, Jeschke J, Egger M, Beer AG, Vasiljevic D, Rong S, Wolf AM, Bahlmann FH, et al. The neuropeptide catestatin acts as a novel angiogenic cytokine via a basic fibroblast growth factor-depend‑ ent mechanism. Circ Res. 2010;107:1326–35. 61. Kennedy BP, Mahata SK, O’Connor DT, Ziegler MG. Mechanism of car‑ diovascular actions of the chromogranin A fragment catestatin in vivo. Peptides. 1998;19:1241–8. 76. Perego R, Proverbio D, Spada E. Increases in heart rate and serum cortisol concentrations in healthy dogs are positively correlated with an indoor waiting-room environment. Vet Clin Pathol. 2014;43:67–71. 62. Radek KA, Lopez-Garcia B, Hupe M, Niesman IR, Elias PM, Taupenot L, Mahata SK, O’Connor DT, Gallo RL. The neuroendocrine peptide cates‑ tatin is a cutaneous antimicrobial and induced in the skin after injury. J Invest Dermatol. 2008;128:1525–34. g 77. Den R, Toda M, Ohira M, Morimoto K. Levels of awakening salivary CgA in response to stress in healthy subjects. Environ Health Prev Med. 2011;16:155–7. 78. Toda M, Den R, Morimoto K. Abbreviations h Basal levels of salivary chromogranin A, but not alpha-amylase, are related to plasma norepinephrine in the morning. Stress Health. 2008;24:323–6. 63. Imbrogno S, Garofalo F, Cerra MC, Mahata SK, Tota B. The catecholamine release-inhibitory peptide catestatin (chromogranin A344-363) modu‑ lates myocardial function in fish. J Exp Biol. 2010;213:3636–43. 79. Takiyyuddin MA, Neumann HP, Cervenka JH, Kennedy B, Dinh TQ, Ziegler MG, Baron AD, O’Connor DT. Ultradian variations of chromogranin A in humans. Am J Physiol. 1991;261:R939–44. i 64. Imbrogno S, Angelone T, Corti A, Adamo C, Helle KB, Tota B. Influence of vasostatins, the chromogranin A-derived peptides, on the working heart of the eel (Anguilla anguilla): negative inotropy and mechanism of action. Gen Comp Endocrinol. 2004;139:20–8. 80. Campana D, Nori F, Piscitelli L, Morselli-Labate AM, Pezzilli R, Corinaldesi R, Tomassetti P. Chromogranin A: is it a useful marker of neuroendocrine tumors? J Clin Oncol. 2007;25:1967–73. 65. Brekke JF, Osol GJ, Helle KB. N-terminal chromogranin-derived pep‑ tides as dilators of bovine coronary resistance arteries. Regul Pept. 2002;105:93–100. 81. Stefanescu AM, Schipor S, Paun D, Dumitrache C, Badiu C. Plasma versus salivary chromogranin A as selective markers in pheochromocytoma diagnosis. Acta Endocrinol. 2011;7:153–61. 66. Zhang D, Shooshtarizadeh P, Laventie BJ, Colin DA, Chich JF, Vidic J, de Barry J, Chasserot-Golaz S, Delalande F, Van Dorsselaer A, et al. Two chro‑ mogranin a-derived peptides induce calcium entry in human neutrophils by calmodulin-regulated calcium independent phospholipase A2. Plos ONE. 2009;4:e4501. 82. Lindahl AE, Low A, Stridsberg M, Sjoberg F, Ekselius L, Gerdin B. Plasma chromogranin A after severe burn trauma. Neuropeptides. 2013;47:207–12. 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THE INFLUENCE OF INQUIRY LEARNING MODEL AND LEARNING MOTIVATION ON RESULTS LEARNING HISTORY AT STATE 6 HIGH SCHOOL BANDAR LAMPUNG
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Abstract: To assist a solution to the problem of the test environment spanning multiple platforms, this paper proposes a decision support framework with the blackboard model to integrate all complementary features into a single automated test environment for multi-platform client/server applications. Before testing client/server applications, the input into this framework are testing tools with different approaches and client sites which are going to run the test. The planning agent will make a decision dynamically and produce a testing plan to allocate testing tasks to these testing tools to client sites. Two complementary features for testing client/server applications are illustrated in this paper to demonstrate how the framework works. The concept of mobile agents is applied to launch the test driver to different client sites, execute the tests and bring back the test results from client sites as well as the trace file from the server site for inspecting the interaction behavior among clients. Based on the multicast framework, the same test data can be broadcasted to multiple clients sites to run the tests simultaneously and the test results can be returned from client sites for examining the problem of repeated executions. ords: Blackboard Model; Automated Test Execution; Mobile Agents; Chat System ds: Blackboard Model; Automated Test Execution; Mobile Agents; Chat System. Cite This Article: Adi Wiranata, Sarkadi, and Nurzengky Ibrahim. (2019). “THE INFLUENCE OF INQUIRY LEARNING MODEL AND LEARNING MOTIVATION ON RESULTS LEARNING HISTORY AT STATE 6 HIGH SCHOOL BANDAR LAMPUNG.” International Journal of Engineering Technologies and Management Research, 6(7), 74-78. DOI: 10.5281/zenodo.3341539. [Wiranata et. al., Vol.6 (Iss.7): July 2019] [Wiranata et. al., Vol.6 (Iss.7): July 2019] ISSN: 2454-1907 DOI: 10.5281/zenodo.3341539 THE INFLUENCE OF INQUIRY LEARNING MODEL AND LEARNING MOTIVATION ON RESULTS LEARNING HISTORY AT STATE 6 HIGH SCHOOL BANDAR LAMPUNG Adi Wiranata *1, Sarkadi 2, Nurzengky Ibrahim 3 *1, 2, 3 Biological Education Department, Universitas Negeri Jakarta, Indonesia 1. Introduction Education has an important role in improving the quality of human resource and develop Indonesian nation for manifest welfare and educate life nation refer to “Mukadimah” on 1945 Constitution fourth alinea. Baharuddin and Esa [1] stated that Proses belajar adalah serangkaian aktivitas yang terjadi pada pusat saraf individu yang belajar. Baharuddin and Esa [1] stated that Proses belajar adalah serangkaian aktivitas yang terjadi pada pusat saraf individu yang belajar. Learning process is activities that occurred in individuals’ nerve study. Skinner [5] stated that the study is something adaptation or breakdown Act behavior that lasts in a manner progressive. Learning process is activities that occurred in individuals’ nerve study. Skinner [5] stated that the study is something adaptation or breakdown Act behavior that lasts in a manner progressive. Http://www.ijetmr.com©International Journal of Engineering Technologies and Management Research [74] ISSN: 2454-1907 DOI: 10.5281/zenodo.3341539 [Wiranata et. al., Vol.6 (Iss.7): July 2019] DOI: 10.5281/zenodo.3341539 In learning process, the teacher has an important role as teachers and students as an object study, the teacher has the right using various teaching models to achieve the aims of learning process and it will ease achieved if students have a good motivation in learning. The teacher role is needed to motivate students learn. It is refer to teacher role namely a student motivator. In learning process, the teacher has an important role as teachers and students as an object study, the teacher has the right using various teaching models to achieve the aims of learning process and it will ease achieved if students have a good motivation in learning. The teacher role is needed to motivate students learn. It is refer to teacher role namely a student motivator. Teaching learning process is an educate activities. The value of educate covering the interactions between teacher and students. It is namely the value of educate interactions because the teaching learning process to achieve the aims of learning process which patterned teaching learning process before. The teacher awareness in teaching learning plan is systematically support in teaching needed [6]. Learning motivation is internal and external encouragement on students who learning the behavioral transform which having some of indicators supported in common. Those are influenced succeed in learning [2]. Motivation determines the level of success or failure of student learning activities. Learning without motivation is difficult to succeed, in essays. 1. Introduction Low or lack of motivation to learn in the history subjects of class XI IPS in Bandar Lampung SMA 6 is influenced by the conventional learning process and is still teacher-centered, making students less active and less motivated in the classroom learning process, subject teachers History tells students not to pay attention to the teacher when explaining the material, not focusing, and if given the opportunity to ask questions about the material explained the students seemed not eager to ask questions, or instead the teacher asked questions most students chose to be quiet so that learning was less active and efficient and influential on low student learning outcomes. The learning process can run well if the set learning objectives can be achieved optimally. Improving the quality of student learning processes and results needs to be pursued in order to obtain good quality education. To achieve this, it is necessary to get attention, and handling both from the government, family, and from the student's own business. Learning outcomes are changes in student behavior due to learning. [4] Motivation should be seen as a very important factor in the learning process. The motivated student has strength to learn, to discover and capitalize on capabilities, to improve academic performance and adapt to the demands of the school context. Psychology, membership motivation and learning success. So, with this study, we intend to examine how perceived sense of school belonging and intrinsic motivation influences. A structural model reveals that the negative sense of belonging has a negative impact on intrinsic motivation and on perceived learning. In turn, intrinsic motivation is positive and significantly influences are perceived learning in the course motivation is positively and significantly influences the perceived learning in the course [3]. Based on the description described above, this problem is important to be examined and proven to determine the effect of the inquiry learning model and learning motivation on the learning outcomes of history in Bandar Lampung Public High School 6. The teacher needs an alternative learning model that is appropriate and innovative to condition learning history and motivate students to be Http://www.ijetmr.com©International Journal of Engineering Technologies and Management Research [75] [Wiranata et. al., Vol.6 (Iss.7): July 2019] ISSN: 2454-1907 DOI: 10.5281/zenodo.3341539 ISSN: 2454-1907 DOI: 10.5281/zenodo.3341539 ISSN: 2454-1907 DOI: 10.5281/zenodo.3341539 more motivated to focus on learning using the Inquiry Learning Model. 1. Introduction This inquiry learning model is an educational interaction whose purpose is to foster self-confidence and activate student motivation to be able to support and help one another so that eventually the results of historical learning will increase. 2. Materials and Methods This study uses an experimental method with desaintreatment by level 2 x 2. Variables in this study consisted of two independent variables namely inquiry learning model (X1) and learning motivation (X2) as independent variables. bound (dependent variable) is the Learning Outcomes of students (Y). This study is a type of experimental research using one control class with conventional learning models and one experimental class with Inquiry learning models. The population in this study were students of class XI IPS Bandar Lampung High School 6. While the sample in the study was carried out by random sampling technique which would later be obtained by one control class and one experimental class. The sample consisted of XI IPS 1 class, which amounted to 28 students and XI IPS 2 class, totaling 28 students. The number of students who were the subjects of the study were 56 students. Before being given treatment, questionnaires were distributed to determine learning motivation. The questionnaire filling score is arranged based on the highest score to the lowest score. 3. Results and Discussions Results test hypothesis first to show results from calculation results calculation Analysis Variance (ANAVA) Two-Lane obtained F count data for learning models have a score of 14,349, with score Ftable 4.15 on the level, in fact, α = 0.05. So that could be proven that value Fcount ˃ Ftable the meaning that is there is difference results learn the history between students were given the treatment of learning models Inquiry compared with students were given the treatment of learning models Conventional. Based on average yield learn history groups that use learning models Inquiry (A1) has to score of 27.88, whereas groups that use learning models Conventional (A2) has a score of 24.31, proven that the average group A1 is higher from group A2 or µ A 1 ˃ µ A 2. Then the test hypothesis first proves that H1 is accepted and H0 is rejected. The second hypothesis, there is the influence of interaction between the use of learning models and student learning motivation. The ANAVA calculation results show that the interaction has a score of Fcount = 62.541 with a score of Ftable = 4.20 at the real level α = 0.05, so there is an interaction between the use of learning models and Motivation Learning towards students' historical learning outcomes. Hypothesis third, the average value of historical learning outcomes in students who have high learning motivation and use inquiry learning models (A1B1) which is 32,88 while those using the Conventional learning model (A2B1) are 21.88. Comparison of the average value as a continuation of the proven interaction between the learning model applied and Learning Motivation, then testing the third hypothesis followed by the Tuckey Test to test the significance level. These results indicate that the Qvalue is calculated greater than Qtable at the real level α = 0.05, it can be concluded that there are significant differences between the average historical learning outcomes in students who have high Learning Motivation who use the Inquiry learning model Http://www.ijetmr.com©International Journal of Engineering Technologies and Management Research [76] ISSN: 2454-1907 DOI: 10.5281/zenodo.3341539 ISSN: 2454-1907 DOI: 10.5281/zenodo.3341539 [Wiranata et. al., Vol.6 (Iss.7): July 2019] (A1B1) with those using Conventional learning models (A2B1). So that it can be proven also that the average A1B1 is greater than A2B1, so the third hypothesis can be proved that is H1 is accepted and H0 is rejected. 4. Conclusions and Recommendations Based on the results of the research described and discussed earlier, it can be concluded that the results of research that has been obtained indicate that: (1) Inquiry learning model has a significant influence on students' historical learning outcomes, this is indicated by learning outcomes in groups of students given treatment Inquiry learning models are higher than historical learning outcomes in groups of students given treatment in the form of conventional learning models.(2) The interaction between the learning model and learning motivation can be seen from the relationship between the learning model applied and the level of learning motivation towards students' historical learning outcomes. Effect of the application of inquiry learning models. (3) in students who have high learning motivation abilities proved positive for students' historical learning outcomes, because the historical learning outcomes are higher than the historical learning outcomes of students who have high learning motivation given the treatment of conventional learning models. (4)The influence of the application of conventional learning models on students who have low learning motivation is also proven positive for students' historical learning outcomes, because the historical learning outcomes are higher than the historical learning outcomes of students who have low learning motivation given the treatment of inquiry learning models. 3. Results and Discussions Hypothesis fourth, the average value of historical learning outcomes in students who have low learning motivation and use inquiry learning models (A1B2) which is 22,88 while those using Conventional learning models (A2B2) which is 26.75. Comparison of the average value as a continuation of the proven interaction between the learning model applied and Learning Motivation, then testing the third hypothesis followed by the Tuckey Test to test the significance level. These results indicate that the Qvalue is greater than Qtable at the real level α = 0.05, it can be concluded that there are significant differences between the average historical learning outcomes in students who have Learning Motivation low and use Inquiry learning models (A1B2) with those using Conventional learning models (A2B2). So that it can be proven also that the average A1B2 is lower than the average A2B2, so the fourth hypothesis can be proved that is H1 accepted and H0 rejected. Based on the hypothesis testing, the results show that there is a significant influence, which is given the Inquiry learning model of students' historical learning outcomes. So that inquiry learning can be considered more capable of optimizing historical learning outcomes, compared with students who use conventional learning models. The application of inquiry learning models seems to be better used because in addition to being able to actively involve students that make students motivated to learn, also students to build understanding of information and formulate their own knowledge of the topic of material they are studying. Acknowledgements This research received financial support from Mr. Attend, Mrs. Lila Sumyati, Yati Oktavia, special thanks for them. I will also be grateful for the support provided by the Jakarta State University for administrative permission. [77] Http://www.ijetmr.com©International Journal of Engineering Technologies and Management Research [Wiranata et. al., Vol.6 (Iss.7): July 2019] ISSN: 2454-1907 DOI: 10.5281/zenodo.3341539 ISSN: 2454-1907 DOI: 10.5281/zenodo.3341539 E-mail address: adiwiranata7@ gmail.com *Corresponding author. E-mail address: adiwiranata7@ gmail.com *Corresponding author. References [1] Baharuddin and Esa Nur Wahyuni. Theory of Learning and Learning. Yogyakarta: A Media, 2010. 16. [2] Hamzah B. Uno. Motivation Theory and Measurement. Jaka rta: PT. Earth Literacy; 2012 [3] Manuela Ferreira, Motivation and Relationship with the School as Factors Involved Perceived Learnin. Journal Science Direct, 29, 2011, 1707-1714 [4] Purwanto. Evaluation of Learning Outcomes. Yogyakarta: Student Library r; 201 3, 23. [5] Skinner, BF (2014). Science and Human Behavior. New York: Macmillan., 89. [6] Syaiful Bahri, Azwan Zain. Teaching and Learning Strategies. Jakarta: PT Asdi Mahasaty 1. *Corresponding author. E-mail address: adiwiranata7@ gmail.com [1] Baharuddin and Esa Nur Wahyuni. Theory of Learning and Learning. Yogyakarta: Ar-Ruzz Media, 2010. 16. [1] Baharuddin and Esa Nur Wahyuni. Theory of Learning and Learning. Yogyakarta: Ar-Ruzz Media, 2010. 16. mzah B. Uno. Motivation Theory and Measurement. Jaka rta: PT. Earth Literacy; 2012, 11. [3] Manuela Ferreira, Motivation and Relationship with the School as Factors Involved in the Perceived Learnin. Journal Science Direct, 29, 2011, 1707-1714 [3] Manuela Ferreira, Motivation and Relationship with the School as Factors Involved in the Perceived Learnin. Journal Science Direct, 29, 2011, 1707-1714 , , , [4] Purwanto. Evaluation of Learning Outcomes. Yogyakarta: Student Library r; 201 3, 23. [4] Purwanto. Evaluation of Learning Outcomes. Yogyakarta: Student Library r; 201 3, 23. [5] Skinner, BF (2014). Science and Human Behavior. New York: Macmillan., 89. ( ) [6] Syaiful Bahri, Azwan Zain. Teaching and Learning Strategies. Jakarta: PT Asdi Mahasatya; 2006, 1 [6] Syaiful Bahri, Azwan Zain. Teaching and Learning Strategies. Jakarta: PT Asdi Mahasatya; 2006, 1. [6] Syaiful Bahri, Azwan Zain. Teaching and Learning Strategies. Jakarta: PT Asdi Mahasatya; 2006, 1. Http://www.ijetmr.com©International Journal of Engineering Technologies and Management Research [78]
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Peridynamics method for problems solve of solids destruction
Žurnal Srednevolžskogo matematičeskogo obŝestva
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Контент доступен по лицензии Creative Commons Attribution 4.0 International License. This is an open access article distributed under the terms of the Creative Commons Attribution 4.0 International License. c ⃝Д. А. Шишканов, М. В. Ветчинников, Ю. Н. Дерюгин Метод перидинамики для решения задач разрушения твердых тел Д. А. Шишканов, М. В. Ветчинников, Ю. Н. Дерюгин Д. А. Шишканов, М. В. Ветчинников, Ю. Н. Дерюгин Аннотация. В статье проводится исследование метода перидинамики – альтернатив- ного подхода к решению задач разрушения, основанного на интегральных уравнениях. Предполагается, что частицы в континууме взаимодействуют друг с другом на конеч- ном расстоянии, как в молекулярной динамике. Повреждение является частью теории на уровне взаимодействия двух частиц, поэтому нахождение повреждения и разруше- ние происходит при решении уравнения движения. В ходе проделанной работы были описаны перидинамические модели разрушения на основе связи и на основе состояний, используемые в Сандийской лаборатории, и реализованы в рамках комплекса программ молекулярной динамики MoDyS. В модели, основанной на связи, определяющим соотно- шением является функция жесткости связи, которая корректирует силу взаимодействия частиц и накладывает ограничение на использование коэффициента Пуассона. Модель на основе состояний обобщает подход на основе связи и применяется для материалов с любым коэффициентом Пуассона. Определена связь моделей, показана сходимость на примере одномерной задачи упругости и возможность применения реализованных моделей для задач разрушения. Внедрение макромасштабного метода перидинамики в комплекс программ молекулярной динамики MoDyS позволит в дальнейшем осуще- ствить идею гибридного моделирования. Ключевые слова: перидинамика, механика сплошных сред, молекулярная динамика, нелокальные взаимодействия, бессеточный метод, модель разрушения, функция жест- кости связи Ключевые слова: перидинамика, механика сплошных сред, молекулярная динамика, нелокальные взаимодействия, бессеточный метод, модель разрушения, функция жест- кости связи Для цитирования: Шишканов Д. А., Ветчинников М. В., Дерюгин Ю. Н. Ме- тод перидинамики для решения задач разрушения твердых тел // Журнал Средневолжского математического общества. 2022. Т. 24, № 4. С. 452–468. DOI: https://doi.org/10.15507/2079-6900.24.202204.452-468 Zhurnal Srednevolzhskogo Matematicheskogo Obshchestva. 2022. Vol. 24, No. 4. Zhurnal Srednevolzhskogo Matematicheskogo Obshchestva. 2022. Vol. 24, No. 4. 452 ISSN 2079-6900 (Print) ISSN 2587-7496 (Online) ISSN 2079-6900 (Print) ISSN 2587-7496 (Online) FSUE RFNC – VNIIEF (Sarov, Russia) Abstract. The article investigates the method of peridynamics, which is an alternative approach to solving destruction problems based on integral equations. It is assumed that particles in a continuum interact with each other at a finite distance, as in molecular dynamics. Damage is part of the theory at the level of two-particle interactions, so damage finding and destruction occurs when solving the equation of motion. During this work, bond- based and state-based peridynamics models of destruction used in the Sandia Laboratory were described and implemented within the framework of the MoDyS molecular dynamics software package. In the bond-based model, the defining relationship is the bond stiffness function, which corrects the force of particle-particle interaction and imposes a restriction on the use of the Poisson’s ratio. The state-based model generalizes the bond-based approach and may be applied to materials with any Poisson’s ratio. The relationship of both models is ascertained. Calculation convergence is demonstrated on the example of a one-dimensional elasticity problem. The possibility of using the implemented models for fracture problems is also shown. Keywords: peridynamics, continuum mechanics, molecular dynamics, nonlocal interactions, mesh-free method, fracture model, bond stiffness function For citation: D. A. Shishkanov, M. V. Vetchinnikov, Yu. N. Deryugin. Peridynamics method for problems solve of solids destruction. Zhurnal Srednevolzhskogo matematicheskogo obshchestva. 24:4(2022), 452–468. DOI: https://doi.org/10.15507/2079-6900.24.202204.452- 468 About the authors: About the authors: Dmitry A. Shishkanov, research laboratory mathematician, Russian Federal Nuclear Center (22 Yunosti St., Sarov 607182, Russia), ORCID: https://orcid.org/0000-0002-3063- 4798, dima.shishkanov.96@mail.ru Dmitry A. Shishkanov, research laboratory mathematician, Russian Federal Nuclear Center (22 Yunosti St., Sarov 607182, Russia), ORCID: https://orcid.org/0000-0002-3063- 4798, dima.shishkanov.96@mail.ru Maxim V. Vetchinnikov, Head of research laboratory, Russian Federal Nuclear Center (22 Yunosti St., Sarov 607182, Russia), ORCID: https://orcid.org/0000-0003-0321-1738 vetchinnikov_max@mail.ru Maxim V. Vetchinnikov, Head of research laboratory, Russian Federal Nuclear Center (22 Yunosti St., Sarov 607182, Russia), ORCID: https://orcid.org/0000-0003-0321-1738 vetchinnikov_max@mail.ru Yuriy N. Deryugin, Chief Researcher, Russian Federal Nuclear Center (22 Yunosti St., Sarov 607182, Russia), Dr.Sci. (Phys.-Math.), ORCID: https://orcid.org/0000-0002-3955- 775X, dyn1947@yandex.ru Yuriy N. Deryugin, Chief Researcher, Russian Federal Nuclear Center (22 Yunosti St., Sarov 607182, Russia), Dr.Sci. (Phys.-Math.), ORCID: https://orcid.org/0000-0002-3955- 775X, dyn1947@yandex.ru D. A. Shishkanov, M. V. Vetchinnikov, Yu. N. Deryugin D. A. Shishkanov, M. V. Vetchinnikov, Yu. N. Deryugin FSUE RFNC – VNIIEF (Sarov, Russia) Об авторах: Шишканов Дмитрий Алексеевич, математик научно-исследовательской лабора- тории, РФЯЦ-ВНИИЭФ (607181, Россия, г. Саров, ул. Юности, д. 22), ORCID: https://orcid.org/0000-0002-3063-4798, dima.shishkanov.96@mail.ru Ветчинников Максим Владимирович, начальник научно-исследовательской ла- боратории, РФЯЦ-ВНИИЭФ (607181, Россия, г. Саров, ул. Юности, д. 22), ORCID: https://orcid.org/0000-0003-0321-1738 vetchinnikov_max@mail.ru Дерюгин Юрий Николаевич, главный научный сотрудник, РФЯЦ-ВНИИЭФ (607181, Россия, г. Саров, ул. Юности, д. 22), доктор физико-математических наук, ORCID: https://orcid.org/0000-0002-3955-775X, dyn1947@yandex.ru Шишканов Дмитрий Алексеевич, математик научно-исследовательской лабора- тории, РФЯЦ-ВНИИЭФ (607181, Россия, г. Саров, ул. Юности, д. 22), ORCID: https://orcid.org/0000-0002-3063-4798, dima.shishkanov.96@mail.ru тории, РФЯЦ-ВНИИЭФ (607181, Россия, г. Саров, ул. Юности, д. 22), ORCID: https://orcid.org/0000-0002-3063-4798, dima.shishkanov.96@mail.ru Ветчинников Максим Владимирович, начальник научно-исследовательской ла- боратории, РФЯЦ-ВНИИЭФ (607181, Россия, г. Саров, ул. Юности, д. 22), ORCID: https://orcid.org/0000-0003-0321-1738 vetchinnikov_max@mail.ru Дерюгин Юрий Николаевич главный научный сотрудник РФЯЦ-ВНИИЭФ p // g/ , Ветчинников Максим Владимирович, начальник научно-исследовательской ла- боратории, РФЯЦ-ВНИИЭФ (607181, Россия, г. Саров, ул. Юности, д. 22), ORCID: https://orcid.org/0000-0003-0321-1738 vetchinnikov_max@mail.ru Дерюгин Юрий Николаевич, главный научный сотрудник, РФЯЦ-ВНИИЭФ (607181, Россия, г. Саров, ул. Юности, д. 22), доктор физико-математических наук, ORCID: https://orcid.org/0000-0002-3955-775X, dyn1947@yandex.ru Журнал Средневолжского математического общества. 2022. Т. 24, №4. 453 Original article 1. Введение Многие задачи в механике твердого тела приводят к формированию и развитию трещин. При численном решении подобных задач в классической теории возникает сложность, которая связана с использованием дифференциальных уравнений в част- ных производных. Для уравнений сплошной среды необходимы пространственные про- изводные, которые не существуют на поверхности разрыва трещины. Поэтому любой Д. А. Шишканов, М. В. Ветчинников, Ю. Н. Дерюгин. Метод перидинамики для решения задач . . . Zhurnal Srednevolzhskogo Matematicheskogo Obshchestva. 2022. Vol. 24, No. 4. 454 численный метод для решения уравнений в частных производных сталкивается с про- блемами при моделировании трещин. Метод перидинамики – альтернативный подход к решению задач разрушения, ос- нованный на интегральных уравнениях, а не дифференциальных. Перидинамическая теория, введенная Силингом [1], является нелокальным представлением механики твер- дого тела, которая заключается в задании основных уравнений движения таким обра- зом, чтобы они применялись всюду в твердом теле вне зависимости от наличия разры- вов. Предполагается, что макрочастицы в континууме взаимодействуют друг с другом на конечном расстоянии, как в молекулярной динамике. Повреждение является частью теории на уровне взаимодействия двух частиц, поэтому нахождение повреждения и раз- рушение происходит при решении уравнения движения. На данный момент существует несколько различных моделей разрушения, которые представлены в справочниках по перидинамике [2; 3]. В данной статье рассматриваются модели на основе связи и на основе состояний. В модели, основанной на связи, используется парное взаимодействие, поэтому она применима только для материалов с коэффициентом Пуассона 1/4 [4]. Задание силы межчастичного взаимодействия происходит посредством жесткости связи [5]. Для более точного определения жесткости связи необходимо учитывать длину связи, как пред- ставлено в работе [6]. Для этого вводится функция влияния. Силинг и др. [7] показали, что функция влияния должна удовлетворять определенным условиям непрерывности. В [8] рассмотрены некоторые способы задания функции жесткости связи для 1D слу- чая. Модель на основе состояния, которая представлена в [9], является обобщением мо- дели на основе связи. В ней значение силы, действующей на каждую частицу в связи, зависит от положения частицы в пределах ее горизонта через относительное смещение. Такая модель применяется для материалов с любым коэффициентом Пуассона благо- даря функции влияния. Эта функция используется в перидинамике для ограничения силы, действующей на частицу, и корректировки прочности связи [10]. Ее роль в пе- ридинамической теории рассматривается в работе [11]. Селесон показал связь между моделями на основе связи и на основе состояния через сферическую функцию влияния [12]. Цель исследования, проведенного в рамках данной работы, заключается в реали- зации перидинамических моделей разрушения Сандийской лаборатории [13]. D. A. Shishkanov, M. V. Vetchinnikov, Yu. N. Deryugin. Peridynamics method for problems solve of solids . . . 2. Метод перидинамики Твердое тело в перидинамической теории представляется набором частиц. Физиче- ское взаимодействие между частицами осуществляется посредством связи, т. е. влияние частиц друг на друга происходит на конечном расстоянии внутри замкнутого гори- зонта. Перидинамика основана на интегральных уравнениях, благодаря чему избегает пространственные производные, которые не существуют на поверхностях разрыва в классической механике сплошных сред. Для дискретной модели каждая частица (с номером i) наделена параметрами (мас- сой — mi, плотностью — ρi, начальными координатами — ⃗r 0 i x0 i , y0 i , z0 i  ) и является макрообъектом. Движение деформируемой среды характеризуется дискретным векто- ром смещений ⃗ui (ux i , uy i , uz i ). Аппроксимационные свойства метода определяются заданием векторов относитель- ного положения частиц ⃗ξi = ⃗rk −⃗ri и относительного смещения ⃗ηi = ⃗uk −⃗ui на дискрет- ном множестве частиц, удовлетворяющих условию |⃗ξi| < δ. Уравнение движения частицы ⃗ri (xi, yi, zi) задается в виде ρi¨u (⃗ri, t) = Z H⃗ri ⃗fi (⃗uk −⃗ui,⃗rk −⃗ri) dV⃗rk +⃗b (⃗ri, t) , (2.1) (2.1) где H⃗ri — множество соседей частицы ⃗ri; ⃗b — граничные условия; ⃗fi — силы, опреде- ляющие взаимодействие частиц i и k. где H⃗ri — множество соседей частицы ⃗ri; ⃗b — граничные условия; ⃗fi — силы, опреде- ляющие взаимодействие частиц i и k. Построение дискретной модели начинается с задания плотности энергии деформи- рования: Wi = 1 2 Z H⃗ri ⃗w  ⃗ηi, ⃗ξi  dV⃗ξi, (2.2) (2.2) где ⃗w = ⃗w  ⃗ξi, ⃗ηi  С , ⃗ηi  — энергия связи между частицами.   Сила межчастичного взаимодействия в общем виде определяется дифференцирова- нием энергии связи: ⃗fi  ⃗ξi, ⃗ηi  = ∂⃗w ∂⃗ηi  ⃗ξi, ⃗ηi  ⃗ξi + ⃗ηi |⃗ξi + ⃗ηi| ∀⃗ηi, ⃗ξi. (2.3) (2.3) Соотношения (2.3) и уравнение движения (2.1) образуют замкнутую систему урав- нений перидинамики. 1. Введение В силу того, что уравнения перидинамики очень похожи на уравнения молекулярной динами- ки (МД), реализация перидинамических моделей осуществляется в рамках комплекса программ молекулярной динамики MoDyS (Molecular Dynamic Simulation) [14]. Впер- вые совместная реализация этих разномасштабных методов была произведена Силин- гом в пакете программ LAMMPS [15]. Оба метода являются нелокальным представлением сплошной среды, но в разных масштабах. Внедрение метода перидинамики в MoDyS позволит в дальнейшем осуще- ствить идею гибридного моделирования [16], которая даст возможность понять поведе- ние материалов на разных масштабных уровнях при разрушениях. Реализация периди- намических моделей в комплексе программ MoDyS сводится к замене процедуры, ответ- ственной за вычисление сил. Задачами исследования являлись изучение перидинамиче- ского метода на примере PMB (Prototype Microelastic Brittle) и LPS (Linear Peridynamic Solid) моделей, реализация алгоритмов из [13] в комплексе программ MoDyS и тести- рование на примере простых задач упругости и задач разрушения. Журнал Средневолжского математического общества. 2022. Т. 24, №4. 455 3. PMB модель перидинамики Данная модель основана на связях. Такие модели определяют силу взаимодействия двух частиц, основываясь на «истории» этих частиц (например, начальное и текущее положения). Сила задается уравнением ⃗fi  ⃗ξi, ⃗ηi  = csµ  ⃗ri, t, ⃗ξi  ⃗ξi + ⃗ηi |⃗ξi + ⃗ηi| , (3.1) (3.1) А. Шишканов, М. В. Ветчинников, Ю. Н. Дерюгин. Метод перидинамики для решения задач . Zhurnal Srednevolzhskogo Matematicheskogo Obshchestva. 2022. Vol. 24, No. 4. 456 где c — упругая константа, задающая жесткость связи; s — деформация связи: где c — упругая константа, задающая жесткость связи; s — деформация связи: s = |⃗ξi + ⃗ηi| −|⃗ξi| |⃗ξi| , (3.2) (3.2) |⃗ξi| а µ — скалярная функция положения материальной точки, которая принимает значе- ния 1 или 0 и определяется формулой: а µ — скалярная функция положения материальной точки, которая принимает значе- ния 1 или 0 и определяется формулой: µ  ⃗ri, t, ⃗ξi  =    1, s  t ′, ⃗ξi  < s0 ∀0 ≤t ′ ≤t, 0, s  t ′, ⃗ξi  ≥s0 ∀0 ≤t ′ ≤t, (3.3) (3.3) где s0 — критическое удлинение разрыва связи (в настоящей работе полагается кон- стантой). Введение разрыва на уровне связи позволяет точно выразить идею локального по- вреждения, которое определяется формулой: φi (⃗ri, t) = 1 − R H⃗ri µ  ⃗ri, t, ⃗ξi  dV⃗rk R H⃗ri dV⃗rk . (3.4) (3.4) Повреждение принимает значения в диапазоне 0 ≤φi ≤1, где 0 означает, что материал целый, а 1 означает завершенный разрыв связей частицы со всеми частицами, с которыми она изначально взаимодействовала. 4. Жесткость связи Сила межчастичного взаимодействия (3.1) связана со смещением через жесткость связи между частицами. Для однородных деформаций в трехмерных задачах значе- ние жесткости связи выводится в работе[4]. Такая жесткость пропорциональна модулю объемного сжатия c = 18K πδ4 . (4.1) c = 18K πδ4 . (4.1) Силинг и др. [8] предполагают, что возможны и другие виды функции жесткости связи, выбор которой влияет только на деформации внутри горизонта взаимодействия частицы и не оказывает влияния на решение задач упругости при стремлении горизонта к нулю. 5. Функция влияния Жесткость связи (4.1) одинакова для всех связей внутри горизонта взаимодействия. Для более точного ее определения необходимо учитывать расстояние между частица- ми. В общем случае, жесткость связи – это функция, зависящая от длины связи и горизонта взаимодействия. Она должна удовлетворять определенным условиям непре- рывности [7]. Чтобы учесть расстояние между частицами, функция жесткости связи записывается в виде c (|ξi|, δ) = cω (|ξi|, δ) , (5.1) (5.1) D. A. Shishkanov, M. V. Vetchinnikov, Yu. N. Deryugin. Peridynamics method for problems solve of solids . . . л Средневолжского математического общества. 2022. Т. 24, №4. 457 457 где ω (|ξi|, δ) — функция влияния, корректирующая устойчивость нелокальных взаимо- действий двух частиц. у Рассмотрим примеры функций жесткости связи для одномерного случая [7] c (|ξi|, δ) =  c0, |ξi| ≤δ, 0, |ξi| ≥δ, (5.2) c (|ξi|, δ) =  c0, |ξi| ≤δ, 0, |ξi| ≥δ, (5.2) c (|ξi|, δ) = ( c1  1 −|ξi| δ  , |ξi| ≤δ, 0, |ξi| ≥δ, (5.3) c (|ξi|, δ) =    c2  1 −  |ξi| δ 22 , |ξi| ≤δ, 0, |ξi| ≥δ. (5.4) (5.2) c (|ξi|, δ) = ( c1  1 −|ξi| δ  , |ξi| ≤δ, 0, |ξi| ≥δ, (5.3) (5.3) c (|ξi|, δ) =    c2  1 −  |ξi| δ 22 , |ξi| ≤δ, 0, |ξi| ≥δ. (5.4) (5.4) Константы c0, c1, c2 получаются, используя энергию связи между точками w из (2.3) и (3.1) и, сравнением плотности энергии деформации (2.2) с упругой плотностью энергии в классической теории W = Es2 2 , где E — модуль Юнга. Как видно на рисунке 5.1, введенная функция влияния в (5.1) позволяет уменьшать жесткость взаимодей- ствия частиц при увеличении длины связи. Для функций типа (5.3) и (5.4) c (ξ) →0 при ξ →δ. Это дает более точное описание нелокального взаимодействия. Рис. 5.1. Примеры функции жесткости связи c (ξ): 1 — треуольная (5.3), 2 — квадратичная (5.4), 3 — постоянная (5.2) Fig 5.1. Examples of the bond stiffness function c (ξ): 1 — triangular (5.3), 2 — quadratic (5.4), 3 — constant 5.2) Рис. 5.1. Примеры функции жесткости связи c (ξ): 1 — треуольная (5.3), 2 — квадратичная (5.4), 3 — постоянная (5.2) Fig 5.1. Examples of the bond stiffness function c (ξ): 1 — triangular (5.3), 2 — quadratic (5.4), 3 — constant 5.2) 6. LPS модель Данная модель представляет собой обобщение подхода, основанного на связях [17]. Сила взаимодействия частиц является функцией полного набора частиц в нелокальных окрестностях этих частиц. Другими словами значение силы, действующей на каждую частицу в связи, зависит от положения частиц в пределах ее горизонта через отно- сительное смещение θ, что позволяет избавиться от ограничений, возникающих при А. Шишканов, М. В. Ветчинников, Ю. Н. Дерюгин. Метод перидинамики для решения задач . Zhurnal Srednevolzhskogo Matematicheskogo Obshchestva. 2022. Vol. 24, No. 4. 458 использовании подхода на основе связи [9]. Плотность энергии деформирования зада- ется в виде использовании подхода на основе связи [9]. Плотность энергии деформирования зада- ется в виде Wi = 1 2Kθ2 + 1 2α Z H⃗ri ωε2dV⃗rk. (6.1) (6.1) Сила, действующая на частицу ti, определяется выражениями Сила, действующая на частицу ti, определяется выражениями ⃗ti = 1 2 ⃗fi, (6.2) (6.2) ⃗ti = dKθ mi ω|⃗ξi| + αωε. (6.3) (6.3) где K — модуль объёмного сжатия; θ — относительное смещение; ε — девиатор тензора деформации; α — константа; ω — функция влияния; d — размерность пространства; mi — массовый объем частицы, который определяется следующей формулой где K — модуль объёмного сжатия; θ — относительное смещение; ε — девиатор тензора деформации; α — константа; ω — функция влияния; d — размерность пространства; mi — массовый объем частицы, который определяется следующей формулой mi = Z H⃗rk ω|⃗ξi|2dV⃗rk. (6.4) (6.4) Коэффициент 1 2 в (6.2) показывает, что сила в LPS модели распределяется на каж- дую частицу связи, в отличие от PMB, где вычисленная сила (3.1) одинаково действует на каждую частицу связи. Другими словами для PMB модели ⃗ti = ⃗fi. ду цу Дру д д f Тензор деформации e представляется в виде суммы шаровой и девиато формации e представляется в виде суммы шаровой и девиаторной части: e = ei + ε, ei = θ|⃗ξi| 3 , θ [⃗ri, t] = d mi Z H⃗rk ω|⃗ξi|e [⃗ri, t] dV⃗rk. (6.5) (6.5) Константа α пропорциональна модулю сдвига G, ее значение вычисляется из срав- нения энергии (6.1) с энергией классической теории [18]. Для трехмерных задач при- нимает значение 15G a = 15G m . (6.6) (6.6) 7. Связь LPS и PMB моделей 8. Тестовые расчеты Перидинамика является нелокальной теорией, содержащей масштаб длины – гори- зонт взаимодействия. В [19] показано, что если деформации, определяющие модель, и какие-либо неоднородности, достаточно гладкие, то тензор напряжений дискретной модели в этом предельном случае переходит в тензор Пиолы-Кирхгофа, а уравнения пе- ридинамики превращаются в уравнения теории упругости. Соответственно, предельные численные решения этих уравнений (при измельчении сетки для механики сплошной среды и при увеличении числа частиц для дискретной модели) также будут совпадать. Однако при конечных размерах сетки и при конечном числе частиц результаты рас- четов могут различаться, т. к. для уравнений механики сплошной среды и уравнений перидинамики используются разные численные методы. Результаты расчетов также могут различаться в зависимости от способа задания жесткости связи и выбора функции влияния. В расчетах использовались функции жесткости связи (5.2) – (5.4). ( ) ( ) Для оценки точности реализованных моделей PMB и LPS использовались достаточ- но простые задачи, имеющие аналитическое решение. 7. Связь LPS и PMB моделей Для PMB модели ν = 1 4, G = 3 5K. Тогда силу межчастичного взаимодействия (6.3) запишем в виде 9K ⃗ti = 9K mi ω|⃗ξi|s. (7.1) (7.1) Для связи LPS и PMB моделей используется сферическая функция влияния ω = 1 |⃗ξi| . (7.2) (7.2) Используя (7.2), массовый объем (6.4) mi = πδ4. Таким образом, уравнение (7.1) запишем в следующем виде ⃗ti = 9K πδ4 s = 1 2 18K πδ4  s, (7.3) (7.3) D. A. Shishkanov, M. V. Vetchinnikov, Yu. N. Deryugin. Peridynamics method for problems solve of solids . . . Журнал Средневолжского математического общества. 2022. Т. 24, №4. 459 ⃗fi = 18K πδ4  s = cs. (7.4) ⃗fi = 18K πδ4  s = cs. (7.4) Значение силы (7.4) совпадает со значением силы в PMB модели (3.1) при исполь- зовании функции жесткости связи (4.1). Таким образом, при ν = 1 4 и выбранной сфе- рической функции влияния (7.2) LPS модель полностью совпадает с PMB [12]. А. Шишканов, М. В. Ветчинников, Ю. Н. Дерюгин. Метод перидинамики для решения задач . 9. Прохождение гармонических волн в тонком стержне Рассмотрим прохождение упругих волн по цепочке частиц, которые представляют собой тонкий стержень. L Геометрия задачи: 0 < x < 2L, −h < y < h, −h < z < h, h = L N при L = 1 см, N = 100. Свойства материала: модуль Юнга E = 200 ГПа, коэффициент Пуассона ν = 1 4, плотность ρ = 7.85 г см3 , модуль упругости K = 133.333 ГПа, G = 80 ГПа. см Начальные условия: w (x, 0) = εL sin πx 2L, σ (x, 0) = E επ 2 cos πx 2L, u (x, 0) = 0, ε = = 0.001. Граничные условия: u (0, t) = 0, u (2L, t) = 0. В этой задаче представляет интерес исследование фазовой ошибки на достаточ- но большом временном интервале при использовании PMB модели. Конец счета tk = 50 · 10−5 сек соответствует tk 4L rE ρ ≈60 волновым периодам. r ρ В первой серии расчетов число частиц фиксировано N = 200. Сходимость в пре- дельном случае δ →0 наблюдается при использовании постоянной функции жесткости связи (5.2) (Рис. 9.1). В расчетах с использованием треугольной (5.3) и квадратичной (5.4) функций жесткости связи накапливается фазовая ошибка. чинников, Ю. Н. Дерюгин. Метод перидинамики для решения задач . . . Zhurnal Srednevolzhskogo Matematicheskogo Obshchestva. 2022. Vol. 24, No. 4. 460 a) b) c) d) e) f) Рис. 9.1. Зависимость смещения от времени в сечении x = L (PMB модель, N = 200, функция жесткости связи (5.2)) на начальном временном интервале: a) δ = 5.015 dx; b) δ = 3.015 dx; c) δ = 2.015 dx; d) δ = 1.015 dx; и конечном временном интервале: e) δ = 2.015 dx; f) δ = 1.015 dx Fig 9.1. The dependence of the offset on time in the cross section x = L (PMB model, N = 200, function of the bond stiffness (5.2)) at the initial time interval: a) δ = 5.015 dx; b) δ = 3.015 dx; c) δ = 2.015 dx; d) δ = 1.015 dx; and at a finite time interval: e) δ = 2.015 dx; f) δ = 1.015 dx Во второй серии расчетов варьируется число частиц N = 100 N = 1 000 N = 10 000 b) a) b) d) c) f) e) Рис. 9.1. 9. Прохождение гармонических волн в тонком стержне Зависимость смещения от времени в сечении x = L (PMB модель, N = 200, функция жесткости связи (5.2)) на начальном временном интервале: a) δ = 5.015 dx; b) δ = 3.015 dx; c) δ = 2.015 dx; d) δ = 1.015 dx; и конечном временном интервале: e) δ = 2.015 dx; f) δ = 1.015 dx Fig 9.1. The dependence of the offset on time in the cross section x = L (PMB model, N = 200, function of the bond stiffness (5.2)) at the initial time interval: a) δ = 5.015 dx; b) δ = 3.015 dx; c) δ = 2.015 dx; d) δ = 1.015 dx; and at a finite time interval: e) δ = 2.015 dx; f) δ = 1.015 dx Во второй серии расчетов варьируется число частиц N = 100, N = 1 000, N = 10 000 и фиксируется горизонт взаимодействия δ = 3.015 (Рис. 9.2). D. A. Shishkanov, M. V. Vetchinnikov, Yu. N. Deryugin. Peridynamics method for problems solve of solids . . . Журнал Средневолжского математического общества. 2022. Т. 24, №4. 461 ур р , a) b) c) e) f) Рис. 9.2. Зависимость смещения от времени в сечении x = L (PMB модель, δ = 3.015 функция жесткости связи (5.2)) на начальном временном интервале: a) N = 100; b) N = 1 000; c) N = 10 000; и на конечном временном интервале: e) N = 1 000; f) N = 10 000 Fig 9.2. The dependence of the offset on time in the cross section x = L (PMB model, δ = 3.015 function of the bond stiffness (5.2)) at the initial time interval: a) N = 100; b) N = 1 000; c) N = 10 000; and at a finite time interval: e) N = 1 000; f) N = 10 000 b) a) b) c) c) f) e) Рис. 9.2. Зависимость смещения от времени в сечении x = L (PMB модель, δ = 3.015 функция жесткости связи (5.2)) на начальном временном интервале: a) N = 100; b) N = 1 000; c) N = 10 000; и на конечном временном интервале: e) N = 1 000; f) N = 10 000 Рис. 9.2. Д. А. Шишканов, М. В. Ветчинников, Ю. Н. Дерюгин. Метод перидинамики для решения задач . . . 9. Прохождение гармонических волн в тонком стержне Зависимость смещения от времени в сечении x = L (PMB модель, δ = 3.015 функция жесткости связи (5.2)) на начальном временном интервале: a) N = 100; b) N = 1 000; c) N = 10 000; и на конечном временном интервале: e) N = 1 000; f) N = 10 000 Fig 9.2. The dependence of the offset on time in the cross section x = L (PMB model, δ = 3.015 function of the bond stiffness (5.2)) at the initial time interval: a) N = 100; b) N = 1 000; c) N = 10 000; and at a finite time interval: e) ) ; f) Fig 9.2. The dependence of the offset on time in the cross section x = L (PMB model, δ = 3.015 function of the bond stiffness (5.2)) at the initial time interval: a) N = 100; b) N = 1 000; c) N = 10 000; and at a finite time interval: e) N = 1 000; f) N = 10 000 Результаты, представленные на Рис. 9.2 для N = 10 000, совпадают с аналитиче- ским решением на всем временном интервале. Cходимость для различных горизонтов Д. А. Шишканов, М. В. Ветчинников, Ю. Н. Дерюгин. Метод перидинамики для решения задач . . . Zhurnal Srednevolzhskogo Matematicheskogo Obshchestva. 2022. Vol. 24, No. 4. 462 взаимодействия достигается увеличением числа частиц. Скорость сходимости увеличи- вается при уменьшении горизонта взаимодействия, как было показано в первой серии расчетов. В то же время точность результатов зависит от выбора функции жесткости связи. Для данной задачи оптимально использовать постоянную функцию жесткости связи. При использовании треугольной или квадратичной функции жесткости связи в численном решении накапливается фазовая ошибка. взаимодействия достигается увеличением числа частиц. Скорость сходимости увеличи- вается при уменьшении горизонта взаимодействия, как было показано в первой серии расчетов. В то же время точность результатов зависит от выбора функции жесткости связи. Для данной задачи оптимально использовать постоянную функцию жесткости связи. При использовании треугольной или квадратичной функции жесткости связи в численном решении накапливается фазовая ошибка. D. A. Shishkanov, M. V. Vetchinnikov, Yu. N. Deryugin. Peridynamics method for problems solve of solids . . . 10. Соударение двух идентичных гибких стержней Рассматривается соударение двух идентичных деформируемых стержней. Поста- новка задачи взята из [3]. [ ] Геометрия задачи: −L < x < L, −h < y < h, −h < z < h, L = 5 см, h = 0.5 см Свойства материала: модуль Юнга E = 75 ГПа, коэффициент Пуассона ν = 1 4, плотность ρ = 2.7 г см3 , модули упругости: K = 50 ГПа, G = 30 ГПа. см Начальные условия: скорости стержней ux = ±10 м сек. сек Расстояние между материальными точками dx = 0.001 м, шаг интегрирования ∆t = 9.3184 · 10−8 сек, конец счета t = 4.985 · 10−5 сек. Расчеты проведены с использованием постоянной функции жесткости связи и гори- зонтом взаимодействия частиц δ = 1.015 dx. Для сравнения с результатами, полученными в [3], в процессе счета отслеживалось осевое смещение в центрах стержней (±2.5, 0, 0). Предельное значение деформации свя- зи s0 полагалось равным 0.002. р На Рис. 10.1 представлено сравнение результатов. Видно, что результаты, полу- ченные по PMB модели перидинамики, реализованной в рамках комплекса программ MoDyS, согласуются с результатами из [3]. a) b) Рис. 10.1. Графики зависимости смещения частиц от времени: а) [3]; b) PMB модель перидинамики Fig 10.1. Dependence graphs of particle displacement on time: а) [3]; b) PMB model of peridynamics ) b) a) Рис. 10.1. Графики зависимости смещения частиц от времени: а) [3]; b) PMB модель перидинамики Рис. 10.1. Графики зависимости смещения частиц от времени: а) [3]; b) PMB модель перидинамики Fig 10.1. Dependence graphs of particle displacement on time: а) [3]; b) PMB model of peridynamics а) [3]; b) PMB model of peridynamics Журнал Средневолжского математического общества. 2022. Т. 24, №4. 463 А. Шишканов, М. В. Ветчинников, Ю. Н. Дерюгин. Метод перидинамики для решения задач . 12. Заключение Результаты тестирования перидинамической модели разрушения PMB показали, что для простых задач упругости и задач хрупкого разрушения оптимально исполь- зовать постоянную функцию жесткости связи. Сходимость достигается увеличением числа частиц или уменьшением горизонта взаимодействия. Необходимо провести до- полнительное исследование способов задания функции влияния, т. к. она корректирует силу взаимодействия частиц при определении жесткости связи. 11. Эксперимент Калтхофа-Винклера Рассматривается распространение трещины в задаче о столкновении жесткого ци- линдрического ударника со стальной пластиной, имеющей две насечки (эксперимент Калтхофа-Винклера [20]). Постановка задачи выполнена в соответствии с [3] (Рис. 11.1). Рис. 11.1. Геометрия эксперимента Калтхофа-Винклера Fig 11.1. Geometry of the Kalthoff-Winkler experiment Рис. 11.1. Геометрия эксперимента Калтхофа-Винклера Fig 11.1. Geometry of the Kalthoff-Winkler experiment Рис. 11.1. Геометрия эксперимента Калтхофа-Винклера р р ф р Fig 11.1. Geometry of the Kalthoff-Winkler experiment р р ф р Fig 11.1. Geometry of the Kalthoff-Winkler experiment Геометрия задачи: −l < x < l, −b < y < b, −h < z < h, l = 20 см, b = 10 см, h = 0.9 см. Параметры насечек: расстояние между насечками d = 5 см, длина насечки a0 = 5 см, ширина насечки h0 = 0.15 см. 1 Свойства пластины: модуль Юнга E = 191 ГПа, коэффициент Пуассона ν = 1 4, плотность ρ = 8 г см3 , модули упругости: K = 127.333 ГПа, G = 76.4 ГПа. см Свойства ударника: диаметр D = 5 см, высота H = 5 см, масса M = 1.57 кг, скорость u0 = 0.032 км сек. Расстояние между материальными точками dx = 0.001 м, горизонт взаимодействия частиц δ = 3.015 dx, предельное значение деформации связи s = 0.01, шаг интегриро- вания ∆t = 8.7 · 10−8 сек, конец счета t = 1.17 · 10−4 сек. На Рис. 11.2 представлена растровая картина численного моделирования экспери- мента Калтхофа-Винклера. Угол отклонения образовавшихся трещин от вертикальной оси составляет 67o. Полученный результат согласуется с экспериментальными данными [20]. Zhurnal Srednevolzhskogo Matematicheskogo Obshchestva. 2022. Vol. 24, No. 4. 464 Рис. 11.2. Растровая картина повреждения в задаче Калтхофа-Винклера на конечный момент времени Fig 11.2. Raster picture of damage in the Kalthoff-Winkler problem at a finite time Рис. 11.2. Растровая картина повреждения в задаче Калтхофа-Винклера на конечный момент времени Fig 11.2. Raster picture of damage in the Kalthoff-Winkler problem at a finite time Рис. 11.2. Растровая картина повреждения в задаче Калтхофа-Винклера на конечный момент времени Fig 11.2. Raster picture of damage in the Kalthoff-Winkler problem at a finite time A. Shishkanov, M. V. Vetchinnikov, Yu. N. Deryugin. Peridynamics method for problems solve of solid Список литературы 1. Silling S. A. Reformulation of elasticity theory for discontinuities and long-range forces // Journal of Mechanics and Physics of Solids. 2000. Vol. 48, No. 1. pp. 175–209. DOI: https://doi.org/10.1016/S0022-5096(99)00029-0 D. A. Shishkanov, M. V. Vetchinnikov, Yu. N. Deryugin. Peridynamics method for problems solve of solids . . . Журнал Средневолжского математического общества. 2022. Т. 24, №4. 465 2. Siling S. A., Geubelle P. H., Foster J. T., Bobaru F. (eds.) Handbook of peridynamic modeling. New York: CRC Press by Taylor and Francis Group, LLC, 2017. 586 p. DOI: https://doi.org/10.1201/9781315373331 3. Madenci E., Oterkus E. Peridynamic theory and its applications. New York: Springer, 2014. 289 p. DOI: https://doi.org/10.1007/978-1-4614-8465-3 4. Siling S. A., Askari E. A meshfree method based on the peridynamic model of solid mechanics // Computers and Structures. 2005. Vol. 83. pp. 1526–1535. DOI: https://doi.org/10.1016/J.COMPSTRUC.2004.11.026 5. Huang D., Wang C., Lu G., Qiao P. An extended peridynamic approach for deformation and fracture analysis // Engineering Fracture Mechanics. 2015. Vol. 141. pp. 196–211. DOI: https://doi.org/10.1016/j.engfracmech.2015.04.036 6. Huang D., Lu G., Qiao P. An improved peridynamic approach for quasi-static elastic deformation and brittle fracture analysis // International Journal of Mechanical Sciences. 2015. Vol. 8. pp. 94–95. DOI: https://doi.org/10.1016/j.ijmecsci.2015.02.018 7. Silling S. A., Zimmermann M., Abeyaratne R. Deformation of a peridynamic bar // Journal of Elasticity. 2003. Vol. 73. pp. 173–190. DOI: https://doi.org/10.1023/B:ELAS.0000029931.03844.4f 8. Bobaru F., Yabg M., Alves L. F., Silling S. A., Askari E., Xu J. Convergence, adaptive refinement, and scaling in 1D peridynamics // International Journal for Numerical Methods in Engineering. 2009. Vol. 77. pp. 852–877. DOI: https://doi.org/10.1002/nme.2439 9. Silling S. A., Epton M., Weckner O., Xu J., Askari E. Peridynamic states and constitutive modeling // Journal of Elasticity. 2007. Vol. 88. pp. 151–184. DOI: https://doi.org/10.1007/s10659-007-9125-1 10. Seleson P., Littlewood D. J. Convergence studies in meshfree peridynamic simulations // Computers & Mathematics with Applications. 2016. Vol. 71, No. 11. pp. 2432–2448. DOI: https://doi.org/10.1016/j.camwa.2015.12.021 11. Seleson P., Parks M. On the role of the influence function in the peridynamic theory // International Journal for Multiscale Computational Engineering. 2011. Vol. 9, No. 6. pp. 689–706. DOI: https://doi.org/10.1615/IntJMultCompEng.2011002527 12. Seleson P. Connecting peridynamic models and coupling local and nonlocal systems : presentation at Mini-workshop: Mathematical Analysis for Peridynamics. 2011. 79 p. 13. Parks M. L., Seleson P., Plimpton S. J., Lehoucq R. B., Siling S. A. Peridynamics with LAMMPS: A User Guide v0.2 Beta. New Mexico, 2008. 28 p. 14. Д. А. Шишканов, М. В. Ветчинников, Ю. Н. Дерюгин. Метод перидинамики для решения задач . . . Список литературы Свидетельство о государственной регистрации программы для ЭВМ № 2010614974. Комплекс программ молекулярно-динамического моделирования (MoDyS) / А. Н. Анисимов, С. А. Грушин, Б. Л. Воронин [и др.] Саров, 2010. 15. Qi T., Shaofan L., Multiscale coupling of molecular dynamics and peridynamics // Journal of the Mechanics and Physics of Solids. 2016. Vol. 95. pp. 169–187. DOI: https://doi.org/10.1016/j.jmps.2016.05.032 Zhurnal Srednevolzhskogo Matematicheskogo Obshchestva. 2022. Vol. 24, No. 4. 466 16. Parks M. L., Lehoucq R. B., Plimpton S. J., Silling S. A. Implementing peridynamics within a molecular dynamics code // Computer Physics Communications. 2008. Vol. 179, No. 11. pp. 777–783. DOI: https://doi.org/10.1016/j.cpc.2008.06.011 17. John A. M., Silling S. A., Littlewood D. J. A position-aware linear solid constitutive model for peridynamics // Journal of Mechanics of Materials and Structures. 2015. Vol. 10, No. 5. pp. 539–557. DOI: https://doi.org/10.2140/jomms.2015.10.539 18. Mitchell J. A. On the ‘DSF’ and the ‘dreaded surface effect’: presentation at Workshop on Nonlocal Damage and Failure. 2012. 18 p. 19. Silling S. A., Lechoucq R. B. Convergence of peridynamics to classical elasticity theory // Journal of Elasticity. 2008. Vol. 93. pp. 13–37. DOI: https://doi.org/10.1007/s10659- 008-9163-3 20. KalthoffJ. F., Winkler S. Failure mode transition at high rates of shear loading // International Conference on Impact Loading and Dynamic Behavior of Materials. 1987. pp. 185–195. Поступила 09.08.2022; доработана после рецензирования 23.10.2022; принята к публикации 23.11.2022 Поступила 09.08.2022; доработана после рецензирования 23.10.2022; принята к публикации 23 11 2022 Авторы прочитали и одобрили окончательный вариант рукописи. Конфликт интересов: авторы заявляют об отсутствии конфликта интересов. Авторы прочитали и одобрили окончательный вариант рукописи. Конфликт интересов: авторы заявляют об отсутствии конфликта интересов. References 1. S. A. Silling, “Reformulation of elasticity theory for discontinuities and long-range forces”, Journal of Mechanics and Physics of Solids, 48:1 (2000), 175–209. DOI: https://doi.org/10.1016/S0022-5096(99)00029-0 2. Handbook of Peridynamic Modeling, ed. S. A. Siling, P. H. Geubelle, J. T. Foster, F. Bobaru, CRC Press by Taylor and Francis Group, LLC, New York, 2017 DOI: https://doi.org/10.1201/9781315373331, 586 p. 3. E. Madenci, E. Oterkus, Peridynamic theory and its applications, 289, Springer, New York, 2014 DOI: https://doi.org/10.1007/978-1-4614-8465-3. 4. S. A. Siling, E. Askari, “A meshfree method based on the peridynamic model of solid mechanics”, Computers and Structures, 83 (2005), 1526–1535. DOI: https://doi.org/10.1016/J.COMPSTRUC.2004.11.026 5. D. Huang, C. Wang, G. Lu, P. Qiao, “An extended peridynamic approach for deformation and fracture analysis”, Engineering Fracture Mechanics, 141 (2015), 196–211. DOI: https://doi.org/10.1016/j.engfracmech.2015.04.036 6. D. Huang, G. Lu, P. Qiao, “An improved peridynamic approach for quasi-static elastic deformation and brittle fracture analysis”, International Journal of Mechanical Sciences, 8 (2015), 94–95. DOI: https://doi.org/10.1016/j.ijmecsci.2015.02.018 D. A. Shishkanov, M. V. Vetchinnikov, Yu. N. Deryugin. Peridynamics method for problems solve of solids . . . Журнал Средневолжского математического общества. 2022. Т. 24, №4. 467 7. S. A. Silling, M. Zimmermann, R. Abeyaratne, “Deformation of a peridynamic bar”, Journal of Elasticity, 17 (2003), 173–190. DOI: https://doi.org/10.1023/B:ELAS.0000029931.03844.4f 8. F. Bobaru, M. Yabg, L. F. Alves, S. A. Siling, E. Askari, J. Xu, “Convergence, adaptive refinement, and scaling in 1D peridynamics”, International Journal for Numerical Methods in Engineering, 77 (2009), 852–877. DOI: https://doi.org/10.1002/nme.2439 9. S. A. Silling, M. Epton, O. Weckner, J. Xu, E. Askari, “Peridynamic states and constitutive modeling”, Journal of Elasticity, 88 (2007), 151–184. DOI: https://doi.org/10.1007/s10659-007-9125-1 10. P. Seleson, D.J. Littlewood, “Convergence studies in meshfree peridynamic simulations”, Computers & Mathematics with Applications, 71:11 (2016), 2432–2448. DOI: https://doi.org/10.1016/j.camwa.2015.12.021 11. P. Seleson, M. Parks, “On the role of the influence function in the peridynamic theory”, International Journal for Multiscale Computational Engineering, 9:6 (2011), 689–706. DOI: https://doi.org/10.1615/IntJMultCompEng.2011002527 12. P. Seleson, “Connecting peridynamic models and coupling local and nonlocal systems : presentation at Mini-workshop: Mathematical Analysis for Peridynamics”, 2011, 79 p. 13. M. L. Parks, P. Seleson, S. J. Plimpton, R. B. Lehoucq, S. A. Siling, “Peridynamics with LAMMPS: A User Guide v0.2 Beta”, 2008, 28 p. 14. A. N. Anisimov, S. A. Grushin, B. L. Voronin, S. V. Kopkin, A. M. Yerofeev, D. A. Demin, M. A. Demina, M. V. Zdorova, M. V. Vetchinnikov, N. S. Ericheva, N. O. Kovalenko, I. A. Kryuchkov, A. G. А. Шишканов, М. В. Ветчинников, Ю. Н. Дерюгин. Метод перидинамики для решения задач . D. A. Shishkanov, M. V. Vetchinnikov, Yu. N. Deryugin. Peridynamics method for problems solve of solids . . . References Kechin, V. A. Degtyarev, “Certificate of state registration of the computer program No. 2010614974. A complex of molecular dynamic modeling programs (MoDyS).”, 2010 (In Russ.). 15. T. Qi, L. Shaofan, “Multiscale coupling of molecular dynamics and peridynamics”, Journal of the Mechanics and Physics of Solids, 95 (2016), 169–187. DOI: https://doi.org/10.1016/j.jmps.2016.05.032 16. M. L. Parks, R. B. Lehoucq, S. J. Plimpton, S.A. Silling, “Implementing peridynamics within a molecular dynamics code”, Computer Physics Communications, 179:11 (2008), 777–783. DOI: https://doi.org/10.1016/j.cpc.2008.06.011 17. A. M. John, S. A. Silling, D. J. Littlewood, “A position-aware linear solid constitutive model for peridynamics”, Journal of Mechanics of Materials and Structures, 10:5 (2015), 539–557. DOI: https://doi.org/10.2140/jomms.2015.10.539 18. J.A. Mitchell, “On the ‘DSF’ and the ‘dreaded surface effect’ : presentation at Workshop on Nonlocal Damage and Failure”, 2012, 18 p. 19. S. A. Silling, R. B. Lechoucq, “Convergence of peridynamics to classical elasticity theory”, Journal of Elasticity., 93 (2008), 13–37. DOI: https://doi.org/10.1007/s10659-008-9163-3 Zhurnal Srednevolzhskogo Matematicheskogo Obshchestva. 2022. Vol. 24, No. 4 468 20. J.F. Kalthoff, S. Winkler, “Failure mode transition at high rates of shear loading”, International Conference on Impact Loading and Dynamic Behavior of Materials, 1987, 185–195. Submitted 09.08.2022; Revised 23.10.2022; Accepted 23.11.2022 The authors have read and approved the final manuscript. C fli t f i t t Th th d l fli t f i t t The authors have read and approved the final manuscript. Conflict of interest: The authors declare no conflict of interest. pp fi p Conflict of interest: The authors declare no conflict of interest.
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Epigenetics for heat tolerance
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To cite this version: Anne Collin, Sarah-Anne David, Frederique Pitel, Benoit Piegu, Christelle Hennequet-Antier, et al.. Epigenetics for heat tolerance. Symposium CERSA Poultry Production under ho and humid climate conditions, Jun 2017, Lomé, Togo. ￿hal-01604665￿ Epigenetics for heat tolerance Anne Collin, Sarah-Anne David, Frederique Pitel, Benoit Piegu, Christelle Hennequet-Antier, Anais Carvalho, Thomas Loyau, Dzidzo Nyuiadzi, Celine Noirot, Yves Bigot, et al. HAL Id: hal-01604665 https://hal.science/hal-01604665v1 Submitted on 2 Jun 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 - ShareAlike 4.0 International License
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Evaluation of an outbred mouse model for Francisella tularensis vaccine development and testing
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Abstract Francisella tularensis (Ft) is a biothreat agent for which there is no FDA-approved human vaccine. Currently, there are substantial efforts underway to develop both vaccines and the tools to assess these vaccines. Tularemia laboratory research has historically relied primar- ily upon a small number of inbred mouse strains, but the utility of such findings to outbred animals may be limited. Specifically, C57BL/6 mice are more susceptible than BALB/c mice to Ft infection and less easily protected against challenge with highly virulent type A Ft. Thus, depending on the inbred mouse strain used, one could be misled as to which immuno- gen(s)/vaccine will ultimately be effective in an outbred human population. Accordingly, we evaluated an outbred Swiss Webster (SW) mouse model in direct comparison to a well- established, inbred C57BL/6 mouse model. Mucosal vaccination with the live, attenuated Ft LVS superoxide dismutase (sodB) mutant demonstrated significantly higher protection in outbred SW mice compared to inbred C57BL/6 mice against Ft SchuS4 respiratory chal- lenge. The protection observed in vaccinated outbred mice correlated with lower bacterial density, reduced tissue inflammation, and reduced levels of pro-inflammatory cytokine pro- duction. This protection was CD4+ and CD8+ T cell-dependent and characterized by lower titers of serum antibody (Ab) that qualitatively differed from vaccinated inbred mice. Francisella tularensis (Ft) is a biothreat agent for which there is no FDA-approved human vaccine. Currently, there are substantial efforts underway to develop both vaccines and the tools to assess these vaccines. Tularemia laboratory research has historically relied primar- ily upon a small number of inbred mouse strains, but the utility of such findings to outbred animals may be limited. Specifically, C57BL/6 mice are more susceptible than BALB/c mice to Ft infection and less easily protected against challenge with highly virulent type A Ft. Thus, depending on the inbred mouse strain used, one could be misled as to which immuno- gen(s)/vaccine will ultimately be effective in an outbred human population. Accordingly, we evaluated an outbred Swiss Webster (SW) mouse model in direct comparison to a well- established, inbred C57BL/6 mouse model. Mucosal vaccination with the live, attenuated Ft LVS superoxide dismutase (sodB) mutant demonstrated significantly higher protection in outbred SW mice compared to inbred C57BL/6 mice against Ft SchuS4 respiratory chal- lenge. The protection observed in vaccinated outbred mice correlated with lower bacterial density, reduced tissue inflammation, and reduced levels of pro-inflammatory cytokine pro- duction. RESEARCH ARTICLE Evaluation of an outbred mouse model for Francisella tularensis vaccine development and testing Raju Sunagar¤, Sudeep KumarID, Prachi Namjoshi, Sarah J. Rosa, Karsten R. O. HazlettID‡☯, Edmund J. GosselinID‡*☯ Department of Immunology & Microbial Disease, Albany Medical College, Albany, NY, United States of America Department of Immunology & Microbial Disease, Albany Medical College, Albany, NY, United States of America Department of Immunology & Microbial Disease, Albany Medical College, Albany, NY, United States of America ☯These authors contributed equally to this work. ¤ Current address: Ella Foundation, Genome Valley, Hyderabad, India ‡ These authors are senior authors on this work. * gossele@mail.amc.edu ☯These authors contributed equally to this work. ¤ Current address: Ella Foundation, Genome Valley, Hyderabad, India ‡ These authors are senior authors on this work. * gossele@mail.amc.edu a1111111111 a1111111111 a1111111111 a1111111111 a1111111111 OPEN ACCESS Citation: Sunagar R, Kumar S, Namjoshi P, Rosa SJ, Hazlett KRO, Gosselin EJ (2018) Evaluation of an outbred mouse model for Francisella tularensis vaccine development and testing. PLoS ONE 13 (12): e0207587. https://doi.org/10.1371/journal. pone.0207587 Editor: Ashlesh K. Murthy, Midwestern University, UNITED STATES Abstract This protection was CD4+ and CD8+ T cell-dependent and characterized by lower titers of serum antibody (Ab) that qualitatively differed from vaccinated inbred mice. Enhanced protection of vaccinated outbred mice correlated with early and robust production of IFN-γ and IL-17A. Neutralizing Ab administered at the time of challenge revealed that IFN-γ was central to this protection, while IL-17A neutralization did not alter bacterial burden or survival. The present study demonstrates the utility of the outbred mouse as an alterna- tive vaccination model for testing tularemia vaccines. Given the limited MHC repertoire in inbred mice, this outbred model is more analogous to the human in terms of immunological diversity. Introduction Abbreviations: Ft, F. tularensis; iFt, inactivated Ft; sodB, superoxide dismutase B; Ab, antibody; i.n., intranasal; i.d., intradermal; BALF, bronchial alveolar lavage fluid; MTD, median time to death; SW, Swiss Webster; S4, SchuS4; LVS, live vaccine strain; MHC, major histocompatibility complex; LDH, lactate dehydrogenase. Abbreviations: Ft, F. tularensis; iFt, inactivated Ft; sodB, superoxide dismutase B; Ab, antibody; i.n., intranasal; i.d., intradermal; BALF, bronchial alveolar lavage fluid; MTD, median time to death; SW, Swiss Webster; S4, SchuS4; LVS, live vaccine strain; MHC, major histocompatibility complex; LDH, lactate dehydrogenase. Francisella tularensis (Ft) is a gram negative intracellular pathogen and Tier 1 select agent [1– 3]. However, despite extensive research and investment over the last 15 years, there remains no FDA-approved vaccine. The murine model has been instrumental in uncovering immunological mechanisms that underlie protective or non-protective immune responses against various infectious pathogens including Ft. Inbred mouse strains are of interest as the majority of the vaccination and infec- tion studies are done using models such as C57BL/6 or BALB/c mice. Importantly however, the genetic background of the mice can have a significant impact on the response to vaccina- tion and challenge [4–7]. It has been demonstrated that C57BL/6 mice are less easily protected (compared to BALB/c mice) against virulent type A Ft challenge; this has been attributed to waning T cell immunity in C57BL/6 mice [8]. It has also been demonstrated that C57BL/6 mice favor the development of a Th2 phenotype rather than the more protective Th1 response in the lungs [4, 9]. Together, these findings suggest vaccinated C57BL/6 mice fail to develop a sufficiently protective immune response to subsequent Ft infection as compared to BALB/c mice. The differential susceptibility between inbred mouse strains is likely due in part to the very limited and differing MHC repertoire present in each specific mouse strain [10, 11] all of which could lead to erroneous conclusions regarding vaccine efficacy in outbred populations such as humans [12]. Successful vaccine development to Ft will also require analysis of vaccine efficacy in more genetically diverse animal models [13]. Specifically, the more heterogeneous immune responses in an outbred animal model are more likely to successfully predict vaccine efficacy for outbred humans. Improved protection in outbred versus inbred mice Editor: Ashlesh K. Murthy, Midwestern University, UNITED STATES Received: July 11, 2018 Accepted: November 3, 2018 Published: December 11, 2018 Copyright: © 2018 Sunagar 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 Sunagar 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. Enhanced protection of vaccinated outbred mice correlated with early and robust production of IFN-γ and IL-17A. Neutralizing Ab administered at the time of challenge revealed that IFN-γ was central to this protection, while IL-17A neutralization did not alter bacterial burden or survival. The present study demonstrates the utility of the outbred mouse as an alterna- tive vaccination model for testing tularemia vaccines. Given the limited MHC repertoire in inbred mice, this outbred model is more analogous to the human in terms of immunological diversity. Data Availability Statement: All relevant data are within the manuscript and its Supporting Information files. Funding: The National Institutes of Health (P01 AI056320 to EJG, RO1 AI100138 to EJG, and RO1 AI123129 to KROH) funded these studies but had no role in study design, data collection or the decision to publish this study. Competing interests: The authors have declared that no competing interests exist. 1 / 18 PLOS ONE | https://doi.org/10.1371/journal.pone.0207587 December 11, 2018 Introduction The latter is supported by the observations that an outbred mouse model of pneumonic plague, influenza and bacterial co-infection for example shows similar disease pathology to that observed in humans [14, 15], as well as the observation that pre-clinical modeling of the immune response seems most analogous to humans in the out- bred animals[16–18]. Regarding Ft however, there is a paucity of information on Ft vaccine development in outbred mouse models [19–22]. We initiated Ft vaccine studies using the outbred [Swiss Webster (SW)] model, which in a recent study of pneumonic plague pathology, showed similar pathology to that observed in humans [14]. When comparing immunity and protection against challenge in SW versus C57BL/6 mice, SW mice were more resistant to virulent Ft SchuS4 challenge and responded more favorably to vaccination. Furthermore, improved immunity generated in SW mice cor- related with lower inflammation and tissue damage and appeared dependent on CD4 and CD8 T cell responses. PLOS ONE | https://doi.org/10.1371/journal.pone.0207587 December 11, 2018 Mice Specific pathogen-free 6-to-8-week-old male and female C57BL/6 mice were from Taconic Farms (Hudson, NY). Male and female Swiss Webster Crl:CFW (SW) mice were from Charles River Laboratories, Inc. (Portage, MI). Survival studies included male and female mice (Fig 1A–1F), while remaining experiments were performed using female mice. Mice were housed in sterile microisolator cages in the animal biosafety level 2 (ABSL-2) and ABSL-3 facilities at the Albany Medical Center. The use of animals and protocols were approved by the Institu- tional Animal Care and Use Committee (IACUC) of Albany Medical College (Protocol Num- ber 17–09003 and 18–04003). Death is used as an endpoint, because euthanizing mice in a pre- morbid state could result in an incorrect interpretation of the studies, specifically as it applies PLOS ONE | https://doi.org/10.1371/journal.pone.0207587 December 11, 2018 2 / 18 Fig 1. Outbred SW mice exhibit superior protection against pulmonary tularemia induced mortality versus inbred C57BL/6 mice. SW and C57BL/6 male and female mice were primed and boosted i.n. on days 0 and 21 with 1500 ng of iFt-sodB or PBS prior to challenge i.n. on day 35 with 5 x LD50 of Ft LVS. Mice were monitored for survival (A) and weight-loss (B) for 30 d. For panels C-F, SW and C57BL/6male and female mice were vaccinated once i.n. with 1x103 CFU of attenuated Ft LVS sodB mutant (closed symbols) or PBS (open symbols). Mice were challenged i.n. with Ft SchuS4 on day 21(C, D, and E) or day 90 (F). Panels A, B, D and F represent one experiment containing 8 mice/group, while panels C & E are combined results from two independent experiments with a total of 16 mice/group. Actual challenge doses (CFU) are indicated for each experiment. p < 0.01 and p < 0.001. https://doi.org/10.1371/journal.pone.0207587.g001 Improved protection in outbred versus inbred mice Improved protection in outbred versus inbred mice Fig 1. Outbred SW mice exhibit superior protection against pulmonary tularemia induced mortality versus inbred C57BL/6 mice. SW and C57BL/6 male and female mice were primed and boosted i.n. on days 0 and 21 with 1500 ng of iFt-sodB or PBS prior to challenge i.n. on day 35 with 5 x LD50 of Ft LVS. Mice were monitored for survival (A) and weight-loss (B) for 30 d. For panels C-F, SW and C57BL/6male and female mice were vaccinated once i.n. Bacterial burden Following immunization and challenge, mice were euthanized at various times by i.p. injection of pentobarbital (Fort Dodge laboratories, IA). Lungs, and spleens were homogenized in PBS using a MiniBeadBeater-8 (BioSpec Products, Bartlesville, OK). Tissue homogenates and bronchoalveolar lavage fluid (BALF) were diluted 10-fold in sterile PBS and plated onto choco- late agar plates and incubated at 37˚C for 2–3 days. Bacteria Attenuated Ft LVS sodB, [superoxide dismutase B mutant [23]] was grown on BHI plates for 48 hr, Ft SchuS4 clpB [ClpB mutant [24]], Ft LVS, Ft SchuS4,were cultured aerobically at 37˚C on modified Mueller-Hinton (MH) or Brain-Heart Infusion (BHI) broth (Becton Dickinson, Sparks, Md) used for immunization and infection studies. Inactivated Ft (iFt) was generated as described [25]. Serum LDH and BALF total protein Serum concentrations of lactate dehydrogenase (LDH) were measured as described [26]. Total protein in BALF was measured via bicinchoninic acid (BCA) assay (Sigma-Aldrich, St. Louis, Missouri). Briefly, 25 μl of each standard or unknown sample were mixed with 200 μl of BCA reagent and incubated at 37˚C for 30 minutes and read at 562 nm. Fold changes were calcu- lated based on mean BALF protein or serum LDH concentrations from un-infected C57BL/6 or SW mice. Vaccination and challenge studies Mice were anesthetized as previously described [26]. For iFt LVS sodB vaccination, mice were immunized on day 0 and boosted on day 21 intranasally (i.n.) with either 20 μl of PBS or 1500 ng of iFt in 20 μl of PBS. On day 35 the animals were challenged i.n. with 1x104 CFU (5 x LD50) of Ft LVS. For live Ft vaccination, BHI grown Ft LVS sodB mutant (1 x 103 CFU) were administered i.n. in 20 μl of PBS on day 0 and mice were challenged i.n. with MHB-grown Ft SchuS4 (20–400 CFU) on day 21. In all cases, mice were monitored for survival 30 days post- challenge. Histopathology Whole lung tissue was excised and fixed in 10% neutral-buffered formalin. Fixed tissues were processed by standard histological procedures and 4μm-thick sections were cut and stained with hematoxylin and eosin (HE). Disease severity was assessed based upon cellular infiltra- tion, and necrosis of alveolar septa, Mice with 1x103 CFU of attenuated Ft LVS sodB mutant (closed symbols) or PBS (open symbols). Mice were challenged i.n. with Ft SchuS4 on day 21(C, D, and E) or day 90 (F). Panels A, B, D and F represent one experiment containing 8 mice/group, while panels C & E are combined results from two independent experiments with a total of 16 mice/group. Actual challenge doses (CFU) are indicated for each experiment. p < 0.01 and p < 0.001. PLOS ONE | https://doi.org/10.1371/journal.pone.0207587 December 11, 2018 3 / 18 Improved protection in outbred versus inbred mice to the efficacy of a particular vaccine. In short, it is possible pre-morbid mice may recover as a result of vaccination, if not sacrificed prematurely. In all experimental procedures, efforts were made to minimize pain and suffering. Ft-specific Ab levels Anti-Ft Ab production in response to immunization and/or Ft infection in immunized mice was measured through enzyme linked immunosorbent assay (ELISA). Briefly, ELISA plates were coated overnight at 4˚C with 50 μl/well of inactivated Ft SchuS4 [5x107 CFU/ml in car- bonate buffer [4.3g/l sodium bicarbonate and 5.3 g/l sodium carbonate (Sigma-Aldrich, St. Louis, Missouri) at pH 9.4]. Plates were then blocked at 4˚C for 2 hours with 200 μl/well of PBS containing 5% BSA and 0.02% sodium azide. Subsequently three-fold dilutions of sera (starting with 1:50) were added to the plates (50 μl/well) and incubated for 2 hours at 4˚C. After washing, alkaline phosphatase conjugated anti-mouse Ab specific for IgG, IgA (Sigma- Aldrich, St. Louis, Missouri), or IgG2c (Abcam, Cambridge, MA), were added and incubated for 1 hours at 4˚C. Following secondary Ab incubation and washing alkaline phosphatase sub- strate (Sigma-Aldrich, St. Louis, Missouri) of 100 μl/well was added and plates were read at 405 nm using microplate reader following a 5-second (sec) shake. SDS-PAGE and western blot analysis For western blot analysis, Ft LVS and Ft SchuS4 ΔClpB [24] were grown in BHI-broth. Whole cell samples containing 10 μg of Ft protein (~1 x 108 cells) were mixed with Laemmli sample buffer and boiled for 10 minutes prior to resolution through 4–12% gradient SDS-PAGE. Resolved samples were transferred to nitrocellulose membranes. Membrane sections were blocked and incubated with mouse sera overnight. Biotinylated goat anti-mouse IgG (H+L) secondary Ab followed by Streptavidin-conjugated HRP (Southern Biotech, Birmingham, AL) was used for detection. Development of the chemiluminescent substrate (Super Signal West Pico, Pierce, Rockford, IL) was visualized using a BioRad ChemiDoc Touch Imaging System. Cytokine quantification Tissue homogenates were obtained as indicated above when measuring bacterial burden. Supernatants were then collected and stored at -20˚C for cytokine analysis. Luminex assay was performed to determine in vivo cytokine levels of interferon-gamma (IFN-γ), interleukin-6 (IL-6), tumor necrosis factor-α (TNF-α), interleukin-17 (IL-17), interleukin-22 (IL-22), 4 / 18 PLOS ONE | https://doi.org/10.1371/journal.pone.0207587 December 11, 2018 Improved protection in outbred versus inbred mice interleukin-10 (IL-10), interleukin-12p40 (IL-12p40), and monocyte chemoattractant protein- 1 (MCP-1) to assess inflammation. interleukin-10 (IL-10), interleukin-12p40 (IL-12p40), and monocyte chemoattractant protein- 1 (MCP-1) to assess inflammation. In vivo T cell depletion and cytokine neutralization Vaccinated mice were treated i.p. with 500 μg of anti-CD4 (clone GK1.5; Bio X Cell, West Leb- anon, NH) or anti-CD8 (clone 53–6.7; Bio X Cell), or rat IgG2b (clone LTF-2) on days -4, -1, 2, 5, and 8 relative to Ft SchuS4 challenge [27]. Alternatively, mice were treated with anti-IFN- γ (clone XMG1.2) or anti-IL-17A (clone 17F3) on day’s -1, 1, 3, and 5 relative to Ft SchuS4 infection. Control groups received non-specific rat IgG2b (clone LTF-2) or mouse IgG1 (clone MOPC-21; Bio X Cell). Differential protection of outbred SW versus inbred C57BL/6 mice following vaccination Initially, we compared protection induced by iFt or live Ft LVS sodB immunogens, which have been shown to induce partial protection against Ft LVS [26] and virulent Ft SchuS4 challenge respectively [23]. All PBS-immunized C57BL/6 and SW mice succumb to Ft LVS infection with minor (2 d) differences in the mean time to death (MTD). However, a marked difference was observed among iFt-vaccinated mice. Specifically, we observed 100% protection for vacci- nated SW mice whereas only 33% of the vaccinated C57BL/6 mice survived and these dis- played increased weight loss (Fig 1A and 1B). We extended these studies to include challenge with virulent Ft SchuS4. Following vaccination with live Ft LVS sodB, in SW mice we observed 100% protection against 20 & 76 CFU Ft SchuS4, as opposed to 50% protection for inbred mice. Interestingly, unvaccinated SW mice challenged with low doses of Ft SchuS4 also exhib- ited increased (30%) survival versus C57BL/6 mice (Fig 1C). Further following 30 days post- challenge, Ft was detected in low numbers in the surviving naïve SW mice, confirming these mice were infected with Ft. Further, when we increased the challenge dose to 110 CFU, all PBS-immunized (outbred and inbred) along with sodB-immunized inbred mice succumbed to SchuS4 challenge while 94% of the vaccinated SW mice survived (Fig 1D). When the challenge dose was further increased to 309 & 396 CFU, all vaccinated inbred mice succumb to infection by day 15 (MTD of 12 days) while a 45%of the outbred mice survived (Fig 1E). To examine the durability of the protective response, we next delayed challenge until 9 weeks post-immuniza- tion. All vaccinated C57BL/6 mice succumb to infection by day 12 (MTD of 9.5 days), while 62% of the vaccinated outbred mice survived a 78 CFU Ft SchuS4 challenge (Fig 1F). Given our past finding that gender impacts protection following vaccination in C57BL/6 mice, we compared male and female outbred mice survival. However, in contrast to C57BL/6 inbred mice, the vaccinated SW outbred mice did not exhibit the gender differences in protection against Ft SchuS4 challenge (S1 Fig). Importantly, although some studies have examined how the gender differences in protection may be a reflection of limited MHC repertoire, such stud- ies are very limited and the details of this relationship remain unclear at this time. Never the less, studies have found a relationship between HLA repertoire and with disease outcome [28]. Differential protection of outbred SW versus inbred C57BL/6 mice following vaccination In addition, a very recent study has demonstrated sex bias in MHC I-associated shaping of the adaptive immune system in that the biological sex of an individual can influence the HLA- mediated T cell selection and expansion [29], which can ultimately influence T cell response and disease outcome. However, in contrast to C57BL/6 inbred mice, the vaccinated SW out- bred mice did not exhibit the gender differences in protection against Ft SchuS4 challenge, which suggests the differences we previously observed in inbred C57BL/6 mice may be a reflec- tion of their more limited MHC repertoire. Statistical analysis For each experiment, mouse group size was determined by a power analysis necessary to achieve at least an 80% power to detect a difference in immune responses when comparing 2 groups, if the true difference in means between the groups is at least 1.5. Power calculations are based on standard deviations obtained from the PI’s previous studies using similar meth- ods/animal models. Student’s t-test or two-way ANOVA with Mann-Whitney two-tailed test was used for statistical comparisons between groups. In the case of survival analysis, the Log- rank (Montel-Cox) test was used with a P value of < 0.05 considered significant. Statistical analysis and data compilation were using GraphPad prism (v6.0). 5 / 18 PLOS ONE | https://doi.org/10.1371/journal.pone.0207587 December 11, 2018 Improved protection in outbred versus inbred mice Vaccinated outbred SW mice are better protected against bacterial replication and tissue damage following Ft SchuS4 challenge These differences prompted us to examine bacterial replication and tissue damage following Ft SchuS4challenge. Although unvaccinated outbred mice showed extended MTD compared to unvaccinated inbred mice (Fig 1D), both groups exhibited similar bacterial burdens in the lungs and spleen (S2 Fig). Similarly, vaccinated outbred and inbred mice exhibited no differ- ence in bacterial burden in the lungs and BALF until >7 days post-challenge. However, by day 10, a ~500-fold reduction in Ft SchuS4 was observed in outbred versus inbred mice (Fig 2A and 2B) at a time when the vaccinated inbred mice began to die (Fig 1C–1F). Remarkably, the PLOS ONE | https://doi.org/10.1371/journal.pone.0207587 December 11, 2018 6 / 18 Fig 2. Outbred SW mice are better protected against bacterial replication and tissue damage following Ft SchuS4 challenge, as compared to that of inbred C57BL/6 mice. SW and C57BL/6 female mice were immunized i.n. with 1x103 CFU of attenuated Ft LVS sodB mutant. Mice were then challenged on day 21 i.n. with 94 CFU of Ft SchuS4. Lungs (A), BALF (B), and spleen (C) were analyzed for bacterial burdens on 1, 3, 7, 10, 14, and 21 days post-challenge. Each point represents the mean +/- SE of 3 mice sacrificed per time point, these data are representative of two independent experiment of total of six mice, p < 0.05, p < 0.01. Histology of lungs (HE, 400X) from naive and sodB-vaccinated mice prior to Ft SchuS4 challenge (day 0) and at day 10 post-infection are shown in panel (D). Inflammatory foci in the lungs are denoted by a star () and necrosis by an (!). BALF total protein levels (E) and serum LDH (F) were quantified on indicated days post-challenge. Each bar represents mean ± SE (error bar) of two independent experiments with a total of six mice per group, p < 0.05, p < 0.01 and p < 0.001. Data shown are representative of two independent experiments. All vaccinated inbred mice died, as indicated by C on the x-axis. https://doi.org/10.1371/journal.pone.0207587.g002 Improved protection in outbred versus inbred mice Improved protection in outbred versus inbred mice Fig 2. Outbred SW mice are better protected against bacterial replication and tissue damage following Ft SchuS4 challenge, as compared to that of inbred C57BL/6 mice. SW and C57BL/6 female mice were immunized i.n. with 1x103 CFU of attenuated Ft LVS sodB mutant. Mice were then challenged on day 21 i.n. Early and increased Th1/Th17-mediatedcytokine responses in outbred SW mice following Ft SchuS4 challenge Our previous studies demonstrated that protected mice display augmented levels of Th1 and Th17 cytokines at early time points following Ft challenge [25, 26, 30]. In this study, outbred mice that showed superior protection against Ft SchuS4 also demonstrated elevated levels of IFN-γ and IL-12p40 during early infection in lungs, BALF and spleen. Vaccinated outbred mice also produced higher levels of IL-17 and IL-22 on day 3 after Ft SchuS4 challenge (Fig 3A–3C). In contrast, inbred C57BL/6 mice displayed increased pro-inflammatory cytokines coupled with IL-10, on day 10 post-challenge, after which the majority of inbred mice succumb to infection (Fig 3D–3F). Inbred mice also displayed increased IL-10, which likely inhibits the production of Th1 cytokines [31]. Vaccinated outbred SW mice are better protected against bacterial replication and tissue damage following Ft SchuS4 challenge https://doi.org/10.1371/journal.pone.0207587.g002 7 / 18 PLOS ONE | https://doi.org/10.1371/journal.pone.0207587 December 11, 2018 Improved protection in outbred versus inbred mice spleens of vaccinated outbred mice displayed significantly lower bacterial loads throughout the infection regime, as compared to spleens of inbred mice (Fig 2C). Coincident with the rapid bacterial expansion on d 10, we observed severe lung inflammation associated with cellular infiltration and necrosis allied with protein flow into the BALF, signifying more severe tissue damage in the lungs of inbred mice (Fig 2D and 2E). Elevated serum LDH levels were also observed, suggesting more progressive disease and systemic inflammation in inbred mice (Fig 2F). Outbred SW mice exhibited rapid clearance of Ft LVS sodB mutant and a significantly lower Ab response Next, we considered the role of bacterial vaccine growth kinetics in the responses we observed. Following vaccination with the Ft LVS sodB mutant, bacterial numbers recovered from the lungs and spleen of outbred mice were significantly lower than those observed in the tissues of similarly immunized inbred mice (Fig 4A and 4B). Given that vaccinated outbred mice better survive mucosal Ft challenge we hypothesized that the Ab responses might also be distinct in outbred mice. Accordingly, we examined humoral immune responses in vaccinated mice. Remarkably, the Ab levels in outbred SW mice were 2–3 fold lower than that of inbred mice (Fig 4C), suggesting that, humoral immu- nity may not play a critical role in the increased protection observed in SW mice. However, further characterization of Ab responses by western blot analysis revealed marked qualitative differences in the serum Ab responses of inbred and outbred mice (Fig 4D). Specifically, vacci- nated inbred mice induced a prominent Ig response towards a ~45 kDa Ft protein conserved in Ft LVS and Ft SchuS4 that is largely unrecognized by sera from vaccinated outbred mice. In addition, an ~ 60 kDa protein appears to be preferentially (though not exclusively) recognized by serum Ab from outbred mice. Additional Ft Ags in the ~85–120 kDa range are recognized in both mouse strains albeit to differing degrees. In contrast to Ab response, the splenic T cell response in the outbred mice following wildtype Ft vaccination was comparable with inbred counterpart (S3 Fig). Vaccinated outbred SW mice are better protected against bacterial replication and tissue damage following Ft SchuS4 challenge with 94 CFU of Ft SchuS4. Lungs (A), BALF (B), and spleen (C) were analyzed for bacterial burdens on 1, 3, 7, 10, 14, and 21 days post-challenge. Each point represents the mean +/- SE of 3 mice sacrificed per time point, these data are representative of two independent experiment of total of six mice, p < 0.05, p < 0.01. Histology of lungs (HE, 400X) from naive and sodB-vaccinated mice prior to Ft SchuS4 challenge (day 0) and at day 10 post-infection are shown in panel (D). Inflammatory foci in the lungs are denoted by a star () and necrosis by an (!). BALF total protein levels (E) and serum LDH (F) were quantified on indicated days post-challenge. Each bar represents mean ± SE (error bar) of two independent experiments with a total of six mice per group, p < 0.05, p < 0.01 and p < 0.001. Data shown are representative of two independent experiments. All vaccinated inbred mice died, as indicated by C on the x-axis. Fig 2. Outbred SW mice are better protected against bacterial replication and tissue damage following Ft SchuS4 challenge, as compared to that of inbred C57BL/6 mice. SW and C57BL/6 female mice were immunized i.n. with 1x103 CFU of attenuated Ft LVS sodB mutant. Mice were then challenged on day 21 i.n. with 94 CFU of Ft SchuS4. Lungs (A), BALF (B), and spleen (C) were analyzed for bacterial burdens on 1, 3, 7, 10, 14, and 21 days post-challenge. Each point represents the mean +/- SE of 3 mice sacrificed per time point, these data are representative of two independent experiment of total of six mice, p < 0.05, p < 0.01. Histology of lungs (HE, 400X) from naive and sodB-vaccinated mice prior to Ft SchuS4 challenge (day 0) and at day 10 post-infection are shown in panel (D). Inflammatory foci in the lungs are denoted by a star () and necrosis by an (!). BALF total protein levels (E) and serum LDH (F) were quantified on indicated days post-challenge. Each bar represents mean ± SE (error bar) of two independent experiments with a total of six mice per group, p < 0.05, p < 0.01 and p < 0.001. Data shown are representative of two independent experiments. All vaccinated inbred mice died, as indicated by C on the x-axis. CD4+ and CD8+ T cells and IFN-γ are essential, whereas IL-17A plays a minimal role during lethal pulmonary Ft SchuS4 infection in outbred SW mice Having observed a lower Ab response in vaccinated outbred mice, we next examined the cell- mediated immune response in Ft vaccinated outbred and inbred mice. Notably both inbred and outbred mice generated similar number of splenic CD4 and CD8 T cells in response to Ft PLOS ONE | https://doi.org/10.1371/journal.pone.0207587 December 11, 2018 8 / 18 Improved protection in outbred versus inbred mice Improved protection in outbred versus inbred mice PLOS ONE | https://doi.org/10.1371/journal.pone.0207587 December 11, 2018 9 / 18 Improved protection in outbred versus inbred mice Fig 3. Early and strong Th1/Th17-mediated cytokine responses in outbred SW versus inbred C57BL/6mice were produced following Ft SchuS4 challenge. SW and C57BL/6 female mice were immunized and challenged as described in Fig 2. Lungs (A & D), BALF (B & E), and spleen (C & F) were then analyzed for the indicated cytokines on 1, 3, 7, 10, and 14 days post-challenge. Each point represents the average of 3 mice. Data shown are representative of two independent experiments. All vaccinated inbred mice died, as indicated by C on the x-axis, p < 0.05, p < 0.01 and p < 0.001. Fig 3. Early and strong Th1/Th17-mediated cytokine responses in outbred SW versus inbred C57BL/6mice were produced following Ft SchuS4 challenge. SW and C57BL/6 female mice were immunized and challenged as described in Fig 2. Lungs (A & D), BALF (B & E), and spleen (C & F) were then analyzed for the indicated cytokines on 1, 3, 7, 10, and 14 days post-challenge. Each point represents the average of 3 mice. Data shown are representative of two independent experiments. All vaccinated inbred mice died, as indicated by C on the x-axis, p < 0.05, p < 0.01 and p < 0.001. https://doi.org/10.1371/journal.pone.0207587.g003 https://doi.org/10.1371/journal.pone.0207587.g003 vaccination (S3 Fig). However, T cell depletion in outbred mice following Ft SchuS4 challenge demonstrated that sodB vaccinated outbred mice depleted of CD4+ T cells were highly suscep- tible to Ft SchuS4 infection with a MTD of 11 days. CD8+ T cell-depleted mice succumb to infection with a slightly longer MTD (15 days) and a slightly higher survival rate (Fig 5A). The latter CD8+ T-cell-independent protective immunity was eliminated when the experiment was repeated with a higher challenge dose (78 versus 194 CFU, respectively). CD4+ and CD8+ T cells and IFN-γ are essential, whereas IL-17A plays a minimal role during lethal pulmonary Ft SchuS4 infection in outbred SW mice Previous studies from our laboratory and others have also shown that vaccinated IFN-γ -/- and IFN-γ depleted inbred mice are highly susceptible to virulent Ft challenge, signifying IFN- γ importance in protective immunity to Ft infection [25, 32–34]. In contrast, the importance of IL-17A in protective immunity differs between non-virulent and virulent strains of Ft [35, 36]. Here we investigated if enhanced protection against Ft SchuS4 challenge in outbred SW mice could be abolished by IFN-γ or IL-17A neutralization. We found that in vivo blockade of INF-γ nullified the protection in vaccinated SW mice even with a substantially lower challenge dose (Fig 5B) and restored the bacterial load on day 5 to that naïve animals (Fig 5C). Precisely, we used two different (high and low) challenge doses to optimize our chances of detecting any differences due to cytokine depletion. In the case of IFN-γ depletion, regardless of challenge dose, the same result was observed in that all mice died mice against Ft emphasizing that IFN- γ is crucial for protective immunity in SW mice. In contrast, IL-17A neutralization had no sig- nificant impact on mortality or bacterial load, despite mice were challenged with higher infec- tion dose (Fig 5B and 5C). Specifically, in the case of IL-17A depletion, the case between experiments was similar in that regardless of challenge dose, susceptibility of immunized SW mice to Ft S4 challenge was not significantly altered, even at an approximately 8-fold higher challenge dose (316 CFU). PLOS ONE | https://doi.org/10.1371/journal.pone.0207587 December 11, 2018 Discussion Laboratory-adapted inbred mice have been used in the study of immunology and vaccine development for decades, but such responses are not always indicative of those of free-living, outbred animals such as humans. Comparison of the immune function of wild and laboratory mice has indicated that wild/outbred animals are more immunologically responsive, exhibit a more highly activated cellular immune system, yet also demonstrate a lower, more controlled cytokine response to pathogen-associated ligands compared to that of laboratory mice [37, 38]. Thus, in contrast to inbred rodent animal models in which breeding has been manipulated for the expression of a very limited MHC repertoire, it is reasonable to predict that use of out- bred species may be more predictive in the identification of protective vaccine antigens and immune responses for an outbred human population. Importantly, in this case, we chose an outbred mouse strain to model the immune response and protection following vaccination in an outbred population. We chose this model because we believe it is more likely to reflect the dynamic immune interactions and responses that would occur in the presence of multiple MHC haplotypes present in an outbred population. However, other published work has also indicated that such studies may be done using multi-strain, inbred mice, which can achieve statistical significance with fewer animals [39]. However, we initiated this study to further develop the outbred SW vaccine model and examine the level of protection in vaccinated out- bred SW mice versus inbred C57BL/6 mice. PLOS ONE | https://doi.org/10.1371/journal.pone.0207587 December 11, 2018 10 / 18 Improved protection in outbred versus inbred mice Fig 4. Outbred SW mice exhibited rapid clearance of Ft sodB mutant and significantly lower Ab re compared to that of inbred C57BL/6 mice. SW and C57BL/6 female mice were immunized as describ days 1, 3, 7, 10, 14, and 21 bacterial loads (CFUs) in lungs (A) and spleen (B) were evaluated. Each poin average of 3 mice sacrificed per time point, p < 0.05 and p < 0.001. Sera obtained 3 weeks post-imm were analyzed for Ft specific total Ab, IgG, IgA, and IgG2c titers by ELISA. Data are represented as the vaccinated and 4 unvaccinated mice per group) and are combined results from two independent exper Whole cell lysates of wild type Ft LVS and clpB-mutant SchuS4 grown in BHI broth were resolved by S Fig 4. PLOS ONE | https://doi.org/10.1371/journal.pone.0207587 December 11, 2018 Discussion Except for differences in the primary antibody, all the membranes shown were developed in parallel under identical conditions. p < 0.05, p < 0.01 and p < 0.001. transferred to a nitrocellulose membrane (D). Sections of the membrane, each containing one lane of LVS and one lane of SchuS4, were probed with one of the indicated 4 sera pools prior to chemiluminescent development. To account for the higher titer of specific Ab in the vaccinated, C57/BL6 mice (~500 vs ~250, Fig 4C), sera from SW mice were used in this case at a dilution of 1:1,000, whereas sera from the C57BL/6 mice were used at a dilution of 1:2,000. The ~18 kDa band visible in all lanes is an endogenously-biotinylated Ft protein (likely AccB) detected by the streptavidin-HRP conjugate used during development of western blots. Except for differences in the primary antibody, all the membranes shown were developed in parallel under identical conditions. p < 0.05, p < 0.01 and p < 0.001. https://doi.org/10.1371/journal.pone.0207587.g004 https://doi.org/10.1371/journal.pone.0207587.g004 We observed that in the case of primary i.n. Ft infection, outbred SW mice are slightly more resistant to tularemia than inbred C57BL/6 mice (Fig 1A–1C). In contrast, vaccinated outbred and inbred mice demonstrated a significant differential protection against both Ft LVS and Ft SchuS4 challenge. Specifically, in agreement with earlier observations [23, 25, 26], Fig 5. CD4+ and CD8+ T cells and IFN-γ are essential for surviving virulent Ft infection in outbred SW mice. SW female mice were immunized and challenged as described in Fig 2. Vaccinated mice were treated with anti-CD4+, anti-CD8+, or isotype control Ab on days -4, -1, 2, 5, and 8 relative to Ft SchuS4 infection and monitored for survival (A). Alternatively, mice were treated with anti-IFN-γ, anti-IL-17A, or isotype control Ab on days -1, 1, 3, and 5 relative to Ft SchuS4 infection and monitored for survival (B). Ft SchuS4 burdens in the lungs and spleens of naïve or vaccinated SW mice treated with depleting Ab specific for IFN-γ or IL-17A (n = 3 mice per group, day 5 post 40 CFU Ft SchuS4 in challenge) (C and D). Panels A & B represents combined results from two independent experiments with a total of 10 mice/ group, panel C is representative of two independent experiments. p < 0.05, p < 0.01, and p < 0.001. https://doi org/10 1371/journal pone 0207587 g005 Fig 5. Discussion Outbred SW mice exhibited rapid clearance of Ft sodB mutant and significantly lower Ab response compared to that of inbred C57BL/6 mice. SW and C57BL/6 female mice were immunized as described in Fig 2. On days 1, 3, 7, 10, 14, and 21 bacterial loads (CFUs) in lungs (A) and spleen (B) were evaluated. Each point represents the average of 3 mice sacrificed per time point, p < 0.05 and p < 0.001. Sera obtained 3 weeks post-immunization were analyzed for Ft specific total Ab, IgG, IgA, and IgG2c titers by ELISA. Data are represented as the mean ± SE (8 vaccinated and 4 unvaccinated mice per group) and are combined results from two independent experiments (C). Whole cell lysates of wild type Ft LVS and clpB-mutant SchuS4 grown in BHI broth were resolved by SDS-PAGE and Fig 4. Outbred SW mice exhibited rapid clearance of Ft sodB mutant and significantly lower Ab response compared to that of inbred C57BL/6 mice. SW and C57BL/6 female mice were immunized as described in Fig 2. On days 1, 3, 7, 10, 14, and 21 bacterial loads (CFUs) in lungs (A) and spleen (B) were evaluated. Each point represents the average of 3 mice sacrificed per time point, p < 0.05 and p < 0.001. Sera obtained 3 weeks post-immunization were analyzed for Ft specific total Ab, IgG, IgA, and IgG2c titers by ELISA. Data are represented as the mean ± SE (8 vaccinated and 4 unvaccinated mice per group) and are combined results from two independent experiments (C). Whole cell lysates of wild type Ft LVS and clpB-mutant SchuS4 grown in BHI broth were resolved by SDS-PAGE and PLOS ONE | https://doi.org/10.1371/journal.pone.0207587 December 11, 2018 11 / 18 Improved protection in outbred versus inbred mice transferred to a nitrocellulose membrane (D). Sections of the membrane, each containing one lane of LVS and one lane of SchuS4, were probed with one of the indicated 4 sera pools prior to chemiluminescent development. To account for the higher titer of specific Ab in the vaccinated, C57/BL6 mice (~500 vs ~250, Fig 4C), sera from SW mice were used in this case at a dilution of 1:1,000, whereas sera from the C57BL/6 mice were used at a dilution of 1:2,000. The ~18 kDa band visible in all lanes is an endogenously-biotinylated Ft protein (likely AccB) detected by the streptavidin-HRP conjugate used during development of western blots. https://doi.org/10.1371/journal.pone.0207587.g005 Discussion CD4+ and CD8+ T cells and IFN-γ are essential for surviving virulent Ft infection in outbred SW mice. SW female mice were immunized and challenged as described in Fig 2. Vaccinated mice were treated with anti-CD4+, anti-CD8+, or isotype control Ab on days -4, -1, 2, 5, and 8 relative to Ft SchuS4 infection and monitored for survival (A). Alternatively, mice were treated with anti-IFN-γ, anti-IL-17A, or isotype control Ab on days -1, 1, 3, and 5 relative to Ft SchuS4 infection and monitored for survival (B). Ft SchuS4 burdens in the lungs and spleens of naïve or vaccinated SW mice treated with depleting Ab specific for IFN-γ or IL-17A (n = 3 mice per group, day 5 post 40 CFU Ft SchuS4 in challenge) (C and D). Panels A & B represents combined results from two independent experiments with a total of 10 mice/ group, panel C is representative of two independent experiments. p < 0.05, p < 0.01, and p < 0.001. 12 / 18 PLOS ONE | https://doi.org/10.1371/journal.pone.0207587 December 11, 2018 Improved protection in outbred versus inbred mice mucosal vaccination using iFt or Ft LVS sodB in inbred mice induced moderate protection against Ft LVS or low dose Ft SchuS4 challenge, respectively (Fig 1A–1C), whereas no protec- tion was observed against high challenge dose infections (Fig 1D–1F). In contrast, iFt or live sodB vaccinated outbred mice showed complete protection against Ft LVS and SchuS4 chal- lenge, respectively. Furthermore, a single dose sodB immunization induced long lasting immu- nity against the highly virulent Ft SchuS4 strain 90 days post vaccination. This contrasts to earlier studies in which intradermal Ft vaccination failed to protect outbred SW mice against virulent Ft strain #33 systemic challenge [21]. There may be a number of potential explana- tions for this dichotomy, they include: differences in vaccine administration, the vaccination regime, variations in the immune response to wildtype versus sodB mutant vaccine, or differ- ential immunological requirements for protection against intradermal versus intranasal Ft SchuS4 challenge. Extensive additional research will be required to identify the exact cause for this difference. The reduced susceptibility of vaccinated outbred mice to Ft SchuS4 infection correlates with reduced weight loss, lower pathogen burden, and less tissue inflammation following Ft SchuS4 challenge. Specifically, C57BL/6 inbred mice displayed, increased weight loss, robust expansion of Ft, and increased tissue inflammation in the lungs versus SW mice (Fig 2A–2D). Discussion Ft SchuS4 expansion in the lungs of inbred mice at day 10 correlated with heightened cytokine responses and severe tissue damage suggesting that uncontrolled bacterial growth coincides with a lethal acute inflammatory response [40]. The severe tissue inflammation was also reflected in increased serum LDH and BALF total protein levels (Fig 2E and 2F). This is consis- tent with the idea that pulmonary infections causes more severe tissue damage in C57BL/6 inbred mice making them more susceptible to a lethal infection [41]. We further observed that outbred mice displayed effective clearance of Ft SchuS4 in the spleens from the early time point demonstrating strong protective immunity generated in peripheral organs in vaccinated outbred mice, as has also been observed in BALB/C mice [42]. Taken together, the earlier/ more potent splenic immune response (IFN-γ and TNF) in SW mice may also explain why SW mice are better protected. We have previously demonstrated that mice protected against Ft via vaccination display increased Th1 (IL-12 and IFN-γ) cytokines early in infection [25, 26, 30]. Similar cytokine pat- terns were also observed in vaccinated outbred SW mice, which were coupled with a robust production of IL-17A and IL-22 cytokines (Fig 3A–3C). Outbred mice also displayed signifi- cantly less IL-6, MCP-1, and TNF-α expression throughout infection. Interestingly, the afore- mentioned cytokines, which are indicators of systemic inflammation, illness, and sepsis [43], were elevated substantially in inbred mice (Fig 3D–3F). Inbred mice also displayed increased IL-10, which tends to inhibit production of IL-12 and other Th1 cytokines including IFN-γ and IL-2 [31]. This implies that C57BL/6 mice favor the development of a Th2 phenotype in the lung versus the more protective Th1 response [4, 9]. The analysis of Th2 cytokines and their relationship to survival (beyond correlation) is currently an active area of investigation in our laboratory. The role of humoral immunity in protection against Ft remains controversial. Specifically, humoral immunity alone has been shown to be protective against Ft LVS infection, but not against virulent Ft S4 infection, which requires both humoral and cellular immune responses [23, 25, 44, 45]. In this study, well-protected outbred SW mice exhibited lower Ab levels com- pared to their inbred counterparts and this Ab also differed qualitatively to that of inbred C57BL/6 mice (Fig 4C and 4D). PLOS ONE | https://doi.org/10.1371/journal.pone.0207587 December 11, 2018 Discussion Thus, although quantitative differences in Ab levels between outbred and inbred mice suggest Ab is not central to protection of the outbred SW mice, quali- tative differences could still play an important role. 13 / 18 PLOS ONE | https://doi.org/10.1371/journal.pone.0207587 December 11, 2018 Improved protection in outbred versus inbred mice Fig 6. A schematic representation of tularemia pathogenesis in vaccinated inbred C57Bl/6 versus outbred SW Mice. Vaccinated outbred SW and inbred C57BL/6 mice handle the progression and outcome of tularemia disease in different ways. Vaccinated SW mice in comparison to C57BL/6 mice engage early Th1 and Th17 cytokines, along with controlled production of pro-inflammatory cytokines with reduced inflammation. Whereas vaccinated C57BL/6 mice displayed robust expansion of Ft Schus4 with severe lung inflammation associated with cellular infiltration and necrosis allied with protein flow into the BALF, signifying more severe tissue damage in the lungs. Fig 6. A schematic representation of tularemia pathogenesis in vaccinated inbred C57Bl/6 versus outbred SW Mice. Vaccinated outbred SW and inbred C57BL/6 mice handle the progression and outcome of tularemia disease in different ways. Vaccinated SW mice in comparison to C57BL/6 mice engage early Th1 and Th17 cytokines, along with controlled production of pro-inflammatory cytokines with reduced inflammation. Whereas vaccinated C57BL/6 mice displayed robust expansion of Ft Schus4 with severe lung inflammation associated with cellular infiltration and necrosis allied with protein flow into the BALF, signifying more severe tissue damage in the lungs. Fig 6. A schematic representation of tularemia pathogenesis in vaccinated inbred C57Bl/6 versus outbred SW Mice. Vaccinated outbred SW and inbred C57BL/6 mice handle the progression and outcome of tularemia disease in different ways. Vaccinated SW mice in comparison to C57BL/6 mice engage early Th1 and Th17 cytokines, along with controlled production of pro-inflammatory cytokines with reduced inflammation. Whereas vaccinated C57BL/6 mice displayed robust expansion of Ft Schus4 with severe lung inflammation associated with cellular infiltration and necrosis allied with protein flow into the BALF, signifying more severe tissue damage in the lungs. https://doi.org/10.1371/journal.pone.0207587.g006 We further hypothesized that the increased protection against Ft SchuS4 in outbred SW mice could be T cell-mediated, as has been demonstrated in inbred mouse models [23, 27, 33]. When we examined the cell-mediated immune response following Ft vaccination both inbred and outbred mice generated similar number of splenic CD4 and CD8 T cells (S3 Fig). Discussion Never- theless, depletion of CD4+ and CD8+ T cells abolished protection against Ft SchuS4 challenge in vaccinated outbred SW mice (Fig 5A). CD4+ T cell-depleted mice were more susceptible to Ft SchuS4 challenge than CD8+ T cell-depleted mice, implying CD4+ T cells play the crucial role in vaccine-induced protection in SW mice as demonstrated for C57BL/6mice [27]. We further hypothesized that the increased protection against Ft SchuS4 in outbred SW mice could be T cell-mediated, as has been demonstrated in inbred mouse models [23, 27, 33]. When we examined the cell-mediated immune response following Ft vaccination both inbred and outbred mice generated similar number of splenic CD4 and CD8 T cells (S3 Fig). Never- theless, depletion of CD4+ and CD8+ T cells abolished protection against Ft SchuS4 challenge in vaccinated outbred SW mice (Fig 5A). CD4+ T cell-depleted mice were more susceptible to Ft SchuS4 challenge than CD8+ T cell-depleted mice, implying CD4+ T cells play the crucial role in vaccine-induced protection in SW mice as demonstrated for C57BL/6mice [27]. The significance of IFN-γ in protective immunity to Ft infection is well established in inbred BALB/c and C57BL/6 mice [25, 33, 34]. Consistent with this, IFN-γ depletion in vacci- nated outbred mice exhibited heightened sensitivity to Ft S4 infection (Fig 5B and 5C) signify- ing an important role in protection against Ft SchuS4 infection in SW mice as well. In contrast, IL-17A neutralization did not alter the susceptibility of immunized outbred mice to Ft SchuS4 challenge, which is in general agreement with earlier mice studies, although the sig- nificance of IL-17A in protective immunity differs between LVS and SchuS4 [34–36, 46]. In summary, we demonstrate the use of an outbred mouse model in Ft vaccine studies. Our results also suggest that both outbred SW and inbred C57BL/6 mice handle the progression and outcome of tularemia disease in different ways, suggesting that host genotypes play a The significance of IFN-γ in protective immunity to Ft infection is well established in inbred BALB/c and C57BL/6 mice [25, 33, 34]. Consistent with this, IFN-γ depletion in vacci- nated outbred mice exhibited heightened sensitivity to Ft S4 infection (Fig 5B and 5C) signify- ing an important role in protection against Ft SchuS4 infection in SW mice as well. PLOS ONE | https://doi.org/10.1371/journal.pone.0207587 December 11, 2018 Discussion In contrast, IL-17A neutralization did not alter the susceptibility of immunized outbred mice to Ft SchuS4 challenge, which is in general agreement with earlier mice studies, although the sig- nificance of IL-17A in protective immunity differs between LVS and SchuS4 [34–36, 46]. In summary, we demonstrate the use of an outbred mouse model in Ft vaccine studies. Our results also suggest that both outbred SW and inbred C57BL/6 mice handle the progression and outcome of tularemia disease in different ways, suggesting that host genotypes play a PLOS ONE | https://doi.org/10.1371/journal.pone.0207587 December 11, 2018 14 / 18 Improved protection in outbred versus inbred mice major role in the outcome of tularemia infection (Fig 6). Interestingly, the protective immune responses in outbred SW mice were similar to that of inbred BALB/c mice suggesting both mouse strains could serve as models for Ft vaccine development, the latter being particularly valuable when requiring knockout mice. As discussed, an alternative approach to broadening the genetic diversity within the mouse model for vaccine development also could include designed multi-strain, inbred studies, which can achieve statistical significance with fewer ani- mals than outbred studies [39]. However, these studies also suggest, given the lethality of Ft SchuS4 to inbred mouse strains and the MHC diversity of SW mice, that the ability to vacci- nate and challenge outbred SW mice with higher Ft SchuS4 doses in the context of a more diverse MHC repertoire may provide significant advantages in terms of dosing and efficacy studies to that of Balb/c mice. The use of an outbred mouse model to study Ft vaccine efficacy is likely more predictive of protective potential for an outbred human population. Acknowledgments We thank Gregory Hurteau and the CIMD Immunology Core Facility for technical assistance and the Animal Care Facility at Albany Medical College for expert technical assistance during this work. Supporting information S1 Fig. Outbred SW male and female mice are equally protected against respiratory Ft SchuS4 challenge. SW and C57BL/6 male and female mice were immunized i.n. with 1x103 CFU of attenuated Ft LVS sodB mutant mice were then challenged i.n. with 146 CFU of Ft SchuS4 on day 21 and monitored for survival for 30 days. (TIF) S2 Fig. Bacterial burdens in the lungs of vaccinated, outbred mice following SchuS4 chal- lenge are lower than those of inbred mice. SW and C57BL/6 female mice were immunized i. n. with 1x103 CFU of attenuated Ft LVS sodB mutant. Mice were then challenged on day 21 i. n. with 42 CFU of Ft SchuS4. Lungs (A) and spleen (B) were analyzed for bacterial burdens on 5 days post-challenge. Each point represents the mean +/- SE of 3 mice sacrificed per time point, these data are representative of two independent experiment of total of six mice. (TIF) S3 Fig. The splenic T cell response in the outbred mice following wildtype Ft vaccination was comparable with inbred counterpart. SW and C57BL/6 female mice were immunized i. n. with 1x103 CFU of attenuated Ft LVS sodB mutant. Single-cell suspensions of splenocytes from SW and C57BL/6 female mice (n = 3) were generated. Cells were counted and then stained for surface expression of CD4, CD8 and analyzed by FACS. Total splenocyte counts (A) and absolute cell counts of CD4+ and CD8+ cells percentage were determined (B). Data are representative of two independent experiments. (TIF) References 1. Harris S. Japanese biological warfare research on humans: a case study of microbiology and ethics. 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https://ccsenet.org/journal/index.php/cis/article/download/0/0/41620/43440
English
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A Context-Aware and Self-Adaptation Strategy for Cloud Service Selection and Configuration in Run-Time
Computer and information science
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Abstract Day after day, the number of mobile applications deployed on cloud computing continues in increasing because of smartphone capabilities improvement. Cloud computing has already succeeded in the web-based application, for that reason, the demand for context-aware services provided by cloud computing increases. To customize a cloud service that takes into account the consumer requirements, which depend on information change, it brings to light many recent challenges to cloud computing about environment-aware, location-aware, time-aware. The cloud provider, moreover, has to manage personalized applications and the constraints of mobile devices in matters of interaction abilities and communication restrictions. This paper proposes a strategy for selecting automatically an appropriate cloud environment that runs out whole requirements, defines a configuration for the associated cloud environment and able to easily adapt to the change of the environment on either the user or the cloud side or both. This process builds on the principles of dynamic software product lines, Agent-oriented software engineering, and the MAPE-k model to select and configure cloud environments according to the consumer needs and the context change. Keywords: autonomic system, cloud computing, context-aware system, dynamic software product line, multi-agent system, variability management Asmae Benali1& Bouchra El Asri1 1 IMS Team, ADMIR Lab, ENSIAS, Rabat IT Center, Mohammed V University in Rabat, Morocco Correspondence: Asmae Benali, IMS Team, ADMIR Lab, ENSIAS, Rabat IT Center, Mohammed V University in Rabat, Morocco. Asmae Benali1& Bouchra El Asri1 1 IMS Team, ADMIR Lab, ENSIAS, Rabat IT Center, Mohammed V University in Rabat, Morocco Correspondence: Asmae Benali, IMS Team, ADMIR Lab, ENSIAS, Rabat IT Center, Mohammed V University in Rabat, Morocco. Accepted: December 10, 2019 Online Published: December 20, 2019 URL: https://doi.org/10.5539/cis.v13n1p10 Received: November 19, 2019 doi:10.5539/cis.v13n1p10 Computer and Information Science; Vol. 13, No. 1; 2020 ISSN 1913-8989 E-ISSN 1913-8997 Published by Canadian Center of Science and Education Computer and Information Science; Vol. 13, No. 1; 2020 ISSN 1913-8989 E-ISSN 1913-8997 Published by Canadian Center of Science and Education 2. Background and Motivations In this section, we present briefly DSPLs in literature. Moreover, we describe the basics of the feature model, which is used to model respectively the variability and to generate the reconfiguration plan. 2.1 Dynamic Software Product Line (Clements & Northrop, 2002) defines SPL as “a set of software-intensive systems sharing a common, managed a set of features that satisfy the specific needs of a particular market segment or mission and that are developed from a common set of core assets in a prescribed way.” DSPL is a method that moves the product line engineering process to the runtime phase. It addresses runtime configurations which are directed by variability specifications, ensuring that system adaptations meet the specified requirements. Indeed, a DSPL is a unique system that is talented to adapt its behavior at runtime whereas the SPL engineering process acts only at design time, generating several products of the same family. The SPL and DSPL contain a set of common and managed elements known as features (Clements & Northrop, 2002). The variability model contains a set of variable characteristics that make a product different from the others. Therefore, the SPLs processes generate products by choosing specific values and attributes from the variable features mentioned in the model. 1. Introduction and the MAPE-k model to help its user to personalize the selection and configuration of cloud services according to their needs and their context. Product line engineering is a popular and widely used technology in the industry (Clements & Northrop, 2002). The fundamental principle of this approach is the reuse of the basic product components and structures and apply planned variabilities to derive various product families. The use of product line engineering approach for product development has attained several benefits in productivity, quality, time, cost (Van der Linden, Schmid, & Rommes, 2007). An essential issue for the success of SPLs is variability management (Clements & Northrop, 2002). It is represented through variation points and variants. In the SPL artifact, a variation point represents a design decision, where each variation point is related to a set of variants, i.e., alternatives. The proposed approach uses dynamic software product lines to assure the reliability of these selection and configuration processes. It leverages also the feature model to present cloud variability and to use environment configuration files. This framework will be managed autonomously using innovative concepts of self-management. A Multi-Agent System (MAS) is a set of agents that collaborate and interact with their environment, due to the agent's autonomy, reactivity and mobility (Dinesh Kumar & Ashwin, 2012). It can represent the domain information and to execute necessary action to arrive at particularized goals. Multi-agent technologies provide an effective approach for scalable and open systems that are changed dynamically. Through this work we try to response to the following research questions: Q1: How can cloud services take the consumer context change into account? Q2: How can automate dynamically the the variabily management of cloud services? Q3: How can cloud services context-aware at run-time? The article is structured as follows: Section 2 presents a brief overview of the background used throughout the paper. Motivation and the approach overview are presented in Section 3. Section 4 shows the case study of our approach consisting in deploying a mobile cloud service for Diabetes Management. In section 5, Related work is discussed. Our conclusions and perspectives are described in Section 6 1. Introduction In the cloud-computing model, IT resources are provided as services, which are divided into two service models. A model is a service that is usually denoted by X (XaaS or * aaS), as X represents a layer where there is a service as infrastructure form (IaaS) and another as platform form (PaaS) (Armbrust et al., 2016). At the IaaS level, all the software stack running inside the virtual machine must be configured as well as anything that concerns the infrastructure: number of virtual machines, amount of resources, database configuration, etc. Regarding the platforms provided by PaaS, the configuration concerns only the software that makes up the platform, application ie; application server, database, libraries, etc. Thus, the cloud offers many configuration choices, so that the is deployed and the runtime environments are configurable. As a result of the large gamut of resources at different functionality levels, developers must deal with the variability of the cloud environment at the application deployment. Therefore, Cloud Computing is considered as a runtime adaptive system which can dynamically change their services, regarding user requirements changes. the system and user context are considered as inputs to adjust their behavior to the current status of users (for example, contextual activity). Cloud computing has new challenges when it asks for information about the user's environment in terms of location, device detection, and custom applications that are timed to respond to, for example, mobile device constraints, interaction capabilities, resources and communication constraints. Selecting an appropriate cloud environment and managing its variability, in the execution phase, induces errors in the configuration phase or complex configuration results which are generally made in an ad hoc manner. Based on the findings of the research areas presented in the precedent section, we have introduced this approach. It was established to automatically select an appropriate cloud environment that fits requirements and to determine a configuration for the cloud environment associated, which can be adapted easily to the change of the environment (client and/or cloud side). We aim to develop a context-aware process for automated and self-management cloud service selection and configuration based on the principles of dynamic software product lines, agents-oriented software engineering 10 10 Computer and Information Science Vol. 13, No. 1; 2020 http://cis.ccsenet.org and the MAPE-k model to help its user to personalize the selection and configuration of cloud services according to their needs and their context.  Challenge 1. Find a suitable environment Cloud developers have always to find the cloud providers that affords, despite of the context change in the execution time, all the features required to satisfy the consumer requirements and to run the user application correctly, like the appropriate database and the virtual machine with at least 3GB of RAM, which is considered as a non-functional requirement. 2.2 Feature Models Feature diagrams were introduced firstly in the Feature-Oriented Domain Analysis (FODA) method. (Kang, Cohen, Hess, Novak, & Peterson, 1990) define a Feature Model as “a way to represent the information of all possible configurations for a specific product that can be built. The features are organized hierarchically in a diagram in the form of a tree, where it contains a root element, and any feature can have sub-features, as well as constraints, usually inclusion or exclusion”. Figure 1 exposes an example of a partial feature diagram of an IaaS. A feature diagram is composed of the tree root or concept (IaaS), and its subfeatures showing mandatory, e.g. (OS), optional, e.g. (IDE), and alternative features (Linux, Windows). The relations (edges) between features (nodes) can be: AND, XOR and OPTIONAL relationships. 11 Vol. 13, No. 1; 2020 Computer and Information Science http://cis.ccsenet.org Figure 1. Example of a Feature Model Figure 1. Example of a Feature Model Figure 1. Example of a Feature Model 2.3 MAPE-K Reference Model 2.3 MAPE-K Reference Model The MAPE-K reference model (Monitor, Analyze, Plan, Execute and Knowledge) is the most influential The MAPE-K reference model (Monitor, Analyze, Plan, Execute and Knowledge) is the most influential feedback control model for self-adaptive systems (Kephart & Chess, 2003). The Monitor phase permits the collection of information from the software and the runtime environment. It bases on sensors to collect pertinent data. As a result, the plan recognizes a set of modifications to apply to meet the requirements and the manner to make this change. The result of this stage is called an adaptation plan, which uses an auto-configuration and self-optimization technique. The Analyze phase merges the collected data and the historical data to verify if the requirements are fulfilled or not. In the negative case, it results in a need for adaptation; where the analyze phase demands the Plan phase to build the adaptation plane. This later consists of finding a relevant decision to adapt the software via different algorithms and rules. Ultimately, the Execute phase applies the adaptation plan using effectors to change the concerning element. 3. Motivation and Approach Overview This section presents the motivation for our work. It discusses the challenges to surmount for context-aware cloud service selection and configuration at run-time. Then, an overview of our approach was introduced at the end of this section. 3.1 Challenges The cloud developers have to manage, during the application deployment, a wide range of configurable resources among usable cloud environments. Besides, they must satisfy the customer need and at the same time maximize the profit of the cloud broker. The process goal is to provide a solution to manage the variability of the cloud and user context at the design-time and runtime. Furthermore, the approach has to select and configure autonomously the cloud environment to adapt its context and the context of user change. The following challenges were identified, which the proposed framework must take into consideration, to achieve these objectives:  Challenge 2. Find a valid configuration The variability management of the cloud and the user environment is a complex and error-prone task because of the multiple configuration choices which are usually made in an ad hoc manner. Besides that, Developers have not a global view of how a cloud environment is configured. That's why there is a height probability of inconsistencies occurrence between cloud services during the application running. Also, not taking into account 12 12 Computer and Information Science Vol. 13, No. 1; 2020 http://cis.ccsenet.org the variability of the consumer environment when configuring a cloud service can cause client dissatisfaction and SLA violations. Hence, this second challenge was taken up to find a correct cloud configuration while ensuring the fulfillment of the required features.  Challenge 5. Keep track of the configuration Experimentally, the storage of trace entries on configurations furnishes information for a posteriori analysis. It extends from context conditions to configuration plans. Experimentally, the storage of trace entries on configurations furnishes information for a posteriori analysis. It extends from context conditions to configuration plans. 3.2 Our Approach  Challenge 3. Optimize the configuration The customers and providers of the cloud have to establish a Service Level Agreement (SLA) to define the quality of service (QoS). The main goal of cloud providers is the cost minimization and the improvement of the customer satisfaction level (CSL).  Challenge 4. Guarantee the correct configuration After finding the optimal configuration that is appropriate for the required functionalities and non-functionality exigences, developers have to avoid errors during the set-up of the configuration files and scripts to make sure to obtain the correct configuration of the cloud environment.  Challenge 5. Keep track of the configuration 3.2 Our Approach This section presents our proposed Method as depicted in Figure 2. Our approach is based on the agent-based method to gather information from both the consumer and the cloud environment and also interact for processing tasks. The most systems deployed on cloud computing are autonomous, context-aware, with big data information, interactive and have to provide flexible and customized user services. Agents used in this work precisely to handle the context change at the execution phase and to automatize the selection and configuration process for the cloud providers. Figure 2. Approach Overview Figure 2. Approach Overview 13 Computer and Information Science Vol. 13, No. 1; 2020 http://cis.ccsenet.org Besides, we use the feature model approach for variability management by presenting characteristics of the cloud and the consumer environment as features. Moreover, our method provides support for selecting and configuring context-aware cloud services at design and runtime phase by covering the steps of the MAPE-K loop: Knowledge. The Consumer agent is responsible for interacting and collecting the requirements and the context data of the consumer. It defines the set of characteristics and the cloud service requirements from a graphical user interface. Besides, the consumer agent gathers the information that can be influenced by the continuous change of consumer context using sensors. Afterword, a set of pre-processing data mining techniques are applicated to the data saved in the Consumer knowledge base, such remove unnecessary and duplicate information to reduce the data size before sending it to the cloud and prepare it for the processing step. These data represent dynamic variation points, OCL constraints, software architecture, and resource information. Each Agent in our approach has its proper capabilities Knowledge to cooperate with the other agents and to connect to its environment. The provider service agents can interact through the different cloud layers. In this work, the agents interact between us basing on Jade ACL message Structure. As already indicated that the cloud architecture is composed of three different layers, for that reason each layer has its agents who are different from the agents of other layers. Agents, in the IaaS layer, have the role to provide by the basic information about the cloud resources. In the PaaS layer, agents are responsible for the deployment and execution environments programs that are used to implement the application. 3.2 Our Approach Concerning the last layer, SaaS layer, the agents optimize the utilization of the applications mentioned as services and maintain the QoS. Monitor. The consumer agent, in this phase, takes into charge the providing the agent manager by consumer context change and the evolution of the availability of some resources, such as the memory, the battery level. Analyze. When a contextual change occurs, the cloud must analyze the relationship between this change and the dynamic variation points when configuring the requested services. So, the runtime environment must be monitored to detect contextual changes that might affect the cloud service configuration. Plan. The manager agent uses the consumer knowledge base and the cloud knowledge base fulfilled respectively by the consumer agents and the provider services agents. The cloud knowledge base contains cloud services reification and cloud features which may be, resources, constraints, etc. The agents used in this work are proactive, intelligent and have goals. Therefore, we propose to use goals to select and represent requirements and the various objectives that the cloud service should realize. The approach uses the goal-oriented analysis model for modeling and reasoning about the variability model. The connection between these two models is made using the mapping, as depicted in Figure 3, that connects each feature or requirement to a goal that defines the cloud environment. The agent manager has all the information about the commonalities and variability of a particular cloud environment, so it can define the cloud environment features model. Our approach is based especially on extended FM with cardinalities, attributes, and constraints. Indeed, the manager agent selects the required cloud services that meet the functional and non-functional requirements of the consumer demand, for example, the MySql database application for a request for cloud storage. The features associated with the items selected in the goal model are selected in the different feature models if they are provided by the cloud environment. For example, the Mysql feature will be selected in all feature models. After the reconfiguration of the service, the agent manager keeps track of the configuration in the reusable database. Storing trace entries on reconfigurations in the context of the experiment provides information for a posteriori analysis, which ranges from context conditions to reconfiguration plans. 3.2 Our Approach Once a cloud environment has been selected and configured, the cloud-related engine is launched to derive the configuration files and associated scripts, for example, a set of configuration commands to execute. Execute. Although the configuration files are required for proper configuration of the cloud environment, configuration scripts must be run by the agent manager to configure the environment. 3.3 Metamodels and Mapping Rules 3.3 Metamodels and Mapping Rules Our approach utilizes an extended version of FM with cardinalities and attributes which permit the specification 14 Computer and Information Science Vol. 13, No. 1; 2020 http://cis.ccsenet.org of constraints (Czarnecki, Helsen, & Eisenecker, 2004). This version offers an enhanced semantic expressiveness and it consequently enables more performance. Also, our approach adopts the feature model approach to express the variability of the cloud and the user environment. The cloud knowledge base and the consumer knowledge base were introduced as feature models, where features are elements of the base. of constraints (Czarnecki, Helsen, & Eisenecker, 2004). This version offers an enhanced semantic expressiveness and it consequently enables more performance. Also, our approach adopts the feature model approach to express the variability of the cloud and the user environment. The cloud knowledge base and the consumer knowledge base were introduced as feature models, where features are elements of the base. Figure 3. Metamodels Relationship Figure 3. Metamodels Relationship The manager agent is responsible for selectiong and configuring the features models of the cloud services using the mapping relationship between the goal model and feature model which must conform to their metamodels (Figure 4). Figure 4. Approach metamodel Figure 4. Approach metamodel 4. Case Study We consider a motivating example for mobile cloud services for Diabetes Management. Diabetes is viewed, referring to the World Health Organization, as an incurable disease that affects 194 million people worldwide (Hamdan, 2011). It reaches epidemic proportions (Gan, 2003) in developing and newly industrialized nations. These high percentages are the result of the wrong management of diabetes and the poor quality of the existing offered services. Diabetes needs an efficient and self-management service that is patient context-aware and interactive to every change in the patient data to keep it under continual and regular control. The service should provide the patient with his diabetes measurement, guide him in case of an increase or decrease of blood glucose level, save the patient records, reminds the patient about check-ups medication time and date. We conduct a case study of applying the proposed approach to the domain of Mobile-Cloud Management service 15 15 Computer and Information Science Vol. 13, No. 1; 2020 http://cis.ccsenet.org for diabetes with a Mobile Internet Device, which can provide the current location and information of the patient. The monitored context defines the current state of User(patient) Preference, the Device Context, and Situational Context. patient preference defines specific preference settings, particularly those have a relation with services selection and invocation. The Device Context represents the environmental settings and configurations of the patient’s device. Figure 5. selection and configuration of the cloud service “Glucose Measurement” Figure 5. selection and configuration of the cloud service “Glucose Measurement” According to the Situational Context, it contains a set of monitored data and information related to the user’s location, level of Blood Glucose measurement, time, current lifestyle, weight, temperature, and others. The manager agent (Brocker agent) configures the ''Glucose measurement'' service basing on the goal model (Figure 3) provided by the consumer agent in the monitor phase of the MAPE-K mode. To achieve goals, agents are created Based on the goal model presented by the identification and specification of their plans. In the Plan phase, the goal model and Feature model are linked using a mapping basing on an Agent Definition Files (ADF) which is an XML File (Figure 4) that declares static agent properties. In our example, to measure the glucose level of the patient, the manager agent needs a set of information from the consumer agent, like patient data, location, temperature, and other information about the device such as the device energy. 4. Case Study The potential of mobile offloading mainly depends on mobile network technologies such as WIFI and cellular. However, data transmission using the WIFI network requires a considerable amount of energy from the mobile device as opposed to the cellular network. In the Analyze phase, when the battery level, for example, becomes low at run-time, the manager agent reconfigures the service by deselecting the feature 'SaveHistoricDoc' for not saving the historic documents on the cloud. 16 Vol. 13, No. 1; 2020 Computer and Information Science http://cis.ccsenet.org Figure 6. ADF file for “find_Device_Resources” agent Figure 6. ADF file for “find_Device_Resources” agent 5. Related Work We examine, in this section, different approaches that treat the deployment of applications in cloud environments. Then we compare, in table 2, these approaches to define their limits. The comparison is based on common characteristics shared by the studied approaches.  Approach A: (Multi-Agent for monitoring cloud resources) (Alwada & Falah, 2018) presents an architecture based multi-agent system that is used by cloud computing to select the best resources and to create a negotiation method among the cloud consumers and the cloud providers.  Approach A: (Multi-Agent for monitoring cloud resources) (Alwada & Falah, 2018) presents an architecture based multi-agent system that is used by cloud computing to select the best resources and to create a negotiation method among the cloud consumers and the cloud providers.  Approach B: (Infrastructure migration to the cloud) (García-Galán, Trinidad, Rana, & Ruiz-Cortés, 2016) addresses the problem of selecting the most suitable configuration among the configurations space provided by proposing an application based on FM. The approach was implemented and compared to two well-known business tools (Amazon TCO and CHloudScreener). However, for the moment, it can only handle the Amazon EC2 configuration space.  Approach C: (selecting and configuring cloud environments) (Quinton, Romero, & Duchien, 2014) proposes SALOON, a software product lines-based platform to handle the variability of cloud providers and the resources at the configuration and deployment stage. They based on features models to represent this variability. This approach treats the variability only in the design phase and doesn’t take into consideration the context changes at the runtime.  Approach D: (Configuring Cloud Robotics Applications) (Gherardi, Hunziker, & Mohanarajah, 2014) explored the use of Extended Feature Models (EFMs) to provide support for the design and configuration of robotic applications when migrating to a cloud environment. The Models can be automatically transformed into XML and JSON configuration files offering support for the application migration to the cloud. However, they did not handle constraints when several robots share the same cloud components. Moreover, the feature selection was done with a manual manner resulting in a complex and error-prone task. 17 Computer and Information Science Vol. 13, No. 1; 2020 http://cis.ccsenet.org e 2. A Comparative Study on Variability Management Approaches for Cloud Services Selection Table 2. A Comparative Study on Variability Management Approaches for Cloud Services Selection 6. Conclusion In this work, the dynamic software product line approach and the multi-agent systems with the help of the MAPE-K reference model were introduced to provide support for dynamically selecting and configuring cloud environments for context-aware systems. This support takes into account the continuous change of consumer context and the system to adapt dynamically the reconfiguration of the cloud environment. Indeed, it reconfigures the cloud service at runtime to meet the consumer requirements that change in real-time (example insufficiency of a resource). The agent-oriented goal model and feature model are used to automatize the selection of the cloud service that meets the consumer requirements at the design and execution phase. The approach relies on the cloud and consumer knowledge model that contains all required data, attributes, and constraints on both environments provided by the agents. In our work, the use of a knowledge metamodel is motivated by the need to support the sharing of the knowledge base and reuse of knowledge by different consumers and even by other clouds. Mapping rules between the goal model and the feature model were adopted to allow an automated configuration of the different FMs. Indeed, the proposed approach permits an autonomy reconfiguration according to the context change. In progress, we intend to extend our approach to take into account the FM evolution with attributes and cardinalities. Indeed, the feature models with SPL evolve overtime (Sampaio, Borba, & Teixeira, 2019) to deal with the cloud market that evolves continuously. Consequently, it may occur inconsistencies between values defined and features cardinalities. In addition, we plane to employ our approach in other case studies to provide further evaluation of it. Armbrust, M., Fox, A., Griffith, R., Joseph, D. A., Katz, H. R., Konwinski, A., … Zaharia, M. (2016). Above the clouds: a Berkeley view of cloud computing. Technical Report No. UCB/ EECS-2009-28, University of California, Berkley. P., & Northrop, L. (2002). Software product lines: practices and patterns. 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Automated configuration support for infrastructure migration to the cloud. Future Generation Computer Systems, 55, 200-212. https://doi.org/10.1016/j.future.2015.03.006 Gherardi, L., Hunziker, D., & Mohanarajah, G. (2014). A software product line approach for configuring cloud robotics applications. In 2014 IEEE 7th International Conference on Cloud Computing, IEEE, 745-752. https://doi.org/10.1109/CLOUD.2014.104 Hamdan, S. (2011). Rapid Increase of Diabetes Strains Middle East’s Health Agencies. New York Times, The International Herald Tribune Section. Kang, K. C., Cohen, S. G., Hess, J. A., Novak, W. E., & Peterson, A. S. (1990). Feature-oriented domain analysis (FODA) feasibility study. Technical Report No. CMU/SEI-90-TR-21. Carnegie-Mellon Univ Pittsburgh Pa Software Engineering Inst. Kephart, J. O., & Chess, D. M. (2003). The vision of autonomic computing. IEEE Computer, 36(1), 41-50. https://doi.org/10.1109/MC.2003.1160055 Quinton, C., Romero, D., & Duchien, L. (2014). 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Reading: Addison-Wesley, 18 Vol. 13, No. 1; 2020 Computer and Information Science http://cis.ccsenet.org Copyrights y g yright for this article is retained by the author(s), with first publication rights granted to the journal. py g Copyright for this article is retained by the author(s), with first publication rights granted to the journal. This is an open-access article distributed under the terms and conditions of the Creative Commons Attribution Copyright for this article is retained by the author(s), with first publication rights granted to the journal. This is an open-access article distributed under the terms and conditions of the Creative Commons Attribution license (http://creativecommons.org/licenses/by/4.0/). open-access article distributed under the terms and conditions of the Creative Commons Attribution p://creativecommons.org/licenses/by/4.0/). 19
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Demographic patterns of the tropical baitfish Spratelloides delicatulus (Order: Clupeiformes) across the Great Barrier Reef shelf and at multiple latitudes
Environmental biology of fishes
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ERROR: type should be string, got "https://doi.org/10.1007/s10641-022-01246-4\nEnviron Biol Fish (2022) 105:461–476 https://doi.org/10.1007/s10641-022-01246-4\nEnviron Biol Fish (2022) 105:461–476 Demographic patterns of the tropical baitfish Spratelloides \ndelicatulus (Order: Clupeiformes) across the Great Barrier \nReef shelf and at multiple latitudes Reproductive development indicated \na size-based relationship. Males and females matured \nat similar sizes ranging from 36–38 mm, but fish from \nsouthern sites were 30–40 days older. Tropical clupei-\nforms live fast and die young, and patterns of abun-\ndance, composition and demography followed strong \nenvironmental gradients which conformed to some \nexisting models. least 9 months. Reproductive development indicated \na size-based relationship. Males and females matured \nat similar sizes ranging from 36–38 mm, but fish from \nsouthern sites were 30–40 days older. Tropical clupei-\nforms live fast and die young, and patterns of abun-\ndance, composition and demography followed strong \nenvironmental gradients which conformed to some \nexisting models. Keywords  Baitfish · Tropical Clupeiformes · \nOtolith · Latitudinal growth theory · Spratelloides · \nDelicate round herring Demographic patterns of the tropical baitfish Spratelloides \ndelicatulus (Order: Clupeiformes) across the Great Barrier \nReef shelf and at multiple latitudes Michael J. Kingsford   · \nKynan Hartog‑Burnett   · Emma J. Woodcock Received: 30 August 2021 / Accepted: 23 March 2022 \n© The Author(s) 2022\n/ Published online: 25 April 2022 Abstract  Clupeiformes are the most important \nfood fish in the world, and provide a key trophic \nlink in marine food chains. Here we describe broad \nscale patterns of clupeiform demographic charac-\nteristics of the delicate round herring sprat Spratel-\nloides delicatulus on the Great Barrier Reef (GBR). Sampling was conducted over 10° of latitude and two \nseasons at multiple distances across the GBR shelf. The oldest S. delicatulus sampled was 152 days and \nthe maximum standard length was 74 mm. Age and \nlength maxima increased with latitude conforming \nwith ‘counter gradient theory’ and these patterns \nwere consistent between years. von Bertalanffy rela-\ntionships showed that growth rates were highest at \nNorthern GBR sites; growth coefficients ranged from \n2–6  K  ­year−1, and were lowest on southern reefs, \ni.e. ‘tropical gradient of growth’. Daily survivorship \nranged from 91–97% ­day−1 at all sites. Hatching \ndates estimated from counts of daily otolith incre-\nments indicated a prolonged spawning season of at \nSupplementary Information  The online version \ncontains supplementary material available at https://​doi.​\norg/​10.​1007/​s10641-​022-​01246-4. M. J. Kingsford (*) · K. Hartog‑Burnett \nARC Centre of Excellence for Coral Reef Studies, JCU, \nTownsville, QLD 4811, Australia\ne-mail: Michael.kingsford@jcu.edu.au\nM. J. Kingsford · K. Hartog‑Burnett · E. J. Woodcock \nCollege of Science and Engineering, JCU, Townsville, \nQLD 4811, Australia Abstract  Clupeiformes are the most important \nfood fish in the world, and provide a key trophic \nlink in marine food chains. Here we describe broad \nscale patterns of clupeiform demographic charac-\nteristics of the delicate round herring sprat Spratel-\nloides delicatulus on the Great Barrier Reef (GBR). Sampling was conducted over 10° of latitude and two \nseasons at multiple distances across the GBR shelf. The oldest S. delicatulus sampled was 152 days and \nthe maximum standard length was 74 mm. Age and \nlength maxima increased with latitude conforming \nwith ‘counter gradient theory’ and these patterns \nwere consistent between years. von Bertalanffy rela-\ntionships showed that growth rates were highest at \nNorthern GBR sites; growth coefficients ranged from \n2–6  K  ­year−1, and were lowest on southern reefs, \ni.e. ‘tropical gradient of growth’. Daily survivorship \nranged from 91–97% ­day−1 at all sites. Hatching \ndates estimated from counts of daily otolith incre-\nments indicated a prolonged spawning season of at least 9 months. Introduction Temperate clupeiforms such as sardines, menha-\nden and herring provide some of the most abundant \nand valuable fisheries in the world (Gulland 1971). While tropical clupeiforms are not as valuable in \nlarge-scale fisheries, they sustain important artisa-\nnal fisheries along the equatorial Pacific and play \nan equally important role in the oceanic food chain. Clupeiforms worldwide provide a critical link in \nfood webs, maintaining the connection between the \nplankton and larger nekton. ‘Bait balls’ of schooling \nclupeiforms attract commercially important preda-\ntory fishes, oceanic birds and fishers alike (Cappo \nand Kelley 2001). It is well known that mortality \nrates of early life history stages of marine fishes \nare extremely high (Bailey and Houde 1989). For Supplementary Information  The online version \ncontains supplementary material available at https://​doi.​\norg/​10.​1007/​s10641-​022-​01246-4. Supplementary Information  The online version \ncontains supplementary material available at https://​doi.​\norg/​10.​1007/​s10641-​022-​01246-4. M. J. Kingsford (*) · K. Hartog‑Burnett \nARC Centre of Excellence for Coral Reef Studies, JCU, \nTownsville, QLD 4811, Australia\ne-mail: Michael.kingsford@jcu.edu.au M. J. Kingsford (*) · K. Hartog‑Burnett \nARC Centre of Excellence for Coral Reef Studies, JCU, \nTownsville, QLD 4811, Australia\ne-mail: Michael.kingsford@jcu.edu.au M. J. Kingsford · K. Hartog‑Burnett · E. J. Woodcock \nCollege of Science and Engineering, JCU, Townsville, \nQLD 4811, Australia M. J. Kingsford · K. Hartog‑Burnett · E. J. Woodcock \nCollege of Science and Engineering, JCU, Townsville, \nQLD 4811, Australia ol.: (011 123456789)\n3 123456789)\n3 Environ Biol Fish (2022) 105:461–476 462 climate change (Walther et al. 2002; Perry et al. 2005; \nMunday et al. 2008).fi tropical clupeiforms, however, a high mortality \nrate can extend throughout an individual’s life. The \navailable data suggests that tropical baitfish seldom \nlive for more than 5 months and become reproduc-\ntively viable at an early stage (Milton et  al. 1991, \n1993). Differences in the growth characteristics of fishes \nare influenced by temperature, food availability, \npredator and prey abundance (Jones 1986; Meekan \net al. 2003). Strong biological patterns and variation \nin physical factors both with latitude and across the \nGBR exist. Potential physical factors of influence \ninclude freshwater input, turbidity, temperature, abun-\ndance of planktonic food and upwelling (Wolanski \n2001; Fabricius et al. 2005; Udy et al. 2005). These \nfactors can influence the demography of a species \namong mesopopulations within a metapopulation. Abundance and growth of many fishes are known to \nvary across the GBR shelf (Williams 1982; Williams \nand Hatcher 1983; Williams et al. 1988; Gust et al. Introduction 2001; Kingsford and Hughes 2005; Kingsford et al. 2019), but there are few data on clupeiforms. The Great Barrier Reef spans ~ 2000 km along the \neast coast of Australia and consists of a diverse range \nof habitats including thousands of individual coral \nreefs that extend over 14° of latitude. Tropical fishes \nof the Order Clupeiformes are common baitfishes \nassociated with reefs. Existing studies on the demog-\nraphy of these fishes are relatively rare and cover \neither small spatial scales or very broad spatial scales \nthat do not consider environmental variation at spa-\ntial scales of less than tens to thousands of kilometres \n(Milton et al. 1991; Hatakeyama et al. 2005; Meekan \net al. 2006; Durieux et al. 2009). Furthermore, tropi-\ncal age-based demographic studies are few compared \nto those in temperate regions (Green et al. 2009) and, \ntherefore, form a weak basis for a tropical paradigm.i It was hypothesized that the demographic charac-\nteristics of S. delicatulus would vary across and along \nthe GBR. The broad objective of this study was to \ncompare age, growth, reproductive development and \nmeasures of instantaneous daily mortality and survi-\nvorship of the delicate round herring sprat (Spratel-\nloides delicatulus) across the GBR and at multiple \nlatitudes (from 14 to 23.8° S). p\np\ng\nPatterns of fish growth, and how they vary with \nlatitude, have been described and a number of casual \nmodels have been proposed. Inverse relationships \nbetween temperature and growth rate (i.e. ‘tropi-\ncal gradient’ of growth) have been described for reef \nfishes (Choat and Robertson 2002; Meekan et  al. 2003; Robertson et al. 2005) and fish larvae (Houde \n1989; Wilson and Meekan 2002). The opposite pat-\ntern of growth rate increasing with temperature (i.e. ‘counter gradient’) has been described for other \nfishes by some authors. For example, contrasting pat-\nterns for two species of Sebastes were observed; one \nof which showed a counter gradient in growth with \nlatitude and the other showed no difference in growth \nwith latitude (Boehlert and Kappenman 1980). Coun-\nter gradient trends in growth of Morone saxatalis \nhave been demonstrated experimentally (Conover \net  al. 1997). Furthermore, the genetic capacity for \ngrowth in this study was inversely related to length \nof the growing season and there was a strong positive \ncorrelation with growth and latitude of origin. Lon-\ngevity may also vary with latitude. Introduction In a review, it was \nconcluded that life span varies with temperature in a \nwide range of ectotherms, and there is also no pattern \nwith latitude if the effect of temperature is removed \n(Munch and Salinas 2009). A thorough understanding \nof these types of patterns has taken on new relevance \nwith changing temperature regimes brought about by Study sites and sampling design Study sites and sampling design Samples of clupeiforms were collected over 10° of \nlatitude on the GBR during the summer of 2009 \nto 2010. Additional samples were collected at One \nTree Island in winter of 2010 and at Lizard Island \nin winter of 2011. The focus of winter samples was \nto determine age max at different times of the year \nat the two latitudinal extremes of the study area, \nso only fish > 40 mm SL were aged. In summer of \n2009–2010, fish were collected at four latitudinal \ntransects of the GBR (Fig. 1). Water temperatures \nbetween L1 and L4 have been documented to differ \nby about 2 °C in summer and 4 °C in winter (King-\nsford et al. 2019). Temperatures measured at L1 to \nL4 in summers of 2009 to 2010 using a CTD ranged \nbetween 29.4 and 26.4  °C and the water columns \nwere well mixed (10–20 m deep). Additional sam-\nples for histological gonad analysis were collected 1 \nVol:. 3\n(1234567890) 463 Environ Biol Fish (2022) 105:461–476 Fig. 1   Map of the four \nlatitudinal transects off the \nQueensland coast, Great \nBarrier Reef, Australia. Containing 15 sites \ndistributed by strata inner, \nmid, and outer from the \nmainland (an example of \ndistance strata is provided \nin the inset). Specific \nsample sites at each latitude \nlisted in Table 1\n(L1)\n(L2)\n(L3)\n(L4) (L3) This time window of collection was consistent at all \nreefs.i This time window of collection was consistent at all \nreefs.i from the Capricorn Bunker and Lizard Island lati-\ntudes in summer of 2014–2015. In the summer of 2009 to 2010 and within each \nlatitudinal transect, samples were collected near \nreefs at inner, mid and outer shelf strata (except \nat the Capricorn Bunker latitude where only outer \nshelf sites were present). Care was taken to ensure \nthese traps were separated by sufficient distance \n(> 500  m) to maintain independence. Where pos-\nsible, two sites within a cross shelf distance were \nsampled, and this occurred at the mid-shelf distance \nfor the Lizard transect and the mid-shelf distance \nof the Cairns transect; n = 2 replicate traps per site \n(sites see Table 1). Fish were captured using light \ntraps (12  V, 8  W Fluoro tube), which fished at a \ndepth of approximately 1.5 to 2 m, in water columns \nof 10–15 m deep at each site. Study sites and sampling design The fish were fed wild zooplankton caught \ndaily with a 100-µm mesh net and were sacrificed \nafter either 3 or 10  days in the tank and stored in \nethanol. were counted under a compound microscope at \n400 × to 1000 × with transmitted light and immersion \noil. Digital images of otoliths were taken and pro-\ncessed using the Leica Application Suite (LAS), or \ncounts were made directly while viewing under the \nmicroscope. The sagittae of a small number of fish \nthat were less than 20 mm SL were mounted and read \nwhole.i Counts were made from the first clear increment, \nclosest to the primordium, and outwards along the \nlongest (ventral) axis of the otolith section. Counts of \nincrements were made separately without knowledge \nof fish length and slides were examined in random \norder. Each otolith was counted twice with a mini-\nmum of 48 h between each count. The quality control \ncriteria for age data were if sequential reads revealed \na > 5% age error then a third count was conducted. Any otoliths with continuing age discrepancy among \nreads were removed from further analysis. This \nmethod is accepted among fish biologists to give the Study sites and sampling design Collections of fish for \nmeasurements of size and age were from traps that \nfished for 3 to 4 h, depending on ease of pick up. Samples of fish were preserved immediately upon \ncapture in 80% ethanol to prevent dissolution of oto-\nliths. Voucher specimens were also sorted from traps \nto be stored in 10% formalin for later identification. Because it was possible that light traps would not \nsample largest fish, additional fish samples were col-\nlected at night from the boat for age-based analyses, \nusing 1000 W underwater lights and hand nets where \npossible.fi Validation of daily rings is notoriously difficult \nfor these fishes. Previous studies have validated daily \nrings for a total of four individual Spratelloides gra-\ncilis and 15 S. robustus over a maximum of 29 days \n(Milton et al. 1991; Rogers et al. 2003). In an experi-\nment to validate daily sagittal increments, S. delicatu-\nlus caught in light traps at One Tree Island Research \nStation were placed in a 10-L aerated container with 1 \nol.: (01 3\n123456789) 3\n123456789) Environ Biol Fish (2022) 105:461–476 464 Table 1   Study sites \nsampled during the summer \nof 2009 to 2010 (S), winter \nsamples (W) were collected \nin 2010 at One Tree Island \nand Lizard Island in 2011. Additional samples were \ncollected in 2014–2015 \n(*) at L1 and L4 were \nonly used for the study on \nmaturation\nLatitude\nDistance \n(cross \nshelf)\nSeason code Dates sampled\nSite name\nDistance \nfrom shore \n(km)\nL1 Lizard\nInner\nS\n14/12/2009\nLow Wooded\n12.3\nMid\nS\n17/12/2009\nRocky Islets B\n17.2\nS\nW\n16/12/2009\n1–8/06/2011\nLizard Island\n33\nOuter\nS\n15/12/2009\nYonge Reef\n57.9\nNorth Direction\n34.5\n*\n10/12/2014\nHicks Reef\n49.9\n*\n11/12/2014\nReef 14–149\n30.0\n*\n12/12/2014\nRibbon Reef 4\n50.8\nL2 Cairns\nInner\nS\n3/01/2010\nFitzroy Island\n6.8\nMid\nS\n4/01/2010\nGreen Island\n25.4\nS\n5/01/2010\nArlington Reef\n36.3\nOuter\nS\n6/01/2010\nMichaelmas Reef 43.4\nL3 Palms\nInner\nS\n9/02/2010\nOrpheus Island\n18.8\nMid\nS\n10/02/2010\nBritomart Reef\n51.8\nOuter\nS\n11/02/2010\nPith Reef\n80.4\nL4 Capricorn \nBunker \nGroup\nOuter\nS\nW\n*\n12 to 27/01/2010\n8–10-2010\n23 & 24/01/2015\nOne Tree\nOutside\nLagoon\nLagoon\n83.7\nS\n20/01/2010\nHeron Island\n78.3\nS\n*\n21 & 22/01/2010\n25/01/2015\nFitzroy Reef\n86.9\n*\n31/01/2015\nWistari Reef\n75.1 0.25 g ­L−1 tetracycline-treated seawater for 12 h. Sur-\nviving fish were then removed from the treatment \nand transferred to a 1000-L holding tank containing \nseawater. Table 1   Study sites \nsampled during the summer \nof 2009 to 2010 (S), winter \nsamples (W) were collected \nin 2010 at One Tree Island \nand Lizard Island in 2011. \nAdditional samples were \ncollected in 2014–2015 \n(*) at L1 and L4 were \nonly used for the study on \nmaturation Reproductive analysis Samples of S. delicatulus were collected for histo-\nlogical analysis of reproductive development at two \nlatitudes separated by over 1000  km in the Austral \nsummer of 2014–2015. Within each latitude, three \nouter reefs were sampled using light traps as per the \nprevious sampling. Once collected, individual fish \nwere selected at random, measured in length (SL) and \ntransversally cut with the posterior two-thirds pre-\nserved in 10% formalin to preserve the gonads. Two \nhundred samples were stained with hematoxylin and \neosin using standard techniques. A  minimum of 10 \nlongitudinal sections per fish were examined under a \nlight microscope and the relative percentage area of \neach stage of gametogenesis was used to define the \nreproductive stage, according to Milton and Blaber \n(1991) and Hatakeyama et  al. (2005). Mature fish \nwere defined as stage III or greater, with stages I and \nII individuals pooled as ‘immature’ and sexed where \npossible. A minimum of 30 ova were required for \nanalysis in females while males required the presence \nof at least 100 μm2 of male spermatogenic tissue. Data were based on 16 indeterminate fish, 25 imma-\nture females, 33 immature males, 63 mature males \nand 62 mature females, with a total of 100 fish from \neach of the Lizard (L1) and Capricorn Bunker (L4) \nregions. The distribution of lengths in samples from \nthe Lizard and Capricorn Bunker regions was similar \nwith means (± SE) of 42 ± 0.6 mm and 41 ± 0.7 mm, \nrespectively. Sex ratios of differentiated individuals \nwithin each latitude were tested for differences from \na 1:1 ratio of males to females using a two-tailed, \ntwo sample Z-tests of proportions. A single sample \nZ-test was used on individuals from both latitudes to \ntest overall if there was a difference in male to female \nratios. Comparisons of maturity and size were per-\nformed by fitting binomial logistic models in R using \nthe package ‘glm’ with the following factors: standard \nlength, region and sex. Only individuals which were \nable to be differentiated were used in this analysis and \nindividuals classified as mature were coded as 1 and \nimmature coded as 0 (Ruiz-Abierno et al. 2021). The \ndata were checked for assumptions by q-q plots, dis-\npersion and outlier tests in the package ‘DHARMa’ Analysis of growth age was estimated from counts \nof daily increments in sagittal otoliths of S. delica-\ntulus. Otolith processing Sagittal otoliths were dissected from each fish and \nstored in Eppendorf tubes. A sagittal otolith from \neach fish was then embedded in Crystal Bond (a ther-\nmoplastic glue) with the primordium located close to \nthe edge of the slide. The otolith was ground using \n3 µm lapping film on a grinding wheel down to the \nedge of the slide. The half otolith was then up-righted \nand fixed to the centre of another glass slide, and pol-\nished down to leave a thin transverse section contain-\ning the primordium (20–40  µm thick). Increments 1 \nVol:. 465 Environ Biol Fish (2022) 105:461–476 from 250 simulations. The data were then fitted using \na logit link function (Table S2, Eq. 1), which scored a \nbetter goodness of fit score (AIC score) than the alter-\nnative probit and complimentary log–log link func-\ntions when validating the model. The model used was \nselected by stepwise deletion of factors from the max-\nimal model (Boulcott and Wright 2008). To deter-\nmine the effect a change of a single unit in a param-\neter had on the probability of a fish being mature, the \ncoefficients were back transformed by calculating \ntheir exponential as an odds ratio. A  quasi-R2 was \ncalculated as per Table S2 Eq. 2 and the size at which \nan individual had a 50% chance of being mature ­(L50) \ncalculated as per Table S2 Eq. 3, with the procedures \nadapted from Chen and Paloheimo (1994), Boulcott \nand Wright (2008) and Hoffmann et al. (2017). best estimated of age (Cope and Punt 2007). A total \nof 1095 fish from multiple sites across the GBR were \naged and included in age analyses. best estimated of age (Cope and Punt 2007). A total \nof 1095 fish from multiple sites across the GBR were \naged and included in age analyses. Calculations of mortality The total instantaneous rate of mortality (Z) was \ncalculated using ­loge-linear regression analyses of \nage-frequency data of S. delicatulus; equal recruit-\nment among years was assumed. Age classes to the \nleft of the age-frequency distribution maxima were \nexcluded from the analysis to calculate the rate of the \nnegative slope only. These data are deleted as they are \nnot independent of sampling method bias (Hilborn \nand Walters 1992). The slope of the regression line \nbetween age classes was used to estimate the instanta-\nneous mortality rate (Z) following the equation: The age of S. delicatulus collected in this study \nranged from 9 to 152 days; the oldest fish was col-\nlected at One Tree Island in winter of 2011. The age \nmaximum of fish increased with latitude (Table  2) \nand there was a positive relationship between age \nmaximum and length maximum at all sites (regres-\nsion ANOVA ­df(1,11), y = 2.521x – 35.627, r2 = 0.66 s, \nP = 0.0004). Furthermore, the oldest 5% of S. delica-\ntulus increased with latitude (Table 2). Some S. deli-\ncatulus from the Southern GBR lived for at least a \nmonth longer than fish in the Northern GBR. Spra-\ntelloides delicatulus were consistently below 82 days \nold and 50 mm at all shelf strata at Lizard Island (L1), \nwhereas a greater range of ages were found from \nCairns and further south (L2 to L4, Fig. 2, Table 2). There was little evidence that age frequency varied \ncross shelf (Fig. 2). The age distribution was largely \nuni-modal at Lizard Island sites (i.e. L1, inner to \nouter shelf), and multi-modal at other sites indicat-\ning multiple age-cohorts of recruits (e.g. Orpheus and \nBritomart; Fig. 2). (2)\nZ = F + M (2) Z = F + M where F = fishing mortality rate and M = natural \nmortality rate (Hilborn and Walters 1992; Kingsford \nand Hughes 2005). Since there is no commercial or \nrecreational fishery for Spratelloides on the GBR, F \nequals zero and therefore Z is equivalent to M. From \nthe regression equations, daily mortality rates could \nbe calculated.f Tests for differences in instantaneous mortality \nwere made between distances at each latitude (n = 3 \ndistances); sites were pooled within a distance. Fur-\nthermore, because mortality rates were similar within \na latitude, instantaneous mortality rates were com-\npared among all latitudes (n = 4 latitudes), using indi-\nvidual values of Z from within latitudes. Age frequency and maxima Age frequency and maxima A short-term otolith marking experiment revealed that \nsectioned otoliths from fish treated with tetracycline \nhad a fluorescent marker close to the otolith edge \n(Suppl. Figure 1). Only eight fish survived the treat-\nment (89% fish mortality). There was close agree-\nment between the number of increments laid down \nafter the treatment and the number of days fish were \nheld after treatment. Fish that were sacrificed after \n3 days of treatment had a mean increment number of \n2.8 (n = 5, range = 2–3). Those otoliths removed after \n10  days had a mean increment number of 9.3  days \n(n = 3, range = 9–10). Along with two other studies, it \nwas concluded that increments were deposited daily \n(Milton et al. 1991; Rogers et al. 2003). Reproductive analysis To describe the relationship between age and \nlength over the complete size range of fish sampled, a \nconstrained form of the von Bertalanffy growth curve \nwas fitted using the formula: (1)\nL(t) = L∞[1 −e−K(t−t0)] (1) where L(t) = length of fish at age t. L∞ = asymptotic length.fi K = growth co-efficient. t0 = age at which L = (0), constrained to known \nlength of S. delicatulus at hatching (von Bertalanffy \n1938). The constrained version of this equation accounts \nfor fish length at time of hatching (t0) as L(0) = 4.3 mm \n(Leis and Carson-Ewart 2000). Other studies have \nused a re-parameterized form of the von Berta-\nlanffy equation, to ensure no extrapolation of L∞ \npast L (max). All sites contained large fish, so it \nwas assumed that these samples were adequate rep-\nresentations of the maximum size classes for S. delicatulus and a standard, constrained von Berta-\nlanffy equation was fitted. It should be noted that \nthe results from our study are comparable with the \nre-parameterized von Bertalanffy values given in the \nliterature for other Spratelloides species from differ-\nent regions (Milton et  al. 1991, 1993; Rogers et  al. 2003; Meekan et  al. 2006). Comparisons of K and \nL∞ were done among latitudes using regression with \nlatitude as the independent variable. Residuals were \nchecked for all regressions to meet the assumptions 1 \nol.: (01 3\n123456789) Environ Biol Fish (2022) 105:461–476 466 multiple estimates of Z and S at different spatial \nscales to get a broad overview of estimates of mortal-\nity and related survivorship. that the residuals were randomly distributed. Length \nat age data analysed using the von Bertalanffy model \nwere also compared with the Gompertz model. Although the Gompertz equations often resulted in \na little less variation (Table S1), we have presented \nthe von Bertalanffy equations for comparisons with \nother studies. Growth models were done in EXCEL \nand multiple iterations were run using Solver to vary \nparameters of the models with the objective of mini-\nmising variances. 1 3\nVol:. (1234567890) Calculations of mortality Daily survivorship rate (S) was calculated accord-\ning to Formula (3) as expressed as percentage sur-\nvival per day (see Hilborn and Walters 1992). (3)\nS = e−z (3) S = e−z S = e−z Spawning took place in multiple of months of the \nyear. When the birthdate of fish was back-calculated, \nour collections from December to February included \nbirthdates from September to January while fish col-\nlected at Lizard Island in June 2011 had birthdates Calculations based on total instantaneous rate of \nmortality (Z) assume equal recruitment for each age \ncohort, but this is of course questionable (Hilborn and \nWalters 1992). Our intent, therefore, was to provide 1 3\nVol:. (1234567890) Environ Biol Fish (2022) 105:461–476 467 Winter samples were collected in 2010 at One Tree Island \nand from Lizard in winter 2011; these fish were only aged if \nsize > 40 (mm) SL. Latitude L1 to L4 (North to South) Table 2   Age and length (standard length mm) maxima of \nS. delicatulus collected in the summer (2009–2010) at sites \nacross inner (I), mid (M), and outer (O) shelf distance strata. 2009–2010 (S)\n2010 2011 (W)\nLatitude\nSite\nn\nSize max \n(SL mm)\nAge max \n(days)\nMean age \ntop 5%\nn\nSize max \n(SL mm)\nAge max \n(days)\nMean age \ntop 5%\nL1\nLow Wooded (I)\n94\n31\n47.5\n42.7\nRocky Islets B (M)\n102\n49\n77.5\n67.7\nLizard Island (M)\n104\n43\n52.5\n51.6\n22\n54\n96\n77.4\nYonge Reef (O)\n109\n51\n74\n67\nL2\nGreen Island (M)\n106\n59\n125\n114.8\nArlington Reef (M)\n102\n58\n103.5\n95.8\nMichaelmas Reef (O)\n120\n50\n88\n75.7\nL3\nOrpheus Island (I)\n99\n74\n146\n138.3\nBritomart Reef (M)\n107\n68\n127.5\n115.4\nPith Reef (O)\n43\n66\n116\n93.8\nL4\nOne Tree Island (O)\n108\n53\n131\n126.2\n12\n58\n152\n109.3 from March to April. Fish collected at One Tree \nIsland in October 2010 had birthdates in July. from March to April. Fish collected at One Tree \nIsland in October 2010 had birthdates in July. Reproductive development Reproductive development Of the 200 S. delicatulus analysed, the smallest was \n24 mm standard length and the largest 55 mm. Sex \ndifferentiation was apparent in individuals as small as \n24 mm with no undifferentiated individuals observed \nlarger than 36 mm. Calculations of mortality Immature males were detected at \nup to 48 mm in the Capricorn Bunker (L4) but only \n42 mm in the Lizard Region (L1). Immature females \nwere observed up to 39  mm at both latitudes. The \nsex ratios for differentiated individuals were not sig-\nnificantly different to a 1:1 ratio in either latitude \n(Z  Ratio Test, df = 2, Z = 0.567, P = 0.753) nor for \ndifferentiated individuals pooled across latitudes (Z \nRatio Test, df = 1, Z = 0.440, P = 0.507). Growth NR, no reef; NF, \nfish caught note heading for L3 has not printed as it should \n-  L3 Palms\n468\nEnviron Biol Fish (2022) 105:461–4 0\n40\n80\n120\n160\n0\n5\n10\n15\nLow Wooded\nn=94\n0\n40\n80\n120\n160\n0\n1\n2\n3\n4\nOrpheus Island\nn=99\n0\n40\n80\n120\n160\n0\n5\n10\n15\nRocky Islets B\nn=102\n0\n40\n80\n120\n160\n0\n2\n4\n6\n8\nGreen Island\nn=106\n0\n40\n80\n120\n160\n0\n2\n4\n6\n8\nBritomart Reef\nn=107\n0\n40\n80\n120\n160\n0\n2\n4\n6\n8\n10\nLizard Island\nn=104\n0\n40\n80\n120\n160\n0\n2\n4\n6\nArlington Reef\nn=102\nMi h\nl\nR\nf\nPith R\nf\nO\nT\nI l\nd\nInner shelf\nMid shel\nNF\nNR\nNR\nFrequency\nf\nL 1 Lizard L 2 Cairns L3 Palms L 4 Capricorn \nBunker 0\n40\n80\n120\n160\n0\n5\n10\n15\nLow Wooded\nn=94\n0\n40\n80\n120\n160\n0\n1\n2\n3\n4\nOrpheus Island\nn=99\nInner shelf\nNF\nNR\nL 1 Lizard L 2 Cairns L3 Palms L 4 Capricorn \nBunker 0\n40\n80\n120\n160\n0\n5\n10\n15\nLow Wooded\nn=94\n0\n40\n80\n120\n160\n0\n1\n2\n3\n4\nOrpheus Island\nn=99\n0\n40\n80\n120\n160\n0\n5\n10\n15\nRocky Islets B\nn=102\n0\n40\n80\n120\n160\n0\n2\n4\n6\n8\nGreen Island\nn=106\n0\n40\n80\n120\n160\n0\n2\n4\n6\n8\nBritomart Reef\nn=107\n0\n40\n80\n120\n160\n0\n2\n4\n6\n8\n10\nLizard Island\nn=104\n0\n40\n80\n120\n160\n0\n2\n4\n6\nArlington Reef\nn=102\nInner shelf\nMid shel\nNF\nNR\nNR\nFrequency\nf Inner shelf 0\n40\n80\n120\n160\n0\n5\n10\n15\nRocky Islets B\nn=102\n0\n40\n80\n120\n160\n0\n2\n4\n6\n8\nGreen Island\nn=106\n0\n40\n80\n120\n160\n0\n2\n4\n6\n8\nBritomart Reef\nn=107\n0\n40\n80\n120\n160\n0\n2\n4\n6\n8\n10\nLizard Island\nn=104\n0\n40\n80\n120\n160\n0\n2\n4\n6\nArlington Reef\nn=102\nMid shel\nNR\nFrequency\nf 0\n40\n80\n120\n160\n0\n5\n10\n15\nRocky Islets B\nn=102\n0\n40\n80\n120\n160\n0\n2\n4\n6\n8\nGreen Island\nn=106\n0\n40\n80\n120\n160\n0\n2\n4\n6\n8\nBritomart Reef\nn=107\nequency Green Island\nn=106 NR Frequency Mid shelf 0\n40\n80\n120\n160\n0\n2\n4\n6\n8\nYonge Reef\nn=109\n0\n40\n80\n120\n160\n0\n5\n10\n15\nMichaelmas Reef\nn=120\n0\n40\n80\n120\n160\n0\n2\n4\n6\nPith Reef\nn=43\n0\n40\n80\n120\n160\n0\n2\n4\n6\nOne Tree Island\nn=108\nOuter shelf\nAge (days) Outer shelf Fig. Growth There were great differences among latitudes in the \nparameters K, L∞ and ­t0 and the constrained von Ber-\ntalanffy growth curves (Fig. 3a-b, Fig. 4; Table  3). Contrasting patterns were found for the parameters of \ngrowth (L∞, K). K decreased with an increase in lati-\ntude while L∞ increased with latitude. Accordingly, \na significant inverse relationship was found between \nthe growth rate (K) and L∞ for S. delicatulus (regres-\nsion and ANOVA, ­df(1,9), y =  − 0.0002x + 0.0246, \n­r2 = 0.90, P = 0.000005. A comparison of age at \n40–50 mm provided further evidence that the rate of \ngrowth to L∞ varied with latitude (Fig. 3c). Age at \n40–50  mm SL increased with latitude as would be \nexpected with lower values of K. Furthermore, these \nfindings concurred with fish collected in two seasons. The 40–50 mm SL size class of fish at all outer sites \nwas compared among latitudes, and as for data pooled \nby latitude, a strong north–south pattern was detected \nwhere age at size increased with latitude; differences \namong latitude were significant (ANOVA ­df(1,3), \nF = 116.5, P = 0.001701; Fig. 3c). Patterns cross shelf \nwere minor compared to differences in K and L∞ \namong latitudes (Table 3). Mature males and females were detected at Liz-\nard from 36–37 mm SL, while in the Capricorn Bun-\nker, mature fish were detected from 38 mm SL. The \nbinomial logistic regression performed found that \nstandard length and latitude (Lat) were both signifi-\ncant factors in the maturity schedules of S. delicatulus \n(Table 3S). The ­L50 for samples from the Capricorn \nBunker (L4) was calculated at 40.1 mm SL, while the \n­L50 estimated for the Lizard (L1) was 38.3  mm SL \n(Fig. 5). Although this difference was less than 2 mm, \nit was statistically significant and fishes in the size \nrange 38–40 mm SL would mature at 30 to 40 days \nolder at L4 when compared with L1 (Fig. 4). 1 \nol.: (01 3\n123456789) 3\n123456789) 468 Environ Biol Fish (2022) 105:461–476 Mortality\nSpratelloides delicatulus had very high rates of \ndaily mortality at all latitudes and distances and \nsites within latitudes in the summer of 2009 to 20\n(Table 4, Fig. 6). Growth 2   Age frequency distributions of S. delicatulus collected \nfrom sites at three distance strata and four latitudes in the sum-\nmer of 2009 to 2010 (bin size 2 days), note that no fish were \ncaught at the inner L2 Cairns site and that inner and mid-shelf reefs are absent in the Capricorn Bunker. NR, no reef; NF, no \nfish caught note heading for L3 has not printed as it should be \n-  L3 Palms sites within latitudes in the summer of 2009 to 2010 \n(Table 4, Fig. 6). Instantaneous mortality rate Z for S. delicatulus ranged from 0.028 to 0.097 among sites \non the GBR and daily rates of survivorship varied Growth Instantaneous mortality rate Z for\ndelicatulus ranged from 0.028 to 0.097 among sit\non the GBR and daily rates of survivorship vari\n0\n40\n80\n120\n160\n0\n5\n10\n15\nLow Wooded\nn=94\n0\n40\n80\n120\n160\n0\n1\n2\n3\n4\nOrpheus Island\nn=99\n0\n40\n80\n120\n160\n0\n5\n10\n15\nRocky Islets B\nn=102\n0\n40\n80\n120\n160\n0\n2\n4\n6\n8\nGreen Island\nn=106\n0\n40\n80\n120\n160\n0\n2\n4\n6\n8\nBritomart Reef\nn=107\n0\n40\n80\n120\n160\n0\n2\n4\n6\n8\n10\nLizard Island\nn=104\n0\n40\n80\n120\n160\n0\n2\n4\n6\nArlington Reef\nn=102\n0\n40\n80\n120\n160\n0\n2\n4\n6\n8\nYonge Reef\nn=109\n0\n40\n80\n120\n160\n0\n5\n10\n15\nMichaelmas Reef\nn=120\n0\n40\n80\n120\n160\n0\n2\n4\n6\nPith Reef\nn=43\n0\n40\n80\n120\n160\n0\n2\n4\n6\nOne Tree Island\nn=108\nInner shelf\nMid shel\nOuter shelf\nAge (days)\nNF\nNR\nNR\nFrequency\nf\nL 1 Lizard L 2 Cairns L3 Palms L 4 Capricorn\nBunker\nFig. 2   Age frequency distributions of S. delicatulus collected \nfrom sites at three distance strata and four latitudes in the sum-\nmer of 2009 to 2010 (bin size 2 days), note that no fish were \ncaught at the inner L2 Cairns site and that inner and mid-shelf \nreefs are absent in the Capricorn Bunker. Discussion Spratelloides delicatulus are very short-lived fish \nwith fast population turnover rates, and conformed \nto a ‘tropical gradient’ for growth (K) to L∞, and a \n‘counter gradient’ pattern for L∞ and age max both of \nwhich increased with latitude. No fish sampled in this \nstudy survived beyond 152 days and size maximum \nwas similar among latitudes (51 to 74 mm SL). Mil-\nton et al. (1991) found a similar age maximum for S. delicatulus in the Central Pacific to what we found in \nthe Northern GBR. In our study, age maxima was 2 to \n3 months less in the warmer waters of the Northern \nGBR which conforms with the counter gradient pat-\nterns for age max. Repeated sampling in the winters \nof 2010 and 2011 revealed similar differences in age \nmaximum at both the Lizard and Capricorn Bunker \nlatitudes, thus providing evidence that time of sam-\npling was not confounding the latitudinal patterns \nfound. It should be noted that the fish were collected \nat or close to the maximum recorded size of 70 mm \nSL on FishBase. Furthermore, this absolute size \nmaximum was rarely collected in our study or by oth-\ners (Whitehead et al. 1988; Froese and Pauly 2020). This was reassuring as by site fish rarely reached the \nasymptotic length (L∞) of the von Bertalanffy equa-\ntion. Although fish from the most northern and south-\nern sites matured at a similar size, fish from lowest \nlatitudes matured more than a month earlier than \nthose from the highest latitudes. Mean age 40-50 (mm) SL\nSE\n14°38'00\"\n16°41'00\"\n18°50'00\"\n23°30'00\"\n40\n60\n80\n100\n120\n140\nn=30 n=15\nn=62\nn=57\nn=39n=12\n(c)\nLatitude S\nS1\nS2 The shortest lived vertebrate is the goby Evi-\nota sigillata (Depczynski and Bellwood 2005) at \n59  days old, while orange roughy (Hoplostethus \natlanticus) may live to 149  years (Fenton et  al. 1991). Clearly the age maximum of Spratelloides \n(152 days) is close to the minimum age maximum \nfor vertebrates. A back calculation from age fre-\nquency data revealed that spawning takes place over \nan extended season. Given we found birthdays in \nwinter, spring and summer, it is highly likely that \nthey spawn all year which has been previously sug-\ngested (Dalzell 1993) and aligns with collections \nof large numbers of Spratelloides larvae in sum-\nmer (January/February) and winter at One Tree Fig. 3   Relationship between von Bertalanffy parameters for \nS. Mortality Spratelloides delicatulus had very high rates of \ndaily mortality at all latitudes and distances and 1 3\nVol:. (1234567890) Environ Biol Fish (2022) 105:461–476 469 K yr-1\n0\n2\n4\n6\n8\nL\n0\n40\n80\n120\n160\ny=-1.0065x+5.8969\nr2=0.5255\ny=-15.948x+51.172\nr2=0.4939\n(a)\n(b) Southern GBR (1.4% ­day−1). Pooled daily survival \n(S%) by latitude was about 1% less at low latitudes \n(Table 4). K yr-1\n0\n2\n4\n6\n8\nL\n0\n40\n80\n120\n160\nMean age 40-50 (mm) SL\nSE\n14°38'00\"\n16°41'00\"\n18°50'00\"\n23°30'00\"\n40\n60\n80\n100\n120\n140\ny=-1.0065x+5.8969\nr2=0.5255\ny=-15.948x+51.172\nr2=0.4939\nn=30 n=15\nn=62\nn=57\nn=39n=12\n(a)\n(b)\n(c)\nLatitude S\nS1\nS2\nFig. 3   Relationship between von Bertalanffy parameters for \nS. delicatulus a) K ­year−1 (growth coefficient) pooled by lati-\ntude, b) L∞ (mean asymptotic length mm) by latitude, and c) \nthe average age of fish, 40–50 mm SL, by latitude. Lizard and \nCapricorn Bunker latitudes show replicate age data from sum-\nmer and winter (Table 1) y=-1.0065x+5.8969\nr2=0.5255 Discussion delicatulus a) K ­year−1 (growth coefficient) pooled by lati-\ntude, b) L∞ (mean asymptotic length mm) by latitude, and c) \nthe average age of fish, 40–50 mm SL, by latitude. Lizard and \nCapricorn Bunker latitudes show replicate age data from sum-\nmer and winter (Table 1) from 90.8 to 97.3% (Table  4). The lowest survival \nrate was 90.8% ­day−1 at a northern site. The highest estimates of daily mortality, based \non pooled Z, were found at the Lizard transect on \nthe Northern GBR (2.5% ­day−1) and lowest in the 1 \nol.: (01 3\n123456789) 3\n123456789) Environ Biol Fish (2022) 105:461–476 470 0\n20\n40\n60\n0\n10\n20\n30\n40\nLow Wooded\n0\n50\n100\n150\n200\n0\n20\n40\n60\n80\nOrpheus Island\n0\n20\n40\n60\n80\n100\n0\n20\n40\n60\nRocky Islets B\n0\n50\n100\n150\n0\n20\n40\n60\n80\nGreen Island\n0\n50\n100\n150\n0\n20\n40\n60\n80\nBritomart Reef\n0\n20\n40\n60\n0\n10\n20\n30\n40\nLizard Island\n0\n50\n100\n150\n0\n20\n40\n60\n80\nArlington Reef\n0\n20\n40\n60\n80\n0\n20\n40\n60\nYonge Reef\n0\n20\n40\n60\n80\n100\n0\n20\n40\n60\nMichaelmas Reef\n0\n50\n100\n150\n0\n20\n40\n60\n80\nPith Reef\n0\n50\n100\n150\n0\n20\n40\n60\nOne Tree Island\nStandard Length (mm)\nAge (days)\n Lizard\n Cairns\n Palms\n Capricorn \nBunker\nMid shelf\nOuter shelf\nInner shelf\nNF\nNR\nNR\nFig. 4   von Bertalanffy growth curves for S. Discussion delicatulus col-\nlected from eleven sites within distance and latitude strata \n(North on the right and South on the left) during the summer \nof 2009–2010, note that no fish were caught at the inner L2 \nCairns site and that inner and mid-shelf reefs are absent in the \nCapricorn Bunker 0\n50\n100\n150\n200\n0\n20\n40\n60\n80\nOrpheus Island\n Palms\n Capricorn \nBunker\nNR 0\n20\n40\n60\n0\n10\n20\n30\n40\nLow Wooded\n Lizard\nInner shelf 0\n20\n40\n60\n0\n10\n20\n30\n40\nLow Wooded\n0\n50\n100\n150\n200\n0\n20\n40\n60\n80\nOrpheus Island\n0\n20\n40\n60\n80\n100\n0\n20\n40\n60\nRocky Islets B\n0\n50\n100\n150\n0\n20\n40\n60\n80\nGreen Island\n0\n50\n100\n150\n0\n20\n40\n60\n80\nBritomart Reef\n0\n20\n40\n60\n0\n10\n20\n30\n40\nLizard Island\n0\n50\n100\n150\n0\n20\n40\n60\n80\nArlington Reef\nStandard Length (mm)\n Lizard\n Cairns\n Palms\n Capricorn\nBunker\nMid shelf\nInner shelf\nNF\nNR\nNR Inner shelf 0\n20\n40\n60\n80\n100\n0\n20\n40\n60\nRocky Islets B\n0\n20\n40\n60\n0\n10\n20\n30\n40\nLizard Island\nStandard Length (mm) 00\n0\n50\n100\n150\n0\n20\n40\n60\n80\nGreen Island\n0\n50\n100\n150\n0\n20\n40\n60\n80\nBritomart Reef\n80\nArlington Reef\nNR Standard Length (mm) Mid shelf 80\n0\n20\n40\n60\n80\n100\n0\n20\n40\n60\nMichaelmas Reef\n0\n50\n100\n150\n0\n20\n40\n60\n80\nPith Reef\n0\n50\n100\n150\n0\n20\n40\n60\nOne Tree Island\nAge (days) 0\n20\n40\n60\n80\n0\n20\n40\n60\nYonge Reef\n0\n20\n40\n60\n80\n100\n0\n20\n40\n60\nMichaelmas Reef\n0\n50\n100\n150\n0\n20\n40\n60\n80\nPith Reef\n0\n50\n100\n150\n0\n20\n40\n60\nOne Tree Island\nAge (days)\nOuter shelf\nFig. 4   von Bertalanffy growth curves for S. Table 3   Values of the \nvon Bertalanffy growth \nparameters calculated \nfor S. delicatulus for all \nsites across inner (I), mid \n(M) and outer (O) shelf. \nLatitude L1 to 4 (North to \nSouth). K = a daily value. K \n­year−1 = K * 365 days Discussion delicatulus col-\nlected from eleven sites within distance and latitude strata \n(North on the right and South on the left) during the summer \nof 2009–2010, note that no fish were caught at the inner L2 \nCairns site and that inner and mid-shelf reefs are absent in the \nCapricorn Bunker 0\n20\n40\n60\n80\n0\n20\n40\n60\nYonge Reef\n0\n20\n40\n60\n80\n100\n0\n20\n40\n60\nMichaelmas Reef\n0\n50\n100\n150\n0\n20\n40\n60\n80\nPith Reef\n0\n50\n100\n150\n0\n20\n40\n60\nOne Tree Island\nAge (days)\nOuter shelf 100\n0\n50\n100\n150\n0\n20\n40\n60\n80\nPith Reef\n0\n50\n100\n150\n0\n20\n40\n60\nOne Tree Island\nge (days) Outer shelf Outer shelf Age (days) Fig. 4   von Bertalanffy growth curves for S. delicatulus col-\nlected from eleven sites within distance and latitude strata \n(North on the right and South on the left) during the summer of 2009–2010, note that no fish were caught at the inner L2 \nCairns site and that inner and mid-shelf reefs are absent in the \nCapricorn Bunker 1 3\nVol:. (1234567890)\nTable 3   Values of the \nvon Bertalanffy growth \nparameters calculated \nfor S. delicatulus for all \nsites across inner (I), mid \n(M) and outer (O) shelf. Latitude L1 to 4 (North to \nSouth). K = a daily value. K \n­year−1 = K * 365 days\nLatitude\nSite (distance)\nL∞\nK\nK ­year−1\nt0\nr2\nL1\nLow Wooded (I)\n57\n0.014\n5.11\n − 4.453\n0.595\nRocky Islets B (M)\n77\n0.011\n4.02\n − 6.433\n0.794\nLizard Island (M)\n54\n0.01677\n6.2\n − 5.000\n0.778\nYonge Reef (O)\n89\n0.0092\n3.63\n − 5.833\n0.785\nL2\nGreen Island (M)\n62\n0.01494\n5.48\n − 4.794\n0.848\nArlington Reef (M)\n86\n0.0107\n3.91\n − 4.741\n0.854\nMichaelmas Reef (O)\n68\n0.0141\n5.15\n − 4.543\n0.823\nL3\nOrpheus Island (I)\n122\n0.0047\n1.72\n − 9.175\n0.817\nBritomart Reef (M)\n96\n0.008\n2.92\n − 6.711\n0.906\nPith Reef (O)\n121\n0.0059\n2.15\n − 6.197\n0.962\nL4\nOne Tree Island (O)\n98\n0.0055\n2.00\n − 7.812\n0.752 Table 3   Values of the \nvon Bertalanffy growth \nparameters calculated \nfor S. delicatulus for all \nsites across inner (I), mid \n(M) and outer (O) shelf. Latitude L1 to 4 (North to \nSouth). K = a daily value. K \n­year−1 = K * 365 days 1 \nVol:. Discussion delicatulus \nreaches up to 6 K ­year−1 on the GBR (this study). mainland (Wenger et al 2012; Kingsford et al 2019). Genetic differences among latitudes are possible, but \nnot described. Temperature gradient is likely to be the \nkey driver of differences in growth patterns. This dif-\nference is known to fluctuate seasonally and is gener-\nally greater during the winter months with a dispro-\nportionate drop at higher latitudes (Wolanski 2001). Fish growth generally varies along latitudinal gradi-\nents and two main patterns have been observed as fol-\nlows: a ‘tropical gradient’ (an increase in growth with \na decrease in latitude) and the opposite ‘counter gra-\ndients’, though there are exceptions where some taxa \nshow no gradient in age max or growth with latitude \n(e.g. some Sebastes, Boehlert and Kappenman 1980). Tropical gradient models state that growth is slower \nin cold water (Houde 1989; Atkinson and Sibly 1997), \nwhile the counter gradient models propose that growth \nis slower in warm water (Yamahira and Conover 2002). These theories are principally driven by a gradient in \nwater temperature which has been clearly demonstrated \nin our study and by others in the over the same latitu-\ndinal range (2–4 °C, Kingsford et al. 2019). This can \nexplain why fish maximum length can be the same \nacross multiple latitudes, yet growth rates differ sig-\nnificantly. Our results for the growth of tropical Spra-\ntelloides conform to a tropical gradient model as sug-\ngested by Houde (1989) and Atkinson and Sibly (1997).f Density dependence and resource limitation is thought \nto be more intense in low latitudes (Atkinson and Sibly \n1997; Gust et al. 2002) but there were few data on den-\nsity effects and resource abundance in small planktivo-\nrous fishes. We predict that higher levels of competition \nwith other Spratelloides species such as S. gracilis and \nS. lewisi could occur at lower latitudes but there are few \ndata on abundance. However, we suggest that the impor-\ntance of these effects is likely to be highly site dependent \nand have little influence on latitudinal patterns. An extended spawning and growing season exists \nat lower latitudes with higher temperatures (Cushing \n1975). In the tropics, species generally experience a \nnarrower range of seasonal variation in sea tempera-\nture than temperate species (Munday et  al. 2008). Discussion ( 3\n(1234567890) 471 Environ Biol Fish (2022) 105:461–476 Fig. 5   Reproductive maturity development of S. delicatulus (classified as ripe fish with stage III oocytes or greater as mature) by \nstandard length (mm), sex, and latitude (L1 Lizard Region and L4 Capricorn Bunker); during summer of 2014–2015 Fig. 5   Reproductive maturity development of S. delicatulus (classified as ripe fish with stage III oocytes or greater as mature) by \nstandard length (mm), sex, and latitude (L1 Lizard Region and L4 Capricorn Bunker); during summer of 2014–2015 A result of the short life, high mortality and high \npopulation turnover rate of Spratelloides implies \nthat population bottlenecks would be frequent, and \nperiods of high larval abundance with few mature \nfish are likely to be common within and among \nreefs at different latitudes. Tropical Spratelloides \nhave the highest growth parameters of all clupei-\nforms recorded in the literature. Temperate and Island in June–July (i.e. Austral Winter; Kingsford \n2001)). However, more detailed temporal sampling \nwould be required to demonstrate seasonality and \npotential periodicity within such as lunar-related \npatterns (Johannes 1978). Such a short-lived organ-\nism experiences a biological limitation in life, and \na short window in which it can contribute to the \nnext generation (Depczynski and Bellwood 2005). Island in June–July (i.e. Austral Winter; Kingsford \n2001)). However, more detailed temporal sampling \nwould be required to demonstrate seasonality and \npotential periodicity within such as lunar-related \npatterns (Johannes 1978). Such a short-lived organ-\nism experiences a biological limitation in life, and \na short window in which it can contribute to the \nnext generation (Depczynski and Bellwood 2005). 1 \nol.: (0 3\n3 56789) Environ Biol Fish (2022) 105:461–476 472 Table 4   Mortality (Z) \nand daily survivorship (S) \nestimates for S. delicatulus \nat sites across the Great \nBarrier Reef and pooled by \nlatitude. Latitude L1 to 4 \n(North to South)\nLatitude\nPooled Z\nPooled S %\nSite\nZ\nS %\nr2\nLow Wooded\n0.097\n90.8\n0.493\nL1\n0.025\n97.5\nRocky Islets B\n0.074\n93.0\n0.670\nLizard Island\n0.078\n92.5\n0.472\nYonge Reef\n0.065\n93.7\n0.617\nGreen Island\n0.051\n95.1\n0.384\nL2\n0.014\n98.6\nArlington Reef\n0.052\n94.9\n0.39\nMichaelmas Reef\n0.076\n92.7\n0.703\nOrpheus Island\n0.028\n97.3\n0.534\nL3\n0.009\n99.1\nBritomart Reef\n0.037\n96.4\n0.708\nPith Reef\n0.055\n94.7\n0.612\nL4\n0.014\n98.6\nOne Tree Island\n0.062\n94.0\n0.763 sub-tropical species reach 0.5 to 1 K ­year−1 (Ahren-\nholz 1991; Emmett et al. 2005), while S. 1 3\nl:. (1234567890) Discussion Pooled daily mortality rate ranged from \n0.9 to 2.5% ­day−1 and site-specific mortality ranged \nfrom 9.2 to 2.7% ­day−1. Previous work showed that \nS. gracilis had a similar high daily mortality rate of \napproximately 3.7% at on the North West Shelf of \nWestern Australia (Meekan et al. 2006). y = -0.0137x + 1.4956\nr² = 0.9011\nn=328\n0 \n0.5 \n1 \n1.5 \n0 \n40\n80\n120 \n160 \nge Frequency\nL2 Cairns \nL3 P l Loge Frequency A fish reproductive strategy may shift in relation to \nenvironmental conditions, so breeding patterns are a \nconditional strategy (McBride et al. 2015). Reproductive \ndevelopment is fast with sexual differentiation observed \nfrom 24  mm and maturity beginning at 36–38  mm \nacross the two latitudes sampled. These values are simi-\nlar to those observed in previous studies which have also \nindicated the ability for S. delicatulus to repeat spawn \n(Milton et al. 1991, 1994). The shorter time frame avail-\nable to fishes at low latitudes as well as the onset of \nmaturity a month earlier than higher latitude individu-\nals suggest for S. delicatulus in a ‘tropical gradient of \ngrowth’ a higher reproductive allocation of energy at \nlow latitudes, perhaps resulting in a shorter lifespan. The \ndifferences in growth and age maxima could also reflect \ngenetic differences at large spatial scales. We cannot \nexclude the possibility for genetic variation driving dif-\nferences in the North and South GBR populations.f 0 \n40\n80\n120 \n160 \ny = -0.0141x + 1.7804\nr² = 0.916 \nn=108\n0 \n0.5 \n1 \n0 \n40\n80\n120 \n160 \nAge(days)\nL4 Capricorn \nBunker In conclusion, there were clear differences in age \nmaxima and growth characteristics for populations \nof S. delicatulus along the GBR. This species had \na short lifespan of age-max 48–152  days with fast \ngrowth. Furthermore, age maxima were up to 98 days \ngreater in high latitudes and concurred with a ‘coun-\nter gradient’ model. In contrast, growth to L∞ was \nhighest at low latitude and matched a ‘tropical gradi-\nent of growth’. Although fish matured at a similar size \nregardless of sex or latitude, they matured 30–40 days \nearlier at the lowest latitudes. Mortality was very high \namong all latitudes. The North–South axis of the \nGBR provides an excellent opportunity to test growth \ntheory and our data provide a baseline for potential \ndemographic variation with environmental change. Fig. 6   Daily age-based instantaneous mortality curves for S. Discussion Although most of the GBR is contained within the \ntropics, there is still a clear gradient in seasonality \nand variation in water temperatures over 10° of lati-\ntude; this in turn can be related to latitudinal growth \ntheories. Most theory is based on temperate to cold-\ntemperate environments where it is argued that fishes \nat low latitudes generally experience a longer grow-\ning season with short pulses of high productivity and \npeaks in hatching (Cushing 1975). In contrast, at high \nlatitudes, fishes have shorter growing seasons with, \non average, consistently high productivity and con-\ntinuous hatching (Fiedler et al. 1991). Therefore, fish Differences in growth curve trajectories between \ngeographic regions may be determined by both envi-\nronmental and genetic influences (Sebens 1987). Key factors driving the differences in growth are \npredation pressure, temperature, effects on metabo-\nlism, resource variation (abundance of plankton) and \nvariable water condition (turbidity). Wave exposure, \nsediment, depth and topographical complexity are all \nknown to correlate with growth patterns; however, \nthese factors are considered to be relatively consist-\nent across all latitudes for a given distance for the 1 3\n. (1234567890) 1 \nVol:. Environ Biol Fish (2022) 105:461–476 473 y = -0.0137x + 1.4956\nr² = 0.9011\nn=328\n0 \n0.5 \n1 \n1.5 \n0 \n40\n80\n120 \n160 \ny = -0.0088x + 1.1979\nr² = 0.7476\nn=249\n0 \n0.5 \n1 \n0 \n40\n80\n120 \n160 \ny = -0.0141x + 1.7804\nr² = 0.916 \nn=108\n0 \n0.5 \n1 \n0 \n40\n80\n120 \n160 \ny = -0.0251x + 1.9614\nr² = 0.8522\nn=409\n0 \n0.5 \n1 \n1.5 \n0 \n40\n80\n120 \n160 \nAge (days)\nLoge Frequency\nL1 Lizard \nL2 Cairns \nL3 Palms\nL4 Capricorn \nBunker\nFig. 6   Daily age-based instantaneous mortality curves for S. delicatulus pooled by latitude y = -0.0251x + 1.9614\nr² = 0.8522\nn=409\n0 \n0.5 \n1 \n1.5 \n0 \n40\n80\n120 \n160 \nL1 Lizard a reduction in the annual growth rate of an individual, \nas demonstrated for S. delicatulus in this study. Life history characteristics are a result of this \ntrade-off between survival and reproduction (Stearns \n1976). Fish with faster life history, such as clupei-\nforms (early maturity, high growth rate, small body \nsize), allocate more resources to reproductive output \nthan those with slower life histories (Denney et  al. 2002), resulting in extremely high rates of mortality. Mortality rates were high across all latitudes and sites \nof this study. Discussion delicatulus pooled by latitude potentially maximize their use of this short period \nresource at high latitudes. In contrast, the productivity \ncycle at low latitudes is less extreme and this resource \nis spread out more evenly throughout the season \n(Conover 1992). However, cold water is also known \nto slow metabolic and growth processes (Schmidt-\nNielsen 1997). The direct applicability of these \nassumptions to tropical to subtropical latitudes is yet \nto be tested. However, lower mean temperatures and \nshorter growing seasons at higher latitudes may cause 1 \nol.: (01 3\n123456789) 3\n123456789) 474 Environ Biol Fish (2022) 105:461–476 Acknowledgements  We \nwould \nlike \nto \nthank \nMark \nO’Callaghan, Emily Gerard of the Reef and Ocean Ecology \nLaboratory, JCU, and Kari Arbouin and all other volunteers \nfor field and lab assistance during this study. We also thank the \nOne Tree Island Research Station for field assistance and sup-\nport, and the crews from the following charter vessels: Phoe-\nnix of Bianca Charters, Kalinda and Melantre. Funding for this \nproject was awarded to MJK from the ARC Centre of Excel-\nlence of Coral Reef Studies and Marine and Tropical Sciences \nResearch Facility (MTSRF). otherwise in a credit line to the material. If material is not \nincluded in the article’s Creative Commons licence and your \nintended use is not permitted by statutory regulation or exceeds \nthe permitted use, you will need to obtain permission directly \nfrom the copyright holder. To view a copy of this licence, vis-\nithttp://​creat​iveco​mmons.​org/​licen​ses/​by/4.​0/. Consent to participate  NA. Conover DO (1992) Seasonality and the scheduling of life his-\ntory at different latitudes. J Fish Biol 41:161–178 Consent for publication  The three authors agree that the \npaper is original and should be published. Conover DO, Brown JJ, Ehtisham A (1997) Countergradi-\nent variation in growth of young striped bass (Morone \nsaxatilis) from different latitudes. Can J Fish Aquat Sci \n54:2401–2409i Competing interests  The authors declare no competing inter-\nests. Data availability  Available upon reasonable request to the \nauthors. Data availability  Available upon reasonable request to the \nauthors. 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Face Tracking in the Compressed Domain
EURASIP Journal on Advances in Signal Processing
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1. INTRODUCTION set of parameters. In this paper we describe an object track- ing solution that uses only compressed parameters available in MPEG-1 or MPEG-2 video sequences while performing only the minimal decoding necessary to retrieve them from the compressed video streams. The problem of tracking objects over time is a complex one in computer vision and has been an important topic of re- search over the last few years. Such importance comes from the fact that object tracking enables important applications in areas such as security and surveillance (e.g., tracking peo- ple in restricted areas using security cameras), content man- agement (e.g., in video abstraction to automatically anno- tate video content), content improvement (e.g., helping sta- bilize images in handheld mobile videophones by tracking the location of faces), human-machine interface (e.g., to au- tomatically recognize hand gestures to automatically execute commands), interactive gaming, and so forth. Requirement constraints such as reliability and computational complex- ity characterize the boundary conditions for a successful and target-platform-suited solution. Few algorithms exist that are able to perform object tracking in the compressed domain. In [3, 4] the proposed object tracking algorithms use forward motion vectors to track objects between a reference (I- or P-) frame and a P- or B-frame (where this kind of motion vectors are avail- able). In order to track an object, it is first defined as a set of macroblocks in the reference frame. However, the for- ward motion vectors are available only in the P- or B-frame where the object is being tracked to. So, the object’s dis- placement from the reference frame to the P- or B-frame is determined by computing the mode of the forward mo- tion vectors of the macroblocks at the same positions (in the latter frame) as those that define the object (in the ref- erence frame). Although simple and not at all computation- ally complex, this solution is only reliable whenever motion is not strong or when motion is uniform over the entire frame. The detection and spatial localization of objects, in par- ticular faces, has been broadly investigated [1, 2]. While tracking identified objects throughout uncompressed video sequences, the objects’ spatial properties may be used (e.g., colour, shape, texture, etc.) since it can be expected that they will vary a little from frame to frame. The information is thus represented in a way suited to easily track the objects. Hindawi Publishing Corporation EURASIP Journal on Applied Signal Processing Volume 2006, Article ID 59451, Pages 1–11 DOI 10.1155/ASP/2006/59451 Hindawi Publishing Corporation EURASIP Journal on Applied Signal Processing Volume 2006, Article ID 59451, Pages 1–11 DOI 10.1155/ASP/2006/59451 Hindawi Publishing Corporation EURASIP Journal on Applied Signal Processing Volume 2006, Article ID 59451, Pages 1–11 DOI 10.1155/ASP/2006/59451 Received 30 August 2004; Revised 23 March 2005; Accepted 4 May 2005 Received 30 August 2004; Revised 23 March 2005; Accepted 4 May 2005 Received 30 August 2004; Revised 23 March 2005; Accepted 4 May 2005 A compressed domain generic object tracking algorithm offers, in combination with a face detection algorithm, a low-compu- tational-cost solution to the problem of detecting and locating faces in frames of compressed video sequences (such as MPEG-1 or MPEG-2). Objects such as faces can thus be tracked through a compressed video stream using motion information provided by existing forward and backward motion vectors. The described solution requires only low computational resources on CE devices and offers at one and the same time sufficiently good location rates. Copyright © 2006 P. M. Fonseca and J. Nesvadba. 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. Pedro Miguel Fonseca and Jan Nesvadba Philips Research, 5656AA Eindhoven, The Netherlands 2. THE FACE TRACKING ALGORITHM The face detector’s input corresponds to some AC coeffi- cients and to all DC coefficients taken from the compressed image where detection is to be performed. In order to make the face detection algorithm as robust and independent as possible of the image or video capturing conditions, auto- matic contrast adjustment is applied to each input DC image. Afterwards, skin colour segmentation is applied to the DC colour image resulting from the contrast adjustment stage by determining the Mahalanobis distance [10, 11] between each pixel’s value in the DC image and a skin colour model. This skin colour model is built beforehand from the statisti- cal properties, in the normalized RGB colour space, of a large set of manually segmented faces. A binary closing operation with a 3 × 3 square structuring element, followed by a hole filling operation are applied on the binary image that resulted from the segmentation stage; these binary morphological op- erations are applied to ensure that in most cases a face is com- pletely covered by a binary mask, without any holes in it. An algorithm to label binary connected regions is then applied in order to identify connected regions in the image. The face tracking algorithm proposed in this paper aims to determine the presence and location of faces in all frames of compressed video sequences where a specific type of com- pressed domain data is available. Naturally, the type of infor- mation available differs according to the type of frames where faces are being located: while in I-frames only DCT informa- tion is available, in P- and B-frames, the type of information available consists mainly of motion vector information. For this reason, the tracking procedure differs according to the frame type. The proposed face tracking algorithm is illustrated in Figure 1; in the figure, the location of one face (represented with a dark solid rectangle) is determined over a sequence of frames in a compressed video sequence. In I-frames, where DCT information is available, the presence and location of faces is determined based on the frame’s colour and lumi- nosity (as provided by the DC coefficients) and frequency (as provided by AC coefficients) properties. In all remaining frames, all detected faces are tracked based on the properties of existing motion vectors. 1. INTRODUCTION Face location determined by the face detector Face location determined by the face detector Figure 1: The face tracking algorithm: the object’s location in P- and B-frames is determined using FODD and BODD techniques. Figure 1: The face tracking algorithm: the object’s location in P- and B-frames is determined using FODD and BODD techniques. MPEG-2 video sequences (or in JPEG still images). The un- derlying assumption behind the feature analysis-based ap- proach is that properties or features exist that are invariant from face to face. Thus, by detecting specific features such as skin colour and facial features, the presence and location of faces can be determined. The organization of this paper is as follows: the next sec- tion describes the face tracking algorithm; Section 3 evalu- ates the algorithm’s computational complexity and the algo- rithm’s performance; and the paper concludes with Section 4. The diagram in Figure 2 represents an overview of the face detector’s architecture and each of the algorithm’s steps. In the figure, an example of the input and output of each step is illustrated. 2. THE FACE TRACKING ALGORITHM It is known that among all facial features, the eyes/eye- brows and the mouth are the most prominent for face de- tection, recognition, and pose estimation [11–13]. Therefore, a series of image processing operations are applied in order to enhance the location of these facial features in the image such that existing faces may be located. The facial features’ brightness properties are explored by computing grey scale dilated and eroded images from the contrast adjusted lumi- nosity component of the input image. On the other hand, the facial features’ variance properties are explored using fre- quency information provided by some AC coefficients. Tak- ing into account the knowledge that specific sets of DCT-AC coefficients represent certain directional variations in the im- ages [14], AC energy maps are built to emphasize the location Since in the P- and B-frames available information typi- cally consists of motion vector information, motion-vector- based object tracking is performed to determine the location of previously detected faces. 1. INTRODUCTION However, in compressed video sequences (such as MPEG-1 or MPEG-2), available information may not express directly the objects’ spatial properties and thus, renders the tracking procedure more difficult. In addition, the type of informa- tion that is available actually varies from frame to frame— for example MPEG-1 or MPEG-2 video sequences are typ- ically comprised of I-, P-, and B-frames, each with its own In [5], an object is represented by a set of macroblocks in the reference frame. Each forward motion vector in the current (P- or B-) frame is “projected” in the reference frame and it is determined if it does or does not “hit” any mac- roblock that comprises the object. Afterwards, a k-means clustering algorithm is used to determine clusters of motion vectors that may represent possible object displacements. Al- though robust, this technique is considerably complex and computationally expensive. EURASIP Journal on Applied Signal Processing 2 I B B P B B I FODD FODD BODD FODD FODD Face location determined by the object tracker Face location determined by the face detector Figure 1: The face tracking algorithm: the object’s location in P- and B-frames is determined using FODD and BODD techniques. Face location determined by the object tracker I B B P B B I FODD FODD BODD FODD FODD Face location determined by the object tracker Face location determined by the face detector In the algorithms proposed in [6–9], objects can only be tracked to P- and I-frames, but not to B-frames. The object tracking algorithm proposed in this paper performs the tracking of objects that are detected and located throughout a group of pictures (GOP) by means of available compressed domain data. We will describe a tracking solu- tion based solely on the use of forward and backward motion vectors. A smart weighting and averaging strategy of relevant motion vectors has been proven to be sufficiently reliable for the purpose at hand. Additionally, the solution’s computa- tional complexity is extremely low enabling the implemen- tation on platforms with very strict computational capacities such as mobile and stationary consumer devices. Although the proposed algorithm allows the tracking of generic ob- jects, it will be described in the context of a face tracking system where the objects being tracked correspond to faces. Faces are detected in I-frames with a compressed domain face detector which is also briefly described. 2.1. Face detection in the compressed domain (1) feature map(x, y) = dilated(x, y) eroded(x, y) + 1 × vertical energy map(x, y) + 1 horizontal energy map(x, y) + 1. (1) 2.1. Face detection in the compressed domain The compressed domain face detection algorithm proposed in this paper uses a feature analysis-based approach to deter- mine the presence and location of multiple frontal and ro- tated faces. This procedure is based purely on compressed domain information available in I-frames of MPEG-1 or 3 3 P. M. Fonseca and J. Nesvadba Face candidates validation Face candidates Face candidates generation Facial features localization Feature map construction Location of faces in the image Feature map Face images after grey scale dilation (left) and erosion (right) Vertical (left) and horizontal (right) AC energy maps DC image’s luminosity component Contrast adjusted DC colour image Labelled image with two skin colour regions Contrast adjustment Skin colour segmentation Binary closing & hole filling Connected regions labelling DC image Compressed image (DC/AC coefficients) AC coefficients Figure 2: Face detector algorithm’s architecture and examples of the input and output of each of the algorithm’s steps. Compressed image (DC/AC coefficients) Contrast adjustment Face candidates : Face detector algorithm’s architecture and examples of the input and output of each of the algorithm’s steps. of specific facial features. The vertical AC energy map, illus- trated in Figure 2, is built from the AC coefficients indicated in Figure 3(a) and highlights regions of the image that have high vertical variance; on the other hand, the horizontal AC energy map also illustrated in Figure 2 is built from the coef- ficients indicated in Figure 3(b) and highlights regions with high horizontal and diagonal variance. relevance value to determine which best represents a face. Relevance determination will be based on the size of the face candidate, the face candidate’s percentage of skin colour pix- els and the face candidate’s facial features intensity in the fea- ture map. After computing the relevance of all generated face candidates for each individual skin colour region, the best is determined by choosing the one with the highest relevance for each individual skin colour region. Finally, a feature map is built calculating for each position in the feature map matrix the following value: The face detection algorithm presented here is described in higher detail in [15, 16]. feature map(x, y) = dilated(x, y) eroded(x, y) + 1 × vertical energy map(x, y) + 1 horizontal energy map(x, y) + 1. (1) feature map(x, y) = dilated(x, y) eroded(x, y) + 1 × vertical energy map(x, y) + 1 horizontal energy map(x, y) + 1. 2.2.1. Backward object displacement determination DVx = n i=1 MVxi n , DV y = n i=1 MV yi n , (6) (6) Defining SMB as the set of macroblocks (MBs) that comprise the object let SMV represent the set of backward motion vec- tors (BMVs) corresponding to the macroblocks that define the object, where MVxi and MV yi are the ith values of the SMVx and SMV y sets defined before. If the objects are not moving, the mean backward dis- placement vector will have both components equal to zero and the tracking algorithm will simply indicate the same location as indicated in the previous frame—the algorithm should not fail to track faces when they are not moving. SMV = MV1, ..., MVn , (2) (2) where n is the number of macroblocks that define the object being tracked. If this set is empty (n = 0), meaning that no BMVs exist for the MBs that comprise the object, no object displacement vector can be determined and the face cannot be tracked further. Although the proposed algorithm is not used to track ob- jects to I-frames (since object—in this case, face-detection takes place in those frames), it should be noted that the back- ward object displacement determination technique just de- scribed could be used to determine the object’s displacement from a B-frame to a future reference I-frame—in case no detection algorithms were available, the proposed solution would be much less computationally complex than the tech- nique proposed in [6] where block matching is needed in or- der to extract motion features for the I-frames. Let a motion vector be defined by its x- and y-compo- nents, that is, MV = (MVx, MV y). 1 Besides the average, the mode and the median information were also com- puted. Experiments have shown, however, that using the average will yield the best results. 2.2. Object tracking DC (b) DC (a) (a) (b) Figure 3: Set of AC coefficients for (a) vertical and (b) horizontal and diagonal variance. average1 of the x- and y-components of the motion vectors taken from the SMVx and SMV y defined before, that is, average1 of the x- and y-components of the motion vectors taken from the SMVx and SMV y defined before, that is, motion vector information, objects are tracked using a for- ward object displacement determination technique (as rep- resented by FODD in Figure 1)—forward motion vectors are used to determine the object’s displacement from a previous reference (I- or P-) frame to a B-or P-frame. Both techniques are described in the following. DVmean = DVx, DV y  (5) (5) with 2.2. Object tracking (1) As explained before, object tracking is used in the face track- ing system to determine, in P- and B-frames, the location of previously detected faces. This tracking procedure is per- formed using only compressed domain information—in this case, motion vector information available in macroblocks in these frames. The first fraction in (1) enhances dark locations surrounded by bright areas (a similar equation is used in [11] to deter- mine the location of the eyes in uncompressed images). The second fraction enhances regions with a high vertical vari- ance and with a low horizontal variance thus highlighting the presence of facial features (e.g., eyes, eyebrows, mouth) and de-emphasizing locations like the sides of the face (which may as well have high horizontal variance). However, a different type of motion vector informa- tion may be available according to the type of frames the objects are being tracked to. In fact, in P-frames only for- ward motion vector information may be available (indicating the prediction of the frame’s macroblocks in past reference frames); in B-frames, both forward and backward (indicating the prediction of the frame’s macroblocks in future reference frames) motion vector information may be available. For this reason, the tracking procedure varies, according to the type of motion vector information being used: when using back- ward motion vector information, objects are tracked using a backward object-displacement determination technique (as represented by BODD in Figure 1)—backward motion vec- tors are used to determine the object’s displacement from a B-frame to a future reference P-frame; when using forward In order to determine the location of faces that may ex- ist in each skin colour region previously identified, the loca- tion of facial features is first determined. Facial features are identified directly from the feature map simply by projecting its values on vertical and horizontal axis (a similar technique was used in [12]). Face candidates representing possible lo- cations of faces in the image can now be determined for each skin colour region. These candidates are generated from the location of the features determined from the feature map, according to a model of typical frontal and rotated human faces. Finally, face candidates are ranked after computing a EURASIP Journal on Applied Signal Processing 4 DC (a) DC (b) Figure 3: Set of AC coefficients for (a) vertical and (b) horizontal and diagonal variance. 2.2.2. Forward object displacement determination For each macroblock in a P- or B-frame, a forward motion vector may exist to indicate the prediction of the location of that macroblock in a previous I- or P-frame. In the pro- posed object tracking algorithm, forward motion vectors are used to track objects to B-frames; additionally, they can be used to track objects to P-frames in case backward object- displacement determination techniques are not being used or in case no backward motion vectors exist that allow the object to be tracked from a B-frame to a P-frame. In any case, forward motion vectors allow for an object’s displacement from an I- or P-frame to a B- or P-frame to be determined. IMVj Current (P- or B-) frame Figure 4: Forward motion vector map determination. The object may be defined as a set of macroblocks in pre- vious reference I- or P-frames. However, (forward) motion vector information is only available for macroblocks in the current frame. On the other hand, the object can only be tracked from the previous reference frame to current frame if the macroblocks—which comprise it—have some kind of motion information that predicts in some way their location in the current frame. Because the motion information is not readily available, the problem of determining a displacement vector using forward motion information is much different from that found while determining a displacement vector us- ing backward motion vector information (as described in the previous section). and by its dimensions which are constant and correspond to 16 luminance pixels of both width and height.2 Let MVi represent the forward motion vector of mac- roblock i in the current (P- or B-) frame, MVi = MVxi, MV yi , (8) (8) where MVxi and MV yi are its x- and y-components, respec- tively. Using the forward motion vector MVi from the cur- rent frame, macroblock i can be “projected” to the reference frame simply by shifting that macroblock’s position by the corresponding forward motion vector. Let MBip represent the projection of macroblock i in the reference frame, The displacement vector will also be determined from a set of motion vectors. However, since motion vector information—relating the frame where the object is being tracked from to the frame where the object is being tracked to—is available only in the latter, forward motion informa- tion needs to be somehow “projected” to the reference frame. 2.2.1. Backward object displacement determination (3) (3) The sets SMVx and SMV y can now be defined, representing the set of x- and y-components, respectively, for the motion vectors corresponding to the macroblocks that comprise the object being tracked: The sets SMVx and SMV y can now be defined, representing the set of x- and y-components, respectively, for the motion vectors corresponding to the macroblocks that comprise the object being tracked: Additionally, it should be noted that the computation of displacement vectors from backward motion vectors actually increases the tracking algorithm’s robustness to strong mo- tion: by allowing for an object’s position in a P-frame to be determined from a B-frame rather than from a previous P- or I-frame, the number of frames between the frame where the object is being tracked from to the frame where the object is being tracked to can be much smaller. This enhancement will be particularly noticeable in sequences where between SMVx = MVx1, ..., MVxn , SMV y = MV y1, ..., MV yn . (4) (4) In order to determine the object’s displacement, a displace- ment vector is determined from the mean information asso- ciated with the set of the object’s backward motion vectors. The mean backward displacement vector, DVmean, is a vector whose x- and y-components are determined as the P. M. Fonseca and J. Nesvadba 5 MBRj MBp i MBRj MBp i IMVj MVi MBi Past reference (I- or P-) frame Current (P- or B-) frame Figure 4: Forward motion vector map determination. each reference (I- or P-) frame, a relatively high number of B-frames exist (e.g., I B B B P B B B ...)—in this case, the P- frame is distant from the previous reference frame and thus, the motion vectors may not be able to correctly express an object’s motion, especially if the motion is strong. MBRj MBp i MBRj MBp i Past reference (I- or P-) frame IMVj MVi MBi Current (P- or B-) frame 2 The macroblocks’ dimensions for the chrominance components can be different: if subsampled horizontally by 2, each macroblock’s width will correspond to 8 pixels; if subsampled vertically by 2, each macroblock’s height will correspond to 8 pixels. 3 A minimum of one and a maximum of four macroblocks in the reference frame may be overlapped by the projection of a macroblock from the cur- rent frame to the reference frame. 2 The macroblocks’ dimensions for the chrominance components can be different: if subsampled horizontally by 2, each macroblock’s width will correspond to 8 pixels; if subsampled vertically by 2, each macroblock’s height will correspond to 8 pixels. 3 A minimum of one and a maximum of four macroblocks in the reference frame may be overlapped by the projection of a macroblock from the cur- rent frame to the reference frame. 2.2.2. Forward object displacement determination Reference frame macroblock MBk SIMVk Inverted forward motion vectors Backward predictions Current (P- or B-) frame (b) MBp 3 MBp 4 MBp 1 MBp 2 MV1 MV2 MV3 MV4 MB3 MB4 MB1 MB2 Past reference (I- or P-) frame Current (P- or B-) frame (a) Backward predictions Inverted forward motion vectors Reference frame macroblock (b) (a) Figure 5: (a) Projection of four current frame’s macroblocks on a past reference frame; (b) inverted forward motion vectors determined for the reference frame macroblock indicated in (a) and its corresponding backward predictions on the current frame. with with reference frame. Like described before, associated with each inverted forward motion vector, is an overlap percentage value indicating “how much” of the macroblock was over- lapped by the current frame projected macroblock to which the inverted motion vector corresponded. It follows naturally that the higher the overlap percentage value is for an inverted motion vector, the more likely it will be that the vector in- dicates a good backward prediction for that macroblock in the current frame. On the contrary, a low overlap percent- age value associated with an inverted forward motion vec- tor will give no guarantee whatsoever about the “quality” of the backward prediction for that macroblock in the current frame. This overlap percentage value thus indicates a “con- fidence” value regarding the backward prediction of a given macroblock in the reference frame. IMVxj = −MVxi, IMV yj = −MV yi, OPj = area MBRj ∩MBip, (13) (13) where IMVxj and IMV yj represent the x- and y-compo- nents of the inverted forward motion vector from mac- roblock i and OPj represents the overlap percentage value indicating “how much” of the projected macroblock MBip overlaps MBRj. j Figure 5(a) illustrates the projection of four macroblocks from the current frame to a past reference frame; associated with each of these macroblocks is a forward motion vector— as can be seen, the macroblock in the reference frame indi- cated with the black dotted square is overlapped by four pro- jections. 2.2.2. Forward object displacement determination In other words, each macroblock that defines the object in the reference frame will need a kind of motion vector that indicates its “backward” prediction in the current frame. For that purpose, a forward motion vector map is built for the reference frame, based on which the forward object’s dis- placement vector will be determined. This forward motion vector map consists of a set of lists, built for each macroblock in the reference frame. Each one of these lists corresponds to a set of inverted forward motion vectors (IFMVs) repre- senting the backward prediction of a reference frame’s mac- roblock in the current frame and an associated “confidence” value for that prediction. MBip = (MBxi + MVxi, MByi + MV yi , (9) (9) and let MBRjrepresent a macroblock j in the reference frame that is overlapped by the projection of macroblock i3 in the reference frame, such that MBRj ∩MBip ̸= φ (10) (10) with MBRj defined by the coordinates of its leftmost topmost pixel, MBRj = MBRxj, MBRyj . (11) (11) Now, let IMVj represent the inverted forward motion vector of a current frame’s macroblock i overlapping macroblock MBRj in the reference frame Now, let IMVj represent the inverted forward motion vector of a current frame’s macroblock i overlapping macroblock MBRj in the reference frame IMVj = IMVxj, IMV yj, OPj  (12) (12) Following the nomenclature used in Figure 4, the for- ward motion vector map determination procedure will now be explained. A macroblock i is defined by the x- and y-coordinates of its leftmost and topmost pixel, MBxi and MByi, respectively MBi = MBxi, MByi  (7) EURASIP Journal on Applied Signal Processing 6 MBp 3 MBp 4 MBp 1 MBp 2 MV1 MV2 MV3 MV4 MB3 MB4 MB1 MB2 Past reference (I- or P-) frame Current (P- or B-) frame (a) Reference frame macroblock MBk SIMVk Inverted forward motion vectors Backward predictions Current (P- or B-) frame (b) Figure 5: (a) Projection of four current frame’s macroblocks on a past reference frame; (b) inverted forward motion vectors determined for the reference frame macroblock indicated in (a) and its corresponding backward predictions on the current frame. 3. COMPUTATIONAL COMPLEXITY AND PERFORMANCE ANALYSIS In order to determine the object’s displacement, a dis- placement vector is determined from the mean4 information of the global set of inverted forward motion vectors, SIMV. The mean inverted forward displacement vector, IDVmean, is a vector whose x- and y-components are determined as the average of the x and y component values from the global set SIMV defined before, weighted by the corresponding over- lap percentage values, that is, In order to determine the face tracking algorithm’s computa- tional complexity, that is, the required number of instruc- tions per second, face tracking (comprising both the face detector and the object tracker) is considered to be applied on an ARM9-based platform, performing real-time track- ing across all frames of an MPEG-2 video sequence, with a frame rate of 25 frames per second and a GOP size of 6. The face detection (alone) and face tracking algorithms’ com- putational complexities—measured in millions of instruc- tions per second (MIPS) and in millions of cycles per sec- ond (Mcycle/s)—are indicated in Table 1. As it can be eas- ily seen, the face detection algorithm alone is extremely in- expensive, being able to detect and locate faces in I-frames of compressed video sequences. With a small increase (ap- proximately 25% for PAL D1 resolution) of complexity, the complete face tracking algorithm (face detection and object tracking) is able to determine the location of faces in all frames of compressed video sequences. The proposed algo- rithms are thus extremely inexpensive and adequate for use in low-performance CE devices, using less than 10% of an ARM9 processor’s capacity for face tracking in frames with VGA resolution. IDVmean = IDVx, IDV y  (16) (16) with IDVx = qmax i=1 IMVxq · OPq qmax q=1 OPq , IDV y = qmax i=1 IMV yq · OPq qmax q=1 OPq , (17) (17) where qmax is the number of inverted motion vectors in the global set SIMV, and IMVxq and IMV yq represent the x- and y-components, respectively, of the qth inverted forward motion vector in SIMV. OPq represents the overlap percent- age value associated with the qth inverted forward motion vector in SIMV. In order to analyse the algorithm’s tracking performance, tests were performed on two home-video sequences—in- doors and outdoors. The sequences were captured under dif- ficult and heterogeneous light conditions. 2.2.2. Forward object displacement determination Figure 5(b) illustrates the list of inverted forward motion vectors determined for that macroblock in the ref- erence frame—since more than one projection overlapped the macroblock (as in Figure 5(a)), more than one inverted forward motion vector exists for that reference frame mac- roblock; these inverted forward motion vectors thus indi- cate an estimate of the (backward) prediction of the reference frame macroblock in the current frame. The displacement of an object from the reference frame to the current frame can now be determined from the set of inverted forward motion vectors. Defining the object as a set of macroblocks in the reference frame, the set of inverted for- ward motion vectors from where the object’s displacement is computed corresponds simply to the union of the sets of in- verted forward motion vectors, SIMVk, for each of the mac- roblocks that comprise the object. A complete forward motion vector map will consist of a list of inverted forward motion vectors, like those defined in (12), for each macroblock in the reference frame—the list of inverted forward motion vectors for the macroblock MBk in Figure 5(b) corresponds to the set of inverted forward mo- tion vectors and the associated overlap percentages, indicated as SIMVk. Let SMB represent the macroblocks that define the ob- ject in the reference frame. Now, let SIMVk represent the set of inverted forward motion vectors for macroblock k in the reference frame, SIMVk = IMVk 1, ..., IMVk kmax , (14) (14) where IMVkwas defined before, in (12) and kmax corre- sponds to the number of inverted forward motion vectors that macroblock k has in its list in the forward motion vector map. For each of these macroblocks, the list of inverted for- ward motion vectors may have more than one element since more than one macroblock in the current frame could have had a projection overlapping the same macroblock in the P. M. Fonseca and J. Nesvadba 7 Table 1: Face detection and face tracking algorithms’ complexity. Face detection Face tracking Resolution MIPS Mcycle/s MIPS Mcycle/s PAL D1 7.53 20.95 9.22 25.95 VGA 5.58 15.52 6.83 19.22 SIF 1.53 4.27 1.88 5.29 Table 1: Face detection and face tracking algorithms’ complexity. “confidence” will weigh more in the computation of the ob- ject’s displacement vector whereas lower “confidence” mo- tion vectors will influence the displacement vector’s compu- tation less. 4 Besides the mean, the mode and the median information were also com- puted from the set of inverted forward motion vectors. Experiments have shown, however, that using the mean computation will yield the best re- sults. 2.2.2. Forward object displacement determination A global set of inverted motion vectors for the entire ob- ject, SIMV, can now be built from the union of the sets SIMVk for the various macroblocks that define the object in the reference frame, Again, if the objects are not moving, the mean inverted forward displacement vector will have both components equal to zero and the tracking algorithm will simply indicate the same location as indicated in the previous frame—the al- gorithm should not fail to track faces when they have stopped moving. SIMV =  m SIMVm ∀m : MBm ∈SMB. (15) (15) Situations may occur where no inverted forward motion vec- tors exist in the global set SIMV. This situation occurs if the macroblocks in the current frame have no forward motion vectors. In this case, no forward object displacement can be determined, the object’s location in the current frame cannot be determined and naturally faces cannot be tracked further. Situations may occur where no inverted forward motion vec- tors exist in the global set SIMV. This situation occurs if the macroblocks in the current frame have no forward motion vectors. In this case, no forward object displacement can be determined, the object’s location in the current frame cannot be determined and naturally faces cannot be tracked further. 3. COMPUTATIONAL COMPLEXITY AND PERFORMANCE ANALYSIS The subjects were recorded with frontal and nonfrontal poses and with differ- ent facial expressions, a variety of hairstyles, and some of the subjects had a beard and glasses. Both sequences were en- coded in MPEG-2 with a GOP size of 6. A face is consid- ered to be detectable if it is tilted below an angle of ±20 de- grees, rotated below an angle of ±80 degrees and if most of the face’s colour corresponds to skin colour. As explained, the overlap percentage value provides an indication of the “confidence” associated with the predic- tion of a reference frame’s macroblock in the current frame. Therefore, by weighting the average with this overlap per- centage value, inverted forward motion vectors with higher In order to evaluate the face tracking algorithm’s perfor- mance, a loose location criterion is introduced. According to EURASIP Journal on Applied Signal Processing 8 8 Table 2: Face detection and face tracking performance results. Face detection Face tracking Test sequence Frames Faces Correct locations Missed faces False locations Recall Precision Frames Faces Correct locations Missed faces False locations Recall Precision Indoors 736 335 311 24 68 0.93 0.82 4416 1973 1771 202 502 0.90 0.78 Outdoors 541 159 149 10 34 0.94 0.81 3246 950 868 82 230 0.91 0.79 Global 1277 494 460 34 102 0.93 0.82 7662 2923 2639 284 732 0.90 0.78 Figure 6: Examples of faces correctly detected with the described algorithm. Table 2: Face detection and face tracking performance results. Figure 6: Examples of faces correctly detected with the described algorithm. this criterion, the location of faces in each frame are manually annotated and classified according to the following classes: where correct and false correspond to the number of correct and false locations, respectively, classified according to the criterion defined above. The precision metric expresses the capability of the tracking algorithm to determine only cor- rect locations while avoiding false alarms. Notice that the recall metric expresses the capability to locate all the de- tectable faces regardless of the number of false locations in- dicated. 3. COMPUTATIONAL COMPLEXITY AND PERFORMANCE ANALYSIS (i) a correct location is considered when the bounding box representing the face location as determined by the face tracking algorithm covers approximately at least half of the face or encloses completely at least one visi- ble facial feature; (ii) a false location is considered when the bounding box representing the face location does not satisfy any of the two previous conditions, that is, when something that is not a face is erroneously located as such; The performance results for both the face detection and the object tracking algorithms were obtained after visually analysing the detection and tracking results on each single frame and, using the criterion defined above, counting the number of correct and false locations and the number of missed faces. (iii) a missed face is considered when a face appears in the image, it is considered to be detectable but it is not un- der the bounding box of a correct location. Table 2 indicates the detection (in I-frames) and the tracking results (in all frames) for each of the two video sequences. As it can be seen, the face detection algorithm achieves a very high recall value of 93% and a slightly lower precision value of 82%. The performance of the tracking al- gorithm naturally depends on the performance of the detec- tion algorithm (faces that are not detected will not be tracked and false detections will naturally lead to false locations by the tracking algorithm). By using only motion information to track faces throughout each GOP, the tracking algorithm achieves a still extremely high recall value of 90% and a pre- cision value of 78%. The performance decreases only slightly when compared to the detection performance. However, the location of faces may now be determined for all frames of the video sequences. The tracking algorithm’s performance, according to this matching criterion, will be evaluated in terms of the ratio of correct locations against the number of detectable faces, as expressed by the recall metric, recall = correct correct + missed , (18) recall = correct correct + missed , (18) (18) where correct and missed correspond to the number of cor- rect and missed locations, respectively, classified according to the criterion defined above. precision = correct correct + false, (19) 3. COMPUTATIONAL COMPLEXITY AND PERFORMANCE ANALYSIS Additionally, the algorithm’s performance will also be evaluated in terms of the ratio between the number of correct detections and the total number of detections (i.e., correct and false detections), as expressed by the precision metric, precision = correct correct + false, (19) Figure 6 illustrates examples of correctly detected faces with the described face detection algorithm. As it can be seen, precision = correct correct + false, (19) (19) P. M. Fonseca and J. Nesvadba 9 (a) (b) (c) (d) (e) (f) Figure 7: Example of a face correctly tracked for the entirety of a shot comprised of 22 GOPs; for each of the indicated GOPs, two figures are illustrated: the result of detection in the first (I) frame of the GOP (on the left) and the result of tracking at the last frame of the GOP (on the right). (a) GOP1, (b)GOP2, (c) GOP3, (d) GOP20, (e) GOP21, and (f) GOP22. (b) (a) (c) (c) (a) (b) (f) (d) (e) (e) (f) (d) Figure 7: Example of a face correctly tracked for the entirety of a shot comprised of 22 GOPs; for each of the indicated GOPs, two figures are illustrated: the result of detection in the first (I) frame of the GOP (on the left) and the result of tracking at the last frame of the GOP (on the right). (a) GOP1, (b)GOP2, (c) GOP3, (d) GOP20, (e) GOP21, and (f) GOP22. Figure 8: Example of the result of face tracking in a GOP with strong camera motion; the bounding box in the first frame, in the left, corresponds to the result of face detection. Figure 8: Example of the result of face tracking in a GOP with strong camera motion; the bounding box in the first frame, in the left, corresponds to the result of face detection. the detection algorithm is able to detect rotated and titled faces. provided by forward and backward motion vectors in the remaining frames, the proposed algorithm offers a process- ing power efficient, inexpensive, fast, and sufficiently reliable solution for object tracking for various consumer electronic applications. The solution’s processing power efficient na- ture enables even its implementation on portable and mobile platforms for applications such as face image stabilization for mobile video conferencing. Figure 7 illustrates an example of a correctly tracked face for an entire shot comprised of 22 GOPs. 3. COMPUTATIONAL COMPLEXITY AND PERFORMANCE ANALYSIS The tracking algo- rithm is able to cope with camera pan, zoom, and even par- tial occlusion of the face. Figure 8 illustrates an example of a sequence where the face tracking algorithm is not able to cor- rectly locate the face being tracked throughout all frames of a GOP with strong camera motion. This is due to the fact that in this particular sequence the motion vectors are not able to correctly express the objects’ motion, and thus, tracking is not performed correctly. The same figure highlights another situation where the tracking algorithm naturally fails, that is, when a new face appears in the middle of the GOP. Naturally, since the only faces that can be tracked are those that were de- tected, a newly appearing face will only be tracked from the moment it is detected in an I-frame. The complete face tracking algorithm’s performance was analysed after performing face tracking on two home-video sequences. These sequences were considered to be represen- tative of the typical content in applications for which the developed face tracking algorithm was originally devised— compressed home-video sequence analysis for content man- agement in low-power CE devices. The face tracking algo- rithm’s recall measure was found to be high (90%) while its precision was found to be slightly lower (78%). While it was shown that the tracking algorithm depends on the perfor- mance of the detection algorithm, its performance was found not to decrease significantly when compared to the latter. In fact, with only a small increase of complexity, the location of faces may be determined with sufficient accuracy for all frames in compressed video sequences. 4. CONCLUSIONS This paper proposed a compressed domain object tracking algorithm, which, combined with a face detection algorithm that also acts in the compressed domain, allows for faces to be tracked throughout video sequences where a specific type of compressed domain data is available (such as MPEG-1 or MPEG-2 video sequences). Using only DCT coefficients to detect faces in some frames and motion information as A comparison with other algorithms proposed in the literature is hard since few face tracking algorithms exist that perform in the compressed domain. In addition, among those described, performance is not tested in common and EURASIP Journal on Applied Signal Processing 10 publicly available content nor is there any publicly avail- able code of their implementations. For future work, the proposed algorithm’s performance will be analysed under known video sequences and possible comparisons will be made against existing face detection and face tracking algo- rithms. Proceedings of SPIE, pp. 988–996, San Jose, Calif, USA, January 1998. [9] W.-N. Lie and R.-L. Chen, “Tracking moving objects in MPEG-compressed videos,” in Proceedings of IEEE Interna- tional Conference on Multimedia and Expo (ICME ’01), pp. 965–968, Tokyo, Japan, August 2001. [10] V. Vezhnevets, V. Sazonov, and A. Andreeva, “A survey on pixel-based skin color detection techniques,” in Proceedings of International Conference on Computer Graphics & Vision (GraphiCon ’03), pp. 85–92, Moscow, Russia, September 2003. In conclusion, the novelty of the face tracking algorithm proposed resides in the use of backward motion vectors to allow tracking to be performed from B-frames to (I- or P-) reference frames. The algorithm should thus be more robust to strong motion than previously proposed algorithms. Be- sides, it now allows for the tracking of objects to I-frames. [11] R.-L. Hsu, M. Abdel-Mottaleb, and A. K. Jain, “Face detec- tion in color images,” IEEE Transactions on Pattern Analysis and Machine Intelligence, vol. 24, no. 5, pp. 696–706, 2002. g j Additionally, the algorithm cleverly uses inverted motion vectors weighted by overlap areas to track objects using for- ward motion vectors. This strategy allows for the computa- tion of a weighted average of inverted motion vectors, where the weight is given by the overlap percentage value, which, as explained, acts as an indication of “confidence.” Thus, mo- tion vectors with higher confidences will weigh more in the displacement vector computation. 4. CONCLUSIONS This technique has been experimentally proven to yield better performance than the typical mode value computation used in previously proposed algorithms. Besides being sounder, it is much less computa- tionally complex than existing techniques. [12] K. Sobottka and I. Pitas, “A novel method for automatic face segmentation, facial feature extraction and tracking,” Signal Processing: Image Communication, vol. 12, no. 3, pp. 263–281, 1998. [13] A. Nikolaidis and I. Pitas, “Facial feature extraction and de- termination of pose,” in Proceedings of NOBLESSE Workshop on Non-Linear Model Based Image Analysis (NMBIA ’98), pp. 257–262, Glasgow, Scotland, UK, July 1998. [14] Y. Zhang and T.-S. Chua, “Detection of text captions in com- pressed domain video,” in Proceedings of ACM Workshops on Multimedia (ACM MM ’00), pp. 201–204, Los Angeles, Calif, USA, October 2000. [15] P. Fonseca and J. Nesvadba, “Face detection in the compressed domain,” in Proceedings of IEEE International Conference on Image Processing (ICIP ’04), vol. 3, pp. 2015–2018, Singapore, October 2004. REFERENCES [16] J. Nesvadba, R. Kleihorst, J. Fan, P. M. Fonseca, and H. Broers, “Face related features in consumer electronic (CE) device en- vironments,” in Proceedings of IEEE International Conference on Systems, Man and Cybernetics (SMC ’04), vol. 1, pp. 641– 648, The Hague, The Netherlands, October 2004. [1] E. Hjelm˚as and B. K. Low, “Face detection: a survey,” Computer Vision and Image Understanding, vol. 83, no. 3, pp. 236–274, 2001. [2] M.-H. Yang, D. J. Kriegman, and N. Ahuja, “Detecting faces in images: a survey,” IEEE Transactions on Pattern Analysis and Machine Intelligence, vol. 24, no. 1, pp. 34–58, 2002. Pedro Miguel Fonseca has obtained his B.S. degree in electrical and computer en- gineering in 2002 from the Instituto Supe- rior T´ecnico in Lisbon, Portugal. In 2004 he obtained his M.S. degree in electrical and computer engineering after completing an internship in Philips Research where he worked on face detection and face track- ing in compressed video content. In 2004 he joined Philips Research as a Research Scien- tist and has worked since then on algorithms for multimedia con- tent analysis, pattern recognition, signal processing, and computer vision. He has also been involved in the design of system archi- tectures for distributed content analysis and in the specification of future generations of ICs for video processing and encoding. He is actively involved in national and international research projects (MultimediaN, CANDELA) and has published several conference and journal papers in his field of research. [3] R. Achanta, M. Kankanhalli, and P. Mulhem, “Compressed domain object tracking for automatic indexing of objects in MPEG home video,” in Proceedings of IEEE International Con- ference on Multimedia and Expo (ICME ’02), vol. 2, pp. 61–64, Lausanne, Switzerland, August 2002. Pedro Miguel Fonseca has obtained his B.S. degree in electrical and computer en- gineering in 2002 from the Instituto Supe- rior T´ecnico in Lisbon, Portugal. In 2004 he obtained his M.S. degree in electrical and computer engineering after completing an internship in Philips Research where he worked on face detection and face track- ing in compressed video content. In 2004 he joined Philips Research as a Research Scien- tist and has worked since then on algorithms for multimedia con- tent analysis, pattern recognition, signal processing, and computer vision. REFERENCES He has also been involved in the design of system archi- tectures for distributed content analysis and in the specification of future generations of ICs for video processing and encoding. He is actively involved in national and international research projects (MultimediaN, CANDELA) and has published several conference and journal papers in his field of research. [4] J. Wang, R. Achanta, M. Kankanhalli, and P. Mulhem, “A hier- archical framework for face tracking using state vector fusion for compressed video,” in Proceedings of IEEE International Conference on Acoustics, Speech, and Signal Processing (ICASSP ’03), vol. 3, pp. 209–212, Hong Kong, April 2003. [5] D. Schonfeld and D. Lelescu, “VORTEX: video retrieval and tracking from compressed multimedia databases: affine trans- formation and occlusion invariant tracking from MPEG-2 video,” in Storage and Retrieval for Image and Video Databases VII, vol. 3656 of Proceedings of SPIE, pp. 131–142, San Jose, Calif, USA, January 1998. [6] L. Favalli, A. Mecocci, and F. Moschetti, “Object tracking for retrieval applications in MPEG-2,” IEEE Transactions on Cir- cuits and Systems for Video Technology, vol. 10, no. 3, pp. 427– 432, 2000. Jan Nesvadba obtained the Dipl.-Ing. (M.S.) degree (cum laude) in electrical engineering (telecommunication and in- formation technology) from the Technical University of Vienna, Austria, in 1997. He did his M.S. thesis work in the field of elec- trobiology on dielectrophoresis of biologi- cal cells. Currently, he is finalizing his Ph.D. thesis at LaBRI, University of Bordeaux 1, Jan Nesvadba obtained the Dipl.-Ing. (M.S.) degree (cum laude) in electrical engineering (telecommunication and in- formation technology) from the Technical University of Vienna, Austria, in 1997. He did his M.S. thesis work in the field of elec- trobiology on dielectrophoresis of biologi- cal cells. Currently, he is finalizing his Ph.D. thesis at LaBRI, University of Bordeaux 1, [7] V. Mezaris, I. Kompatsiaris, N. Boulgouris, and M. G. Strintzis, “Real-time compressed-domain spatiotemporal segmentation and ontologies for video indexing and retrieval,” IEEE Trans- actions on Circuits and Systems for Video Technology, vol. 14, no. 5, pp. 606–621, 2004. [8] Y. Nakajima, A. Yoneyama, H. Yanagihara, and M. Sugano, “Moving object detection from MPEG coded data,” in Vi- sual Communications and Image Processing ’98, vol. 3309 of 11 P. M. Fonseca and J. Nesvadba France. He joined Philips Research in 1998 and started his research career on digital return channels for HybridFiberCoax networks. REFERENCES His current fields of investigation as a Senior Scientist at Philips Re- search are retrieval algorithms (multimedia content analysis, com- puter vision, multimedia signal processing), related smart system architectures (e.g., distributed analysis for consumer electronics in- home networks, grid computing) for audiovisual content analysis, the adaptation of existing ICs (encoders, codecs) for the generation of content descriptors (e.g., MPEG-7), and the optimal use of these descriptors in consumer storage devices and user interfaces. He has published extensively in those fields (conferences, journal papers, book chapters, international patents), he is an active contribution member of various national and international projects (e.g., ITEA AVIR, ITEA CANDELA, Bsik MultimediaN), and he is an active committee member of multiple related conferences.
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Providing Continuous 5G Connectivity along Ferry Lines - Concepts and Trials of 5G-ROUTES Project (Invited paper)
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Providing Continuous 5G Connectivity along Ferry Lines – Concepts and Trials of 5G-ROUTES Project (Invited paper) Matti Lankinen Vediafi Helsinki, Finland matti.lankinen@vedia.fi Kati Kõrbe Kaare Department of Applications Development Ericsson Estonia Tallinn, Estonia kati.korbe@ericsson.ee ORCID: 0000-0002-7060-1659 Kati Kõrbe Kaare Department of Applications Development Ericsson Estonia Tallinn, Estonia kati.korbe@ericsson.ee ORCID: 0000-0002-7060-1659 Arturs Lindenbergs Business Management Department LMT Riga, Latvia arturs.lindenbergs@lmt.lv Arturs Lindenbergs Business Management Department LMT Riga, Latvia arturs.lindenbergs@lmt.lv Helmut W. Zaglauer Advanced Systems Team Technical Strategy Department Airbus Defence and Space Friedrichshafen, Germany helmut.zaglauer@airbus.com ORCID: 0000-0003-4884-0482 Helmut W. Zaglauer Advanced Systems Team Technical Strategy Department Airbus Defence and Space Friedrichshafen, Germany helmut.zaglauer@airbus.com ORCID: 0000-0003-4884-0482 Kristjan Kuhi Department of Applications Development Ericsson Estonia Tallinn, Estonia kristjan.kuhi@ericsson.ee Miquel Payaró Centre Tecnològic de Telecomunicacions de Catalunya (CERCA) Castelldefels, Spain mpayaro@cttc.es ORCID: 0000-0003-0145-1674 Kristjan Kuhi Department of Applications Development Ericsson Estonia Tallinn, Estonia kristjan.kuhi@ericsson.ee Miquel Payaró Centre Tecnològic de Telecomunicacions de Catalunya (CERCA) Castelldefels, Spain mpayaro@cttc.es ORCID: 0000-0003-0145-1674 Abstract— The 5G-ROUTES project is part of the European effort to validate, test and pre-deploy 5G connectivity along major transport corridors with a focus on cross-border segments. It addresses Connected and Automated Mobility applications along the 'Via Baltica North' traversing Finland, Estonia, and Latvia and, also, 5G connectivity across the Baltic Sea between Finland and Estonia. The signal strength of coastal base stations both in the 700 MHz and 3.5 GHz frequency was measured along the ferry route between the ports of Helsinki/Vuosaari in Finland and Tallinn/Muuga in Estonia. Even though the 5G signals could be detected much further away from the coast than expected, there remains a gap in coverage that needs to be closed to provide continuous 5G connectivity of sufficient bandwidth. The installation of communication infrastructure along water ways is challenging and impossible in some areas, therefore the 5G- ROUTES project has investigated innovative approaches such as various multi-hop concepts and the use of satellites. In the planned trial phase, selected solutions shall be field tested and demonstrated to evaluate their suitability, technical maturity and performance. The obtained results of the 5G-ROUTES ferry trials will be applicable also to much longer ferry routes and can be transferred to road and rail transport in very remote areas where deployment of suitable 5G infrastructure may be technologically challenging and costly. this growing need with a specific focus on the mobility vertical encompassing all modes of transportation - land (both road and rail) and sea - and especially also cross-border segments. Providing Continuous 5G Connectivity along Ferry Lines – Concepts and Trials of 5G-ROUTES Project (Invited paper) 5G- ROUTES is one of the four projects that started during the fall of 2020 - with funding from the European Union's Horizon 2020 research and innovation program - to address 5G for Connected and Automated Mobility (CAM). The overall objective of the 5G-ROUTES project is to conduct advanced field trials of some representative and innovative CAM applications, seamlessly functioning across a designated 5G cross-border corridor (‘Via Baltica-North’) traversing Finland, Estonia & Latvia, in order to validate the latest 5G features and 3GPP specifications (Releases 16 and 17) under realistic conditions, so as to accelerate the widespread deployment of 5G end-to-end (E2E) interoperable CAM ecosystems and services in digitized motorways, railways and shipways throughout Europe. For this purpose, a number of use cases have been identified mostly for CAM applications, but also addressing multi-modal transport with the following scenarios considered for trialing: • cross-border (along the borders between Finland, Estonia, and Latvia) • cross-telecom operators (between the mobile network operators (MNOs) Telia and LMT), Helmut W. Zaglauer Advanced Systems Team Technical Strategy Department Airbus Defence and Space Friedrichshafen, Germany helmut.zaglauer@airbus.com ORCID: 0000-0003-4884-0482 Keywords—5G connectivity, maritime solutions, multi-hop, 5G NTN, Trans-European cross-border corridors • cross-transport-mode settings (considering Road, Rail, and Ferry), A. 3.5 GHz coverage The planned connectivity trials will be implemented on Eckerö line’s Finbo ferry travelling between the ports of Vuosaari and Muuga across the Baltic Sea. For this purpose, a small cell 5G base station will be installed on the ferry and backhauling methods - like radio links, satellite connectivity, cellular backhaul and multi-hop concepts - to connect and integrate it with the 5G Core Network of the 5G-ROUTES project shall be tested. Currently, a 5G base station operating at 3.5 GHz is located in the Vuosaari harbor and the signal strength was measured along the ferry line that is depicted in Figure 1. The 5G signal reached 8.11 km from the shore with a strength of between 105 to 110 dBm and then deteriorated rapidly. The performance was better than initially expected, but not enough for covering shore to shore. Figure 1. 3.5 GHz signal strength along the ferry route from Vuosaari harbor The current backhaul connectivity used on Baltic ferries makes use of radio modems with directional high gain antennas on land and ships. This kind of technology is also used by operators to link their cellular masts, but the ferry solution has the additional capability to follow moving ships. Data transmission speeds of this technology range up to 100 Mbps. Additionally, proprietary satellite links are employed, but with certain performance shortcomings related to coverage, high cost, and lack of integration with emerging 5G cellular networks. The ambition of the 5G-ROUTES project is to go well beyond this state of the art and to present and trial viable solutions for continuous and ubiquitous maritime connectivity that will also be applicable for other - much longer - ferry routes and also for other use cases. Figure 1. 3.5 GHz signal strength along the ferry route from Vuosaari harbor The present paper is organized as follows. First, Section II discusses the various options that were considered within the 5G-ROUTES project to provide 5G connectivity on the ferry route(s) across the Baltic Sea between the ports of Helsinki/Vuosaari in Finland and Tallinn/Muuga in Estonia. Section II also provides an overview of the initial measurement campaign that was carried out to assess the current 5G coverage in the Baltic Sea. I. INTRODUCTION • integrated multi-hop and terrestrial-satellite connectivity. With the emergence and increasing availability of the fifth generation (5G) of cellular networks, customers - both business and private - are getting used to (and depending more and more on) reliable medium to high data rate connectivity everywhere and all the time. The European 5G Action Plan [1] is addressing Among the use cases defined in the 5G-ROUTES project in [2], one specific use case (UC 5.1) focuses on supply chain transparency in multimodal transportation, which combines XXX-X-XXXX-XXXX-X/XX/$XX.00 ©20XX IEEE road and maritime transportation. The use case consists of two different themes. In the first theme - which is the main topic of the present paper - the aim is to enable continuous connection for cargo monitoring IoT systems during the Baltic Sea ferry trip between Finland and Estonia by utilizing different frequencies and connectivity setups (i.e., using the Telia network and a satellite segment). The second theme focuses on mMTC, and studies what opportunities 5G can provide for cargo monitoring and management on logistics nodes such as in ports, where in a relatively small area, the density of devices might be extremely high with a lot of active IoT sensors. ports and along the coast are able to provide sufficient bandwidth. With increasing distance to the shore the signal strength is decreasing (the faster the higher the carrier frequency is) and, thus, alternative connectivity solutions such as satellites or multi-hop relay need to take over. The remainder of the section discusses the different options regarding 5G connectivity provision starting with 5G coverage at 3.5 GHz and 700 MHz and then moving to connectivity via 5G Non-terrestrial networks and multi-hop relaying. A. 3.5 GHz coverage Section III then gives an overview of the field trials that are planned on the ferry use cases in the 5G-ROUTES project focusing on the overall trial architecture as well as the integration of the satellite and multi-hop connectivity. Finally, the paper concludes in Section IV summarizing the findings achieved so far in the 5G-ROUTES project and, also, providing a vision for applying the results of these investigations more generally to oceanic traffic, but also beyond that to road and rail transport in very remote areas where the deployment of suitable 5G infrastructure may be technologically challenging and/or costly. Using a 3.5 GHz carrier brings the operator multiple advantages and disadvantages. With regard to the advantages we can name: • The band has a more appropriate wavelength to design radios with phased array antennas. Therefore, it is easier to enable beamforming and to use its technical advantages to create a beam that can provide the appropriate coverage in the required area along the ferry lines (see Figure 2 below for a representation of a phased array antenna). • More bandwidth is available to facilitate even the most challenging use cases in terms of capacity (e.g., dense harbor areas). • High loss propagation allows better control of designated coverage with good flexibility for interference mitigation. II. 5G CONNECTIVITY IN TALLINN-HELSINKI CORRIDOR • The commonly used time-division duplex (TDD) spectrum utilization technique allows for flexible configuration of up-link (UL) and down-link (DL) frequency resources based on service type. On their journey across the Baltic Sea from Helsinki/Vuosaari to Tallinn/Muuga, ferries encounter significant variations in 5G coverage that forces them to implement a combination of solutions to ensure continuous connectivity. Close to land, the terrestrial base stations in the Figure 2. Phased array antennas Figure 3. 700 MHz signal strength along the ferry route from Vuosaari harbor Figure 3. 700 MHz signal strength along the ferry route from Vuosaari harbor Figure 2. Phased array antennas However, the use of the 3.5 GHz band comes with a number of disadvantages for our considered use case, among which we find: The main advantages of using a carrier frequency at 700 MHz are: • High frequencies do not penetrate through obstacles, buildings, ships etc. as good as lower frequencies and thus ensuring coverage inside the ships could be challenging. • Low loss propagation and, thus, covering long distances requires less transmitted power. • In the 700 MHz band, mainly, frequency-division duplex (FDD) spectrum usage technique is implemented in today’s networks. Accordingly, operating at this band does not impose any synchronization challenges and, thanks to the fact that DL and UL slots are always immediately available, low latency use cases can be supported. • High propagation loss is a clear disadvantage when the required service distances are long, as it would be the case in the considered ferry use case. • Stronger impact on radio propagation of heavy precipitations, which are common in the considered area. • Commonly, TDD spectrum usage technique is used in the given bandwidth, which imposes a precise network synchronization challenge and requires a common timing source for all the operating parties. In addition, the common TDD pattern needed between operating parties may restrain services, e.g., ultra-low latency services may not be possible or UL being limited in the common situations where the chosen TDD pattern is downlink oriented can yield an impaired UL for the UL intensive service. Finally, if there is a prolonged lack of synchronization in TDD networks, there is a high risk that the network will be disabled. Robustness against this situation can be obtained by means of an extended guard band. II. 5G CONNECTIVITY IN TALLINN-HELSINKI CORRIDOR However, this would imply a significant reduction in usable bandwidth • Reduced power consumption of user equipment, hence more suitable for battery powered devices and IoT. y p • In comparison with 3.5 GHz TDD technological cell range considerably larger. Concerning the disadvantages of 700 MHz operation, we can name: • At the 700 MHz band, there is less available bandwidth. • UL and DL bandwidths are equal and, thus, there is no flexibility for dynamic bandwidth management, which may be important in certain variable-rate applications. • The low frequency of operation poses certain hardware design challenges, especially related to the size of certain components which, in particular, makes the implementation of beamforming rather inefficient. • Some geographical areas have restrictions using 3.5 GHz band due to other equipment being operated on the same frequency. • Due to its low propagation losses, stronger diffraction, and reflection properties, the 700 MHz band poses challenges regarding the control of coverage areas, which in its turn could imply creating interference, especially in some regions where this spectrum is still used by other technologies and coverage. • Depending on the exact TDD pattern, the service range can be rather limited (as low as only a few kilometers). C. Connectivity via 5G non-terrestrial networks The emergence and adoption of new production, propulsion and launching technologies for satellites has drastically reduced the deployment costs of space-based infrastructures and has made mega-constellations viable. Consequently, the use of satellite communication technology as a complement or even an inherent part of future network infrastructures is becoming increasingly interesting for various vertical markets and mobile network operators. 3GPP, the main standardization body for 5G/6G mobile networks, has already mandated in its Release 15 Service Requirements specification [3] that "The 5G system shall be able to provide services using satellite access". Figure 4. Options for realizing satellite connectivity for ferry trials D. Multi-hop concept Integrated Access Backhaul (IAB) B. 700 MHz coverage Besides the details provided in these two subsections above, there are several things that need to be considered when planning and using radio access networks and/or radio links over open seas and on moving ships. Different weather conditions - fog, waves, ice, etc. - affect radio waves to a large extent, which makes the coverage conditions inconsistent. The greater the involved distances, the greater the impact to the radio access network (RAN) could be. Lower frequencies could propagate Similarly as in the previous subsection, the 5G base station operating at 700 MHz is located in the Vuosaari harbor and the signal reached 45.85 km from the shore with a strength of between 105 to 110 dBm and then also deteriorated relatively quickly. However, the technical limitation on 700 MHz 5G New Radio (NR) is currently 35 km and, thus, covering shore to shore even with coastal base stations in Muuga and Vuosaari is not possible. longer distances and, thus, the challenges related to interference need to be addressed. Moreover, on open seas and border areas different legislation (e.g., frequency regulations on international waters) and frequency coordination agreements need to be taken into account.. The 5G-ROUTES project is closely working with the legislative bodies of Finland, Estonia and Latvia to find the best available solutions for the planned trials in the Baltic Sea. longer distances and, thus, the challenges related to interference need to be addressed. Moreover, on open seas and border areas different legislation (e.g., frequency regulations on international waters) and frequency coordination agreements need to be taken into account.. The 5G-ROUTES project is closely working with the legislative bodies of Finland, Estonia and Latvia to find the best available solutions for the planned trials in the Baltic Sea. Figure 4. Options for realizing satellite connectivity for ferry trials D. Multi-hop concept Integrated Access and Backhaul (IAB) is a very important feature introduced as part of 3GPP Releases 15 [6] and 16 with future enhancements in Release 17 [7]. It is an alternative for fiber backhauling giving an opportunity for MNOs to reuse the existing spectrum. As a result, the coverage can be extended with wireless backhaul in a more efficient way and minimizing the impact on 5G Core network [11]. IAB will be mainly used in conjunction with mmWave spectrum in dense areas, but it could be used with other spectrums as well which could be a case for maritime uses cases to link nodes at larger distances. With Release 17, which was finalized by mid-2022, the integration of satellite/non-terrestrial networks (NTN) into the 5G Mobile Telecommunications System has now been included in all the relevant specifications. According to the Rel. 17 Service Requirements [4], a 5G system with satellite access shall support: The high-level IAB concept specifies two types of nodes: the Donor node and the IAB node. The former connects to fiber backhaul and provides a connection to end user equipment and connects to another IAB node. Each IAB node can be connected to several routes, but only one route can be active. A diagram representation of a typical IAB architecture is depicted in Figure 5 below. • "Service continuity between 5G terrestrial access network and 5G satellite access networks" and • "Service continuity between 5G terrestrial access network and 5G satellite access networks" and • "Different configurations where the RAN is either a satellite next generation NG-RAN or a non-3GPP satellite access network, or both" and also with satellites being part of the transport network. Figure 5. Integrated Access Backhaul (IAB) Due to the delays in the finalization of Release 17, a full 5G NTN implementation providing direct access from the UE to the satellite will not be available for the trials in 5G-ROUTES, as equipment vendors are just now starting to develop suitable chipsets, components, and units. However, given that, in the 5G- ROUTES project, a micro 5G cell is being installed on-board for the ferry use-case there exist suitable implementation options that allow trialing of the satellite connection in 2022/23 [5]: • as an NTN transport network (ETSI scenario A4 – Indirect access via transport network) or • as an NTN transport network (ETSI scenario A4 – Indirect access via transport network) or Figure 5. B. Description of planned satellite connectivity trials The set-up for the implementation of the satellite access on the ferry as a transport network that is currently being prepared consists of a satellite antenna/modem assembly with the modem connected via Ethernet to the ferry micro 5G cell and a Ku-band antenna pointing to zenith installed on one of the ferry roofs. The satellite link is planned to be provided by the OneWeb constellation with the access link from ferry to satellite in Ku- Band and the feeder link from satellite to the gateway - that then seamlessly interfaces with the 5G Core Network - in Ka-Band. The planned testing campaign will initially measure the performance of the satellite link - i.e. throughput, latency, availability - in a stand-alone mode. Then, the final field trials will assess the overall connectivity performance for the entire ferry trip based on the above KPIs and including handovers to and from the coastal base stations. Based on these results, recommendations for a prototypical and ultimately full operational implementation will be derived. Figure 7. Vision of 5G-ROUTES Multi-Hop trials The time frame of the execution of the 5G-ROUTES project will not allow sufficient study of the future standard implementations of Release 17 [7], but will give a benchmark for future extended 5G coverage trials in measurements of hybrid backhaul solutions with current cellular and satellite technologies. Nevertheless, the need for improved coverage and cellular 5G service will be verified by the piloting ferry operator and the 5G-ROUTES use cases. A. Overview of trial architecture The architecture of the ferry trials is displayed in Figure 6. The installed infrastructure consists of 4 5G base stations in the port of Muuga and a micro cell 5G base station on the ferry to cover the port areas and the ferry route in between to validate the use cases related to multimodality, goods tracking and providing uninterrupted connectivity from Tallinn to Helsinki. In a multi-hop network, increased number of hops, the distance between vessels, used frequency for backhaul, limited nodes resources due to congestion and other aspects have a clear impact on Quality of Service (QoS). Accordingly, in the planned trials in the 5G-ROUTES project, measurements of latency, throughput and signal-to-noise ratio will be carried out to identify and validate assumptions about factors affecting the provided QoS. Figure 6. Overview of the trial architecture Figure 7. Vision of 5G-ROUTES Multi-Hop trials Figure 6. Overview of the trial architecture III. • as an untrusted access using the non-3GPP Interworking Functionality (N3IWF) with a secure entity (SER) between the micro cell and the NTN terminal to integrate to the 5G core network (ETSI scenario A5 – Indirect untrusted access) The 5G-ROUTES ferry use case will include 700 MHz, 3.5 GHz, and satellite communication as backbone and ferry coverage. All these solutions will be tested and analyzed both separately and together, so that for all users (logistic companies and passengers) can benefit from the continuous and reliable high-quality communication. In the ferry pilots, which are starting in early 2023, the satellite communication is used to provide an alternative for cellular based backbone connectivity. It is clear that, especially on open sea cases such as the one considered in the 5G-ROUTES project, the role of satellite communication becomes paramount. Accordingly, studying strategies for load balancing between cellular and satellite backbone connection will be part of the trials. The block diagram of both ETSI scenarios, A4 and A5, employing state-of-the-art very small aperture Terminals (VSAT) that need to be adapted to the specific satellite system are depicted in Figure 4. Due to the ease of establishing seamless integration with the 5G core network (without the need to implement the N3IWF), the first option (scenario A4) is currently being implemented as a baseline as described in section III.B. the millimeter domain are expected to have several disadvantages in providing seamless cross-border connectivity. A. Overview of trial architecture • Necessary technical developments and adaptations C. Vision of multi-hop simulations and trial possibilities The overall vision of 5G-ROUTES for the multi-hop scenario (Figure 7) consists of two phases of simulations and demonstrations: REFERENCES [1] 5G Action Plan, accessible online at: https://digital- strategy.ec.europa.eu/en/policies/5g-action-plan, 2016. [2] 5G-ROUTES D1.1 “Use cases, scenarios, specifications and target KPIs for 5G for CAM v1.0”, Dec. 2020. [3] 3GPP “Service Requirements for the 5G system; Stage 1 (Release 15); 3GPP TS 22.261 V15.0.0 (2017-03). [4] 3GPP “Service Requirements for the 5G system; Stage 1 (Release 17); 3GPP TS 22.261 V17.5.0 (2020-12) (latest versions are V17.10.0 (2022- 03) for release 17 and V18.6.1 (2022-06)) Figure 8. Multi-hop mesh architecture [5] ETSI Technical Report, “Satellite Earth Stations and Systems (SES); Seamless integration of satellite and/or HAPS (High Altitude Platform Station) systems into 5G and related architecture options, ETSI TR 103 611 V1.1.1 (2020-06) [6] 3GPP “Study on Integrated Access and Backhaul; (Release 15). 3GPP TR 38.874 (2018). [7] 3GPP “Integrated access and backhaul radio transmission and reception (Release 17); 3GPP TS 38.174 V17.1.0 (2022-06) ( ) ( ) [8] X. Li, W. Feng, J. Wang, Y. Chen, N. Ge and C. -X. Wang, "Enabling 5G on the Ocean: A Hybrid Satellite-UAV-Terrestrial Network Solution," in IEEE Wireless Communications, vol. 27, no. 6, pp. 116-121, December 2020, doi: 10.1109/MWC.001.2000076. Figure 8. Multi-hop mesh architecture [9] S. Li, Z. Li, X. Ge, J. Zhang and M. Jo, "Multi-hop links quality analysis of 5G enabled vehicular networks," 2017 9th International Conference on Wireless Communications and Signal Processing (WCSP), 2017, pp. 1-6, doi: 10.1109/WCSP.2017.8171092. The future vision of the 5G connectivity maritime ecosystem involves three main scenarios to provide seamless connectivity: [10] B. Soret, S. Ravikanti and P. Popovski, "Latency and timeliness in multi- hop satellite networks," ICC 2020 - 2020 IEEE International Conference on Communications (ICC), 2020, pp. 1-6, doi: 10.1109/ICC40277.2020.9149009. 1. Short range – from land stations; 2. Multi-hop as a mid-range solution for maritime corridors and internal waters; [11] S. Ranjan, P. Jha, P. Chaporkar and A. Karandikar, "A Novel Architecture for Multihop Relaying in 3GPP LTE and 5G Networks," 2019 IEEE Conference on Standards for Communications and Networking (CSCN), 2019, pp. 1-6, doi: 10.1109/CSCN.2019.8931364. 3. 5G NTN to cover international waters. These three scenarios will enable a multitude of additional use cases supporting enhanced situational awareness and improved goods tracking, improved ship to ship and port to ship connectivity and also autonomous/automated vessels making traffic, travel and transport on the oceans safer and more efficient. ACKNOWLEDGMENT • Maturation of the value chain and service exploitation models and This project has received funding from the European Union’s Horizon 2020 research and innovation programme under grant agreement No 951867. • Inputs to the evolution of future 3GPP releases (specifically with IAB and NTN) • Inputs to the evolution of future 3GPP releases (specifically with IAB and NTN) There is significant potential to build upon the findings of 5G-ROUTES to address more general maritime scenarios - like longer ferry routes, for instance from Tallinn to Stockholm - or even open sea use cases. Multi-hop mesh architectures (see Figure 8) are emerging that use a variety of different elements such as base and relay stations on islands, on ships, Oil platforms and even smaller vessels, on airborne platforms [8] and combined with satellites to connect to a 5G Core Network. IV. CONCLUSIONS AND FUTURE VISION This paper has described auspicious concepts - cellular backhauling via costal stations, satellite connectivity and multi- hopping - to provide continuous 5G connectivity on the ferry route from Helsinki to Tallinn that are being investigated and, as far as possible, tested in the 5G-ROUTES project. The results of these analyses and field trials will be available towards the end of the project in the 2023/2024-time frame and will give clear indications on the logical steps towards prototypical and ultimately full operational implementation: 1. IAB-node connected with only one route from IAB- donor; 2. IAB-node connected with redundant routes to IAB- donor. In multi-connectivity, redundant routes can either be used as a backup or for load balancing scenarios. Multi-hop backhauling for range extension is mainly considered with mmWave, but in 5G-ROUTES demonstrations using spectrum below 6 GHz will be used as a primary alternative because higher frequencies in • Necessary technical developments and adaptations ACKNOWLEDGMENT • Maturation of the value chain and service exploitation models and REFERENCES In addition, also road and rail transport will benefit from multi-hop [9], satellite connectivity and their combination [10] that can complement terrestrial 5G networks and help in closing coverage gaps in rural and remote areas. Continuous and ubiquitous connectivity is beneficial to and even required by many automotive use cases even though technological maturity and cost-efficiency of the proposed solution need to be further improved. Consequently, the 5G Automotive Association has entered into a co-operation with the European Space Agency and is actively investigating the use of satellites through a dedicated work item. The concepts developed in the 5G-ROUTES project and the results of the field trials will contribute to the vision of continuous 5G connectivity - not just along ferry lines across the Baltic Sea, but ultimately everywhere and all the time.
https://openalex.org/W4321636802
https://e-journal.unair.ac.id/IMHSJ/article/download/33480/23905
English
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ANXIETY LEVEL OF MIDWIFERY CLINICAL STUDENTS DURING COVID-19 PANDEMIC
Indonesian Midwifery and Health Sciences Journal
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cc-by-sa
4,591
Original Research Indonesian Midwifery and Health Sciences Journal Volume 6, No. 4, October 2022 Received: 13 August 2022 Revised: 10 September 2022 Accepted: 7 October 2022 Published: 28 October 2022 Available online at: http://e-journal.unair.ac.id/index.php/IMHSJ Keywords: anxiety, COVID-19 pandemic, midwifery students Abstract Introduction: Clinical midwifery students experience higher anxiety than preclinical midwifery students during COVID-19 pandemic. The higher level of anxiety is due to pressure in their clinical learning environment. This students during the COVID-19 pandemic. Method: This prospective cross- sectional study was conducted on 82 clinical midwifery students at Universitas Airlangga using an online survey. All clinical midwifery students are eligible to participate in this study. We excluded students who had not started clinical studies and students with pre-existing medical or comorbid psychiatric conditions that could explain the pain. This research was conducted in December 2021- January 2022. Information from participants included socio-demographic, clinical learning environment questionnaire, and Hamilton Rating Scale for Anxiety (HRS-A). Univariate and bivariate analysis using Statistical Package of Social Sciences (SPSS) version 16. Statistical tests of contingency coefficients and Spearman's rho were used to connect the independent and dependent variables. Results: The study showed that most of the respondents aged 20-27 years (73.2%), in the second semester (76.8%), living in boarding houses/contracts (74.4%), unmarried status (75.6%), the level of family income is very high (68.3%), and the perception of a poor clinical learning environment (51.2%). Participants experienced no anxiety the most (52.4%) and significantly correlated with the age p=0.047, domicile status p=0.076, and clinical learning environment p=0.008. But not their semester p=0.991, marital status p = 0.406, and family income p=0.872. Conclusion: These data indicate that age, domicile status, and clinical learning environment contribute to the incidence of anxiety in midwifery clinic students during the COVID-19 pandemic. Nadia Sherli Syafira1, Muhammad Miftahussurur2, Endyka Erye Frety1 1. Program Studi Pendidikan Bidan Fakultas Kedokteran Universitas Airlangga Surabaya 2. Divisi Gastroentero-Hepatology Departemen Penyakit Fakultas Kedokteran Universitas Airlangga Surabaya Alamat Korespondensi : Jalan Mayjen Prof. Dr Moestopo No 47 Surabaya, Indonesia E il h d @fk i id ANXIETY LEVEL OF MIDWIFERY CLINICAL STUDENTS DURING COVID-19 PANDEMIC Nadia Sherli Syafira1, Muhammad Miftahussurur2, Endyka Erye Frety1 INTRODUCTION e-ISSN 2656-7806 ©Authors.2022 Published by Universitas Airlangga .This is an Open Access (OA) article distributed under the terms of the Creative Commons Attribution Share-Alike 4.0 International License (https://creativecommons.org/licenses/by-sa/4.0/). DOI: 10.20473/imhsj.v6i4.2022.329-340 The Coronavirus Disease 2019 (COVID-19) pandemic has created a new atmosphere that impacts everyday life and psychological disorders (Hummel et al., 2021). The impact on psychological disorders is also experienced by students in the health sector, such as medical, midwifery, and nursing students. The prevalence of psychological disorders in medical students is higher in depression, anxiety, and stress than in the general population because of the pressure in the clinical learning environment (Seetan et al., 2021). In a previous study in Arabia, medical students in Indonesian Midwifery and Health Sciences Journal Indonesian Midwifery and Health Sciences Journal the clinical learning phase during the COVID-19 pandemic reported an anxiety level of 27% experiencing mild anxiety and 26% experiencing severe anxiety (Saddik et al., 2020). The anxiety rate is higher than the WHO anxiety prevalence, which is 3.6% (Anindyajati et al., 2021). Anxiety is a feeling of excessive worry characterized by restlessness, fatigue, difficulty concentrating, irritability, tension, and sleep disturbances (Sekartaji et al., 2021). Anxiety at a moderate level can positively affect the learning process, but it can harm learning at a high level. Anxiety is very influential on academic achievement. In clinical learning, high anxiety can reduce the quality of the clinical learning experience. Anxiety causes a lack of attention, memory, and concentration control, lowering academic performance. Anxiety also causes reduced problem-solving skills in students (Kusumawati, Prihatiningsih and Prabandari, 2017). Anxiety occurs when Corticotropin-releasing hormone (CRF) in the parvocellular neurons of the hypothalamic paraventricular nucleus responds to a threatening stimulus. Vasopressin (AVP) synergizes with CRF in activation of the HPA axis. On the HPA axis, CRF is released from the paraventricular nucleus and acts on receptors in the anterior pituitary to elicit the production and release of adrenocorticotropic hormone (ACTH), which is released systemically and activates glucocorticoid production and release from the adrenal cortex. In humans, the primary stress steroid is cortisol; in mice, it is corticosterone. HPA axis activity is regulated by many other limbic system structures, namely the amygdala, which increases HPA axis activity, and the hippocampus, which suppresses HPA axis activation (Martin et al., 2009). INTRODUCTION In a previous study, midwifery students experienced 94.4% low anxiety, 4.5% moderate anxiety, and 1% had the potential to experience anxiety during the COVID-19 pandemic (Sögüt, Dolu and Cangöl, 2020). A meta-analysis of anxiety during the COVID-19 pandemic shows that gender, age, marital status, and financial stability are socio-demographic factors associated with anxiety symptoms. Several studies suggest that women are at a higher risk of experiencing anxiety during a pandemic, and increased anxiety levels are also influenced by younger age. In most studies, marital status affects anxiety in someone married compared to not 330 Syafi a, et al. : nxiety evel of idwife … Indonesian Midwifery and Health Sciences Journal, 2022, 6 (4), 329-340 marry. Most studies find that a high-income protective against anxiety during a pandemic (Lasheras et al., 2020). The factors that influence the presence of psychological symptoms in clinical students during the COVID-19 pandemic are not only sociodemography, but several studies have also identified a relationship between the clinical learning environment and anxiety. This study found that the clinical practice learning environment had a significant effect on the stress and anxiety of clinical practice students. When students perceive the clinical learning environment as unfavorable, it will increase anxiety and stress in clinical practice (Yang and Hee, 2015). Addressing health workers' mental and psychosocial health during a pandemic is as important as managing their physical health. Health workers also experience fear, worry, and anxiety during the pandemic period as they face the risk of death. In addition to the impact of the COVID-19 pandemic, midwifery students are one of the groups at risk of experiencing age-related anxiety (Findyartini and Utami, 2018). Because there is still a lack of research on the relationship between sociodemography and clinical learning environments for midwifery students in Indonesia during the COVID-19 period, it is necessary to research this topic. Syafira, et al. : Anxiety Level of Midwifer… y f , y f f Indonesian Midwifery and Health Sciences Journal, 2022, 6 (4), 329-340 METHODS A cross-sectional study was conducted among clinical midwifery students of Airlangga University Indonesia during December 2021-January 2022. The sample size was determined using total sampling so that 82 students participated in this study. All clinical midwifery students are eligible to participate in this study. We excluded students who had not started clinical studies and students with pre- existing medical or comorbid psychiatric conditions that could explain the pain. Data collection using Google forms and sent to each respondent via online message. The study used an online questionnaire containing the socio-demographic characteristics of respondents (age, semester of study, domicile status, marital status, and family income), perceptions of the clinical learning environment using a clinical study environment questionnaire (Findyartini and Utami, 2018), and anxiety levels during the COVID-19 pandemic using the Hamilton Rating Scale for Anxiety (HRS-A). HRS-A consists of 14 questions with a five-level response scale; each Indonesian Midwifery and Health Sciences Journal Indonesian Midwifery and Health Sciences Journal was graded from zero "no symptoms" to four "very severe symptoms." A statement was added to each question, "Did you experience (anxiety symptoms) during clinical practice during the COVID-19 pandemic?" to measure the anxiety level of students during the COVID-19 pandemic. So that the validity test was carried out again with the results of all questions being declared valid with values ranging from 0.659 and 0.879 and the reliability value of Cronbach's Alpha is 0.94.The score was interpreted as no anxiety (0-14), mild anxiety (14-20), moderate anxiety (21-27), severe anxiety (28-41), very severe anxiety (42-56). Another question about students' perspectives on the clinical learning environment consists of 60 questions. The questions were grouped into six subscales: learning opportunities and engagement, interactions with patients during clinical rotation, communication with colleagues and supervisors, facility and individual treatment, supervision process, self-confidence, and awareness(Findyartini and Utami, 2018). The researcher provided additional statements regarding the COVID-19 pandemic in several words in the questionnaire. So that the validity test was carried out again with the results of 57 declared valid questions, namely the values ranged between 0.382 and 0.813 and the reliability value of Cronbach's Alpha was 0.96. The score interpreted as good if the total score T mean ≥ T respondent and bad if the total score T mean ≥ T respondent. Univariate and bivariate analysis using Statistical Package of Social Sciences (SPSS) version 16. METHODS Statistical tests of contingency coefficients and Spearman's rho were used to connect the independent and dependent variables. The significance level was set to p < 0.05. The research design and ethical considerations were reviewed and approved by Universitas Airlangga Faculty of Dental Medicine Health Research Ethical Clearance Commission number 606/HRECC.FORM/XI/2021. All participants provided their written consent, and their responses and data were kept confidential. RESULT AND DISCUSSION Between 17th December 2021- 5th January 2022 89 clinical midwifery students participated in the study. After excluding the students with pre-existing medical or psychiatric comorbid conditions, a total 82 eligible students were identified in this study. The mean age was 25.9 years (SD=5.25), with 2nd-semester students 332 Syafira, et al. : Anxiety Level of Midwifer… Indonesian Midwifery and Health Sciences Journal, 2022, 6 (4), 329-340 (76.8%) making up most of the research respondents. Most of the students live in boarding houses (74.4%), unmarried status (75.6%), and have a very high level of family income (68.3%). Most of the respondents (51.2%) described the learning environment as bad regarding the clinical learning environment. In HRS-A, most students did not experience anxiety during the COVID-19 pandemic (52.4%) (Table 1). 1). Table 1 Sociodemographic prevalence, perception of clinical learning environment, and level of anxiety (n=82) Variable Category Mean SD Frekuensi % Age 20-27 year 25.99 5.25 60 73.2 28-35 year 16 19.5 >35 year 6 7.3 Semester 1 19 23.2 2 63 76.8 Domicile Status With family 21 25.6 Boarding 61 74.4 Marital status Married 20 24.4 Not married yet 62 75.6 Family income Very low 9 11 Low 7 8.5 Moderate 2 2.4 High 8 9.8 Very high 56 68.3 Clinical learning environment Good 40 48.8 Bad 42 51.2 Anxiety level No 43 52.4 Mild 17 20.7 Moderate 11 13.4 Severe 8 9.8 Very severe 3 3.7 Table 1 Sociodemographic prevalence, perception of clinical learning environment, and level of anxiety (n=82) Variable Category Mean SD Frekuensi % Age 20-27 year 25.99 5.25 60 73.2 28-35 year 16 19.5 >35 year 6 7.3 Semester 1 19 23.2 2 63 76.8 Domicile Status With family 21 25.6 Boarding 61 74.4 Marital status Married 20 24.4 Not married yet 62 75.6 Family income Very low 9 11 Low 7 8.5 Moderate 2 2.4 High 8 9.8 Very high 56 68.3 Clinical learning environment Good 40 48.8 Bad 42 51.2 Anxiety level No 43 52.4 Mild 17 20.7 Moderate 11 13.4 Severe 8 9.8 Very severe 3 3.7 Table 1 Sociodemographic prevalence, perception of clinical learning environment, and level of anxiety (n=82) Anxiety levels during COVID-19 were significantly higher in younger respondents (p=0.047). There is also a significant relationship when the perception of a good and bad learning environment is associated with anxiety levels (p=0.008). Syafi a, et al. : nxiety evel of idwife … Indonesian Midwifery and Health Sciences Journal, 2022, 6 (4), 329-340 Syafira, et al. : Anxiety Level of Midwifer… RESULT AND DISCUSSION There was no significant difference in respondents' level of anxiety based on the semester of study (p=0.991), marital status (p=0.406), and family income (p=0.872) (Table 2). 2). Indonesian Midwifery and Health Sciences Journal Table 2. The relationship between sociodemographic and clinical learning environments with anxiety levels Variable Category Anxiety Level p-value No Mild Moderate Severe Very severe Age 20-27 year 27 (32.9%) 15 (18.3%) 8 (9.8%) 7 (8.5%) 3 (3.7%) 0.047a 27-35 year 12 (14.6%) 2 (2.4%) 2 (2.4%) 0 (0%) 0 (0%) >35 year 4 (4.9%) 0 (0%) 1 (1.2%) 1 (1.2%) 0 (0%) Semester 1 10 (12.2%) 5 (6.1%) 0 (0%) 3 (3.7%) 1 (1.2%) 0.991a 2 33 (40.2%) 12 (14.6%) 11 (13.4%) 5 (6.1%) 2 (2.4%) Domicile Status With parents 8 (9.8%) 2 (2.4%) 4 (4.9%) 5 (6.1%) 0 (0%) 0.076b Marital status Married 14 (17.1%) 2 (2.4%) 2 (2.4%) 1 (1.2%) 1 (1.2%) 0.406b Not married yet 29 (35.4%) 15 (18.3%) 9 (11.0%) 7 (8.5%) 2 (2.4%) Family income Very low 3 (3.7%) 2 (2.4%) 1 (1.2%) 2 (2.4%) 1 (1.2%) 0,872a Low 5 (6.1%) 1(1.2%) 0 (0%) 1(1.2%) 0 (0%) Moderate 2 (2.4%) 0 (0%) 0 (0%) 0(0%) 0 (0%) High 5 (6.1%) 2 (2.4%) 1 (1.2%) 0 (0%) 0 (0%) Very high 28 (34.1%) 12 (14.6%) 9 (11.0%) 5 (6.1%) 2 (2.4%) Clinical learning environment Good 27 (32.9%) 6 (7.3%) 4 (4.9%) 2 (2.4%) 1 (1.2%) 0,008a Bad 16 (19.5%) 11 (13.4%) 7 (8.5%) 6 (7.3%) 2 (2.4%) aSpearman’s rho test bKoefisienkontingensi test Table 2. The relationship between sociodemographic and clinical learning environments with anxiety levels As shown in table 2, there is a significant relationship between the level of anxiety with the age of clinical midwifery students (p=0.047), domicile status (p=0.163), and the clinical learning environment (p=0.008). The clinical learning environment sub-scales that affect the anxiety level of clinical midwifery students during the COVID-19 pandemic are learning opportunities (p=0.017), interaction with patients (p=0.003), guidance process (p=0.016), confidence and self-awareness (p=0.006) (Table 3). Table 3. The relationship between sub clinical learning environments with anxiety level Subclinical Learning Environment (n=82) p-valuea R Learning opportunities and engagement 0,017 0,263 Interactions with patients during clinical rotation 0,003 0,328 Communication and interactions with colleagues and supervisors 0,141 - Facility and individual treatment 0,208 - Supervision process 0,016 0,266 Self-confidence and awareness 0,006 0,302 aSpearman’s rho test Table 3. RESULT AND DISCUSSION The relationship between sub clinical learning environments with anxiety level 334 Syafira, et al. : Anxiety Level of Midwifer… y f , y f f Indonesian Midwifery and Health Sciences Journal, 2022, 6 (4), 329-340 Based on the ordinal regression test, it show that only the learning environment variable has a significant relationship with the level of student anxiety with p value = 0.02 (p <0.05) and the odd ratio value is 3.24. These results mean that the learning environment is 3.24 times in causing student anxiety (Table 4). Based on the ordinal regression test, it show that only the learning environment variable has a significant relationship with the level of student anxiety with p value = 0.02 (p <0.05) and the odd ratio value is 3.24. These results mean that the learning environment is 3.24 times in causing student anxiety (Table 4). Table 4. Table of independent factors related to anxiety level Variable OR p-value 95% Confidence Interval Lower Bound Upper Bound Age 2,57 0,433 -1,419 3,308 Semester 2,39 0,142 -2,028 0,290 Marital status 1,74 0,581 -1,406 2,511 Domicile status 1,46 0,451 -0,602 1,355 Family income 1,53 0,534 -0,912 1,760 Clinical learning environment 3,24 0,020* -2,164 -0,186 Link function: Logit. *P<0,05 Table 4. Table of independent factors related to anxiety level , According to HRS-A, those with clinically significant moderate to high anxiety were high in this study. Our results were higher than the finding of a survey conducted on midwifery students (Sögüt, Dolu and Cangöl, 2020).This result is found by the fact that communicable diseases have caused a greater amount of fear compared to non-communicable diseases(Mohamed et al., 2021). In this study, most participants were found not experience anxiety until low anxiety maybe because of precaution what students do in their home environment(Sögüt, Dolu and Cangöl, 2020). Therefore, the low anxiety in our study may be related to pandemic state with lower positive case addition and the students also adapted to this extraordinary case. Consistent with our initial hypothesis, we found that midwifery clinical students with a poor perception of the clinical learning environment had higher anxiety levels. The results of this study are in line with previous research on nursing students in Korea, which stated that there was a significant relationship between the respondents' clinical learning environment and anxiety levels (Yang and Hee, 2015). Syafira, et al. : Anxiety Level of Midwifer… y f , y f f Indonesian Midwifery and Health Sciences Journal, 2022, 6 (4), 329-340 RESULT AND DISCUSSION The main findings are that; the more sufficient student interaction with patients during clinical learning, the lower the level of anxiety. Previous studies found that student interactions with patients were poor in contributing to patient care, so students felt anxious because they did not have sufficient knowledge and Indonesian Midwifery and Health Sciences Journal Indonesian Midwifery and Health Sciences Journal skills (Azim, 2020). The clinical learning environment is the only independent variable had significantly associated with anxiety. In previous studies, it was found that student interactions with patients were poor in contributing to patient care so students felt anxious because they did not have sufficient knowledge and skills (Azim, 2020). In this study, student involvement during patient care can foster student feelings as a midwife. The high level of anxiety in clinical midwifery students also occurs because of self-confidence and awareness. When entering the clinical education phase, students do not have strong confidence to communicate well with supervisors and midwife staff and are hesitant to participate in teamwork (Smith et al., 2013). Students are generally not confident in making decisions in care because of high levels of anxiety. This high level of anxiety impacts students because they will collect information and listen thoroughly to the information obtained to make the right clinical decisions (Paulina Espinosa- Rivera, 2019).In clinical learning during the COVID-19 pandemic, students are aware of the needs and limitations of their learners. Thus, causing some students to feel insecure to caring for patients during clinical learning. The clinical mentoring process is a formal learning support process that enables individuals to develop knowledge and competencies, take responsibility for their practice, and improve patient protection and care safety in various situations. Student midwives must practice and apply what has been learned theoretically in lectures and observe while providing patient care. Good supervisors are expected to be friendly, approachable, and aware of the work standards expected of students (Bweupe, Ngoma and Sianchapa, 2018). Clinical supervisors should express their presence as role models for students (Sharif and Masoumi, 2005).During clinical learning, students feel valued by their clinical supervisor. And also the clinical supervisor motivates students to be better. This kind of relationship will make students feel comfortable and continue to push themselves to provide better care for patients. In clinical learning, students develop knowledge and skills that have been previously acquired in lectures. RESULT AND DISCUSSION Student involvement in inpatient care can develop relationships with peers and midwives, especially when working in a team. It is essential to build new knowledge, get emotional support, and create a student's 336 Syafira, et al. : Anxiety Level of Midwifer… Indonesian Midwifery and Health Sciences Journal, 2022, 6 (4), 329-340 identity as part of a team in developing this relationship. Developing relationships for social support is critical in the transition from preclinical students to clinical students. In previous studies, it was found that high levels of anxiety and emotional distress were found among clinical students. It was also noted that students rely on colleagues rather than midwives for support. Explain the learning objectives to students to know what to learn. This can encourage student welfare and motivate students to achieve their learning targets (Smith et al., 2013).Students in this study have the opportunity to contact the patient on the first occasion of clinical rotation and mostly students get a briefing about COVID-19 before entering a new clinical rotation in clinical learning. This can reduce anxiety during clinical learning during a pandemic because it can reduce the risk of virus transmission. In our study, participants with severe anxiety mostly in range between 20 to 27 years age groups. International researches show significant relationship between age and anxiety. In the early adults (18–29 years) group, the severity and symptoms of anxiety during the COVID-19 pandemic were higher than other age groups. The COVID-19 pandemic can temporarily disrupt development and short-term goals associated with specific developmental periods, causing disappointment, fear, and uncertainty, leading to increased anxiety symptoms (Gambin et al., 2021). In our study, living in dormitory was a protective factor against anxiety during COVID- 19 pandemic. This is related to the risk of more incredible transmitting the virus to the family. Living with parents is a beneficial factor to fight anxiety in previous studies (Cao et al., 2020). Semester of study, marital status, and family income did not show any significant association with anxiety during the COVID-19 pandemic, which is similar with the finding from previous studies (Wang et al., 2019; Sögüt, Dolu and Cangöl, 2020; Anindyajati et al., 2021). Participants from the 2nd semester of the study were found to have a higher level of anxiety. Syafi a, et al. : nxiety evel of idwife … Indonesian Midwifery and Health Sciences Journal, 2022, 6 (4), 329-340 Syafira, et al. : Anxiety Level of Midwifer… Indonesian Midwifery and Health Sciences Journal Indonesian Midwifery and Health Sciences Journal anxiety and depression, and better psychological state than being single and divorced (Purba et al., 2020). However in the previous study in China no marry status associated with anxiety (Wang et al., 2019). Our finding may be should ask the respondent's divorce status. The high level anxiety of participants mostly in lower family income group. This finding is similar to the finding another study in Japan (Nagasu, Muto and Yamamoto, 2021). There are some limitation that suggest caution when interpreting these results. This was a new study during the COVID-19 pandemic, so the psychological condition of students is very dependent on the condition of adding daily cases. Data collection in this study was carried out when COVID-19 was subsiding in Indonesia. And it is also important to explore some qualitative question to strengthen the research. CONCLUSION This study reveals a significant relationship between the respondent's age, domicile status, and the clinical learning environment with the respondent's level of anxiety during the COVID-19 pandemic. Therefore, the importance of all components in clinical learning is to create a good environment so that students do not have increased anxiety. RESULT AND DISCUSSION The first and last semesters, both of them experience anxiety due to adaptation to clinical learning and also face competency exams(Bassols et al., 2014; Moutinho et al., 2017). In our study participants who not marry yet were more likely to have higher level of anxiety than those marry, which is similar to result from previous research during COVID-19 pandemic. Someone who is married is healthier and more satisfied with their life, not easy to experience REFERENCE Anindyajati, G. et al. (2021) ‘Anxiety and Its Associated Factors During the Initial Phase of the COVID-19 Pandemic in Indonesia’, Frontiers in Psychiatry, 12(March), pp. 1–10. doi: 10.3389/fpsyt.2021.634585. ( ) pp p y Azim, S. R. (2020) ‘Mental Distress among Medical Students’, Anxiety Disorders - The New Achievements Medical, pp. 1–15. Bassols, A. M. et al. (2014) ‘First- and last-year medical students: Is there a difference in the prevalence and intensity of anxiety and depressive symptoms?’, Revista Brasileira de Psiquiatria, 36(3), pp. 233–240. doi: 10.1590/1516-4446-2013-1183. Bweupe, N., Ngoma, C. M. and Sianchapa, B. (2018) ‘Clinical Supervision of Midwifery Students at the University Teaching Hospital School of Nursing and Midwifery in Lusaka , Zambia’, pp. 372–389. doi: 10.4236/ojn.2018.86030. Cao, W. et al. (2020) ‘The psychological impact of the COVID-19 epidemic on college students in China’, Psychiatry Research, 287(March), p. 112934. doi: 10.1016/j.psychres.2020.112934. Findyartini, A. and Utami, D. B. (2018) ‘Development of Clinical Learning Environment Measure in the Undergraduate Medical Program’, Advanced 338 Syafira, et al. : Anxiety Level of Midwifer… Indonesian Midwifery and Health Sciences Journal, 2022, 6 (4), 329-340 y f y f f Indonesian Midwifery and Health Sciences Journal, 2022, 6 (4), 329-340 Science Letters, 24, pp. 6097–6108. doi: 10.1166/asl.2018.12637. Science Letters, 24, pp. 6097–6108. doi: 10.1166/asl.2018.12637. Gambin, M. et al. (2021) ‘Generalized anxiety and depressive symptoms in various age groups during the COVID-19 lockdown in Poland. Specific predictors and differences in symptoms severity’, Comprehensive Psychiatry, 105. doi: 10.1016/j.comppsych.2020.152222. Hummel, S. et al. (2021) ‘Mental health among medical professionals during the COVID-19 pandemic in eight european countries: Cross-sectional survey study’, Journal of Medical Internet Research, 23(1). doi: 10.2196/24983. Kusumawati, A., Prihatiningsih, T. S. and Prabandari, Y. S. (2017) ‘Anxiety and Competence Achievement of Midwifery students During Midwifery Clinical Practice of Maternal Neonatal Emergency’, Jurnal Pendidikan Kedokteran Indonesia: The Indonesian Journal of Medical Education, 6(2), pp. 116–122. doi: 10.22146/jpki.32257. Lasheras, I. et al. (2020) ‘Prevalence of anxiety in medical students during the covid-19 pandemic: A rapid systematic review with meta-analysis’, International Journal of Environmental Research and Public Health, 17(18), pp. 1–12. doi: 10.3390/ijerph17186603. Martin, E. I. et al. (2009) ‘The Neurobiology of Anxiety Disorders: Brain Imaging, Genetics, and Psychoneuroendocrinology’, Psychiatric Clinics of North America, 32(3), pp. 549–575. doi: 10.1016/j.psc.2009.05.004. Mohamed, I. et al. (2021) ‘Anxiety among the Sudanese university students during the initial stage of COVID-19 pandemic’, Heliyon, 7(October 2020), pp. 1–7. Moutinho, I. L. D. et al. Syafira, et al. : Anxiety Level of Midwifer… Indonesian Midwifery and Health Sciences Journal, 2022, 6 (4), 329-340 Indonesian Midwifery and Health Sciences Journal Indonesian Midwifery and Health Sciences Journal Indonesian Midwifery and Health Sciences Journal REFERENCE (2017) ‘Depression, stress and anxiety in medical students: A cross-sectional comparison between students from different semesters’, Revista da Associacao Medica Brasileira, 63(1), pp. 21–28. doi: 10.1590/1806-9282.63.01.21. Nagasu, M., Muto, K. and Yamamoto, S. (2021) ‘Impacts of anxiety and socioeconomic factors on mental health in the early phases of the COVID- 19 pandemic in the general population in Japan_ A web-based survey _ Enhanced Reader.pdf’, PLoS ONE, pp. 1–19. p pp Paulina Espinosa-Rivera, B. (2019) ‘Self-Confidence and Anxiety as Intervening Factors in Clinical Decision-Making in Newly Nursing Bachelor Graduates’, American Journal of Nursing Science, 8(2), p. 59. doi: 10.11648/j.ajns.20190802.14. Purba, F. D. et al. (2020) ‘Marriage and quality of life during COVID-19 pandemic’, PLoS ONE, pp. 1–11. Saddik, B. et al. (2020) ‘Increased Levels of Anxiety Among Medical and Non- Medical University Students During the COVID-19 Pandemic in the United Arab Emirates’. Seetan, K. et al. (2021) ‘Impact of COVID-19 on medical students’ mental wellbeing in Jordan’, PLoS ONE, 16, pp. 1–10. doi: 10.1371/journal.pone.0253295. Sekartaji, M. et al. (2021) ‘Relationship between anxiety and insomnia in clinical clerkship students during COVID-19 pandemic’, 4(April), pp. 21–28. doi: 10.22146/jcoemph.61392. j p Sharif, F. and Masoumi, S. (2005) ‘A qualitative study of nursing student experiences of clinical practice’, BMC Nursing, 4, pp. 1–7. doi: 10.1186/1472-6955-4-6. Smith, S. E. et al. (2013) ‘The effects of contributing to patient care on medical students ’ workplace learning’, MEDICAL EDUCATION, 47, pp. 1184– 1196. doi: 10.1111/medu.12217. Sögüt, S., Dolu, İ. and Cangöl, E. (2020) ‘The relationship between COVID-19 knowledge levels and anxiety states of midwifery students during the outbreak: A cross-sectional web-based survey’, Perspectives in Psychiatric Care, 57(1), pp. 1–7. doi: 10.1111/ppc.12555. y ( ) pp pp Wang, C. et al. (2019) ‘Immediate Psychological Responses and Associated Factors during the Initial Stage of the 2019 Coronavirus Disease ( COVID-19 ) Epidemic among the General Population in China’. Yang, E. Y. and Hee, S. (2015) ‘Effects of Clinical Learning Environment on Clinical Practice Stress and Anxiety in Nursing Students’, 21(4), pp. 417– 425. 340
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Plasmacytoid Dendritic Cells Suppress HIV-1 Replication but Contribute to HIV-1 Induced Immunopathogenesis in Humanized Mice
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Abstract The role of plasmacytoid dendritic cells (pDC) in human immunodeficiency virus type 1 (HIV-1) infection and pathogenesis remains unclear. HIV-1 infection in the humanized mouse model leads to persistent HIV-1 infection and immunopatho- genesis, including type I interferons (IFN-I) induction, immune-activation and depletion of human leukocytes, including CD4 T cells. We developed a monoclonal antibody that specifically depletes human pDC in all lymphoid organs in humanized mice. When pDC were depleted prior to HIV-1 infection, the induction of IFN-I and interferon-stimulated genes (ISGs) were abolished during acute HIV-1 infection with either a highly pathogenic CCR5/CXCR4-dual tropic HIV-1 or a standard CCR5- tropic HIV-1 isolate. Consistent with the anti-viral role of IFN-I, HIV-1 replication was significantly up-regulated in pDC- depleted mice. Interestingly, the cell death induced by the highly pathogenic HIV-1 isolate was severely reduced in pDC- depleted mice. During chronic HIV-1 infection, depletion of pDC also severely reduced the induction of IFN-I and ISGs, associated with elevated HIV-1 replication. Surprisingly, HIV-1 induced depletion of human immune cells including T cells in lymphoid organs, but not the blood, was reduced in spite of the increased viral replication. The increased cell number in lymphoid organs was associated with a reduced level of HIV-induced cell death in human leukocytes including CD4 T cells. We conclude that pDC play opposing roles in suppressing HIV-1 replication and in promoting HIV-1 induced immunopathogenesis. These findings suggest that pDC-depletion and IFN-I blockade will provide novel strategies for treating those HIV-1 immune non-responsive patients with persistent immune activation despite effective anti-retrovirus treatment. Citation: Li G, Cheng M, Nunoya J-i, Cheng L, Guo H, et al. (2014) Plasmacytoid Dendritic Cells Suppress HIV-1 Replication but Contribute to HIV-1 Induced Immunopathogenesis in Humanized Mice. PLoS Pathog 10(7): e1004291. doi:10.1371/journal.ppat.1004291 Editor: Guido Silvestri, Emory University, United States of America Received April 7, 2014; Accepted June 19, 2014; Published July 31, 2014 pyright:  2014 Li et al. This is an open-access article distributed under the terms of the Creative Commons Attribution License, whic e, distribution, and reproduction in any medium, provided the original author and source are credited. ta Availability: The authors confirm that all data underlying the findings are fully available without restriction. All relevant data are w pporting Information files. Funding: This work was supported in part by grants from Ministry of Health, China (2013ZX10001-002 and 2012ZX10001-003 to LZ). Abstract This work was also supported by UNC University Cancer Research Fund innovation grant, from the US National Institutes of Health (AI080432, AI077454 and AI095097 to LS). The funders had no role in study design, data collection and analysis, decision to publish, or preparation of the manuscript. Competing Interests: I have read the journal’s policy and the authors of this manuscript have the following competing interests: pending patent application for the pDC depleting monoclonal antibody. This does not alter our adherence to all PLOS policies on sharing data and materials. * Email: lsu@med.unc.edu (LS); Liguozhang@ibp.ac.cn (LZ) treatments with Toll like receptor (TLR)-9 [7] or TLR7 [8] ligands lead to AIDS-like immune dysregulation, correlated with immune activation and lymphoid organ destruction. In SIV-infected African green monkeys, treatment with lipopolysaccharide (LPS) results in CD4+ T-cell loss [9]. Finally, anti-inflammatory treatment with chloroquine [10] or hydroxychloroquine in combination with antivirals [11] inhibits immune activation in HIV-1 infected patients, correlated with elevated CD4+ T cells [11]. Plasmacytoid Dendritic Cells Suppress HIV-1 Replication but Contribute to HIV-1 Induced Immunopathogenesis in Humanized Mice Guangming Li1,2, Menglan Cheng1, Jun-ichi Nunoya2, Liang Cheng2, Haitao Guo2, Haisheng Yu1, Yong- jun Liu3, Lishan Su1,2,4*, Liguo Zhang1* 1 Key Lab of Infection and Immunity, Institute of Biophysics, Chinese Academy of Sciences, Beijing, China, 2 Lineberger Comprehensive Cancer Center, University of North Carolina at Chapel Hill, Chapel Hill, North Carolina, United States of America, 3 Baylor Institute for Immunology Research, Baylor Research Institute, Dallas, Texas, United States of America, 4 Department of Microbiology and Immunology, University of North Carolina at Chapel Hill, Chapel Hill, North Carolina, United States of America PLOS Pathogens | www.plospathogens.org HIV-1 infection, immune activation and HIV-1 disease progression in humanized mice The decline of IFN-I producing capability of pDC is correlated with opportunistic infection but not CD4 T-cell counts [31,34,35]. These reports highlight that pDC may play important but complex roles in HIV- 1 infection and immunopathogenesis. [16,17,18]. Although IFN-I inhibits HIV-1 replication in vitro [19], the high level IFN-I in HIV-1 patients is not correlated with viral control but is predictive of HIV-1 disease progression [20,21]. IFN-I is induced during acute phase of SIV infection in both pathogenic and non-pathogenic hosts. However, the IFN-I induction is controlled during nonpathogenic persistent SIV infection, while the pathogenic SIV infection is featured by sustained IFN-I production during chronic infection, correlated with immune activation and AIDS development [17,22,23] [16]. [16,17,18]. Although IFN-I inhibits HIV-1 replication in vitro [19], the high level IFN-I in HIV-1 patients is not correlated with viral control but is predictive of HIV-1 disease progression [20,21]. IFN-I is induced during acute phase of SIV infection in both pathogenic and non-pathogenic hosts. However, the IFN-I induction is controlled during nonpathogenic persistent SIV infection, while the pathogenic SIV infection is featured by sustained IFN-I production during chronic infection, correlated with immune activation and AIDS development [17,22,23] [16]. p [ , , ] [ ] Plasmacytoid dendritic cells (pDC) are the major IFN-I producing cells [24]. They preferentially express TLR7 and TLR9 in the endosome, sensing viral RNA and DNA respectively during infection. Upon viral infections and other stimulations, pDCs produce large amount of IFN-I and inflammatory cytokines. However, it is still not clear if pDCs are the major source of IFN-I during acute or chronic HIV-1 infection [25], and the role of pDC in HIV-1 replication or disease progression is not well defined. HIV-1 infection can stimulate pDCs to express TNF-Related Apoptosis-Inducing Ligand (TRAIL) [26,27,28]. However, the induction of CD4+ T-cell death by TRAIL expressing pDC remains controversial [29]. On the other hand, pDC are also reported to be decreased and functionally impaired in peripheral blood of HIV-1 infected individuals [30,31,32,33]. The decline of IFN-I producing capability of pDC is correlated with opportunistic infection but not CD4 T-cell counts [31,34,35]. These reports highlight that pDC may play important but complex roles in HIV- 1 infection and immunopathogenesis. Specific depletion of human pDC with a pDC-reactive monoclonal antibody In order to delineate the role of human pDC in HIV-1 infection and pathogenesis in vivo, we developed and screened a number of pDC-reactive monoclonal antibodies (mAb) and identified an anti- BDCA2 (CD303) mAb (15B), which could specifically deplete human pDC in lymphoid organs in humanized mice. After 15B injection, pDC were specifically depleted in both peripheral blood (Figure 2A) and lymphoid organs (Figure 2B). Importantly, human T, B, myeloid dendritic cells and monocytes\macrophages were not perturbed by 15B mAb (Figure 2C–E and Figure S2&S3). Author Summary Author Summary Persistent expression of IFN-I is correlated with disease progression in HIV-1 infected humans or SIV-infected monkeys. Thus, persistent pDC activation has been implicated in contributing to AIDS pathogenesis. To define the role of pDC in HIV-1 infection and immunopathogen- esis in vivo, we developed a monoclonal antibody that specifically and efficiently depletes human pDC in all lymphoid organs in humanized mice. We discover that pDC are the critical IFN-I producer cells in response to acute HIV-1 infection, because depletion of pDC com- pletely abolished induction of IFN-I or ISG by HIV-1 infection, correlated with elevated level of HIV-1 replica- tion. When pDC were depleted during chronic HIV-1 infection in humanized mice, pDC were still the major IFN-I producing cells in vivo, which contributed to HIV-1 suppression. Despite of higher level of viral replication in pDC-depleted mice, we found that HIV-induced depletion of human T cells and leukocytes was significantly reduced in lymphoid organs, correlated with reduced cell death induction by HIV-1 infection. Our findings demonstrate that pDC play two opposing roles in HIV-1 pathogenesis: they produce IFN-I to suppress HIV-1 replication and induce death of human immune cells to contribute to HIV- induced T cell depletion and immunopathogenesis. PLOS Pathogens | www.plospathogens.org Introduction Chronic immune activation induced by HIV-1 infection is highly correlated with CD4 T cell depletion and immunodefi- ciency [1,2,3]. The level of T cell activation (HLA- DR+CD38+CD8+ T cells) is correlated with disease progression independent of HIV-1 viral load and CD4+ T cell count [4]. It is also proposed that immune activation drives AIDS development in simian immunodeficiency virus (SIV) infected monkeys. In SIV- infected Asian monkeys (Rhesus macaques and pigtail macaques, e.g.) AIDS develops, associated with persistent immune activation and rapid CD4+ T-cell loss. In contrast, SIV infection of African monkeys (African Green monkeys and sooty mangabeys, e.g.) leads to no AIDS progression, correlated with only a transient and self- limiting immune activation despite similar levels of viral replica- tion as pathogenic SIV infections [2,5,6]. In mice, repeated [ ] The mechanism by which HIV-1 infection leads to immune activation is not fully elucidated [2]. Several mechanisms have been proposed, including loss of gut tissue integrity and microbial products translocation [12] or persistent production of IFN-I [13,14]. Sustained IFN-I production is correlated with HIV-1 induced immune activation and disease progression both in HIV-1 infected patients [15] and pathogenic SIV infected monkey models July 2014 | Volume 10 | Issue 7 | e1004291 1 PLOS Pathogens | www.plospathogens.org Role of pDC in HIV-1 Replication and Immunopathogenesis [41,42,43]. Human pDC are rapidly activated by HIV-1 infection [41] and the level of pDC activation is reversely correlated with CD4+ T-cell numbers [41], which is consistent with the observation from HIV-1 infected patients [15,20,21] and SIV infected monkeys [16,23]. To define the role of human pDC in HIV-1 replication and immunopathogenesis in vivo, we developed a monoclonal antibody that specifically and efficiently depletes human pDC in all lymphoid organs in humanized mice in vivo. Thus we were able to characterize the role of human pDC in HIV-1 infection and immunopathogenesis during acute and chronic phases of HIV-1 infection. HIV-1 infection, immune activation and HIV-1 disease progression in humanized mice p g We have previously reported that human pDC are rapidly activated by HIV-1 infection [41] in humanized mice and the level of pDC activation is correlated with CD4+ T-cell depletion [41]. The pathogenic CCR5/CXCR4 dual-tropic HIV-R3A strain efficiently established infection in humanized mice (Figure 1A), associated with IFN-I induction and ISG expression (Figure 1B&C), increased HLA-DR+CD38+ CD8 T cells (Figure 1D), and CD4 T-cell depletion (Figure 1E). As in HIV-1 infected human patients, a decrease of total number of human leukocytes was induced by HIV-1 infection in humanized mice, as measured by cell numbers of human CD4, CD8 T cells and total CD45+ leukocytes in lymphoid organs (Figure 1F). As shown with chronic infection with JRCSF below, similar IFN-I induction, immune activation and depletion of human immune cells were observed in humanized mice (Figure S1A–E). We have reported that pDC frequency did not change during acute HIV-R3A infection [41]. During persistent JR-CSF infection, pDC percent- age was also not significantly altered (data not shown). Thus, the humanized mouse model provides a relevant in vivo model for studying the role of pDC in HIV-1 infection and immunopatho- genesis. [16,17,18]. Although IFN-I inhibits HIV-1 replication in vitro [19], the high level IFN-I in HIV-1 patients is not correlated with viral control but is predictive of HIV-1 disease progression [20,21]. IFN-I is induced during acute phase of SIV infection in both pathogenic and non-pathogenic hosts. However, the IFN-I induction is controlled during nonpathogenic persistent SIV infection, while the pathogenic SIV infection is featured by sustained IFN-I production during chronic infection, correlated with immune activation and AIDS development [17,22,23] [16]. Plasmacytoid dendritic cells (pDC) are the major IFN-I producing cells [24]. They preferentially express TLR7 and TLR9 in the endosome, sensing viral RNA and DNA respectively during infection. Upon viral infections and other stimulations, pDCs produce large amount of IFN-I and inflammatory cytokines. However, it is still not clear if pDCs are the major source of IFN-I during acute or chronic HIV-1 infection [25], and the role of pDC in HIV-1 replication or disease progression is not well defined. HIV-1 infection can stimulate pDCs to express TNF-Related Apoptosis-Inducing Ligand (TRAIL) [26,27,28]. However, the induction of CD4+ T-cell death by TRAIL expressing pDC remains controversial [29]. On the other hand, pDC are also reported to be decreased and functionally impaired in peripheral blood of HIV-1 infected individuals [30,31,32,33]. July 2014 | Volume 10 | Issue 7 | e1004291 Depletion of pDC prior to HIV-1 infection abolishes IFN-I induction and increases HIV-1 replication To test the role of pDC in early acute HIV-1 infection, we injected 15B and isotype control antibody into humanized mice on -5, -3 and -1 days before infection, and then infected them with HIV-R3A (a highly pathogenic dual-tropic HIV-1 strain, [44,45]) on day 0. The infected mice were treated with 15B or control antibody two more times on 3 and 6 days post-infection (dpi). We found that pDC remained depleted in blood and lymphoid organs of the infected mice (Figure 3A), when terminated on 8 dpi. Interestingly, the induction of plasma IFN-I was completely blocked by pDC depletion in HIV-1 infected mice (Figure 3B). The suppressed expression of different subtypes of human IFN-I Humanized mice transplanted with human immune tissues or cells have been developed to study HIV-1 infection [36]. In the recent improved humanized mouse models, HIV-1 infection can be established by inoculating through intraperitoneal [37,38], intravenous [39], or mucosal routes [38,40]. HIV-1 infection results in persistent viral replication, CD4 depletion in peripheral blood and lymphoid organs. Importantly, HIV-1 infection results in T cell depletion, correlated with immune activation in lymphoid organs of humanized mice [41]. We and other groups have reported that functional human pDC are developed in lymphoid tissues in humanized mouse models July 2014 | Volume 10 | Issue 7 | e1004291 2 Role of pDC in HIV-1 Replication and Immunopathogenesis was also confirmed at RNA level by real time PCR (Figure 3C) In of HIV 1 replication These data suggest that the elevated level Figure 1. HIV-1 replication and pathogenesis in HIV-1-infected humanized mice. HIV-R3A replication and pathogenesis in humanized mice are summarized. (A) Plasma viral load of mice intravenously inoculated with 1 ng p24/mouse of R3A (n = 10). Viral RNA copy numbers were measured using real-time PCR quantification. (B) The production of IFN-a2 in plasma from uninfected (n = 3) and infected (n = 3) humanized mice measured by Luminex. (C) The relative level of Mx1 and TRIM22 gene expression in huCD45+ cell in spleen (n = 3) detected by real time PCR. (D) Summary data of the percentages of HLA-DR+CD38+ on CD8 T cells (CD3+CD42CD8+) in peripheral blood and spleen measured by FACS. (E) Summary data of the percentages of CD4+ T cells of CD3+ cells. Depletion of pDC prior to HIV-1 infection abolishes IFN-I induction and increases HIV-1 replication (F) Comparison of absolute CD4 T-cell, CD8 T-cell and huCD45+ cell numbers in spleen from uninfected controls (n = 3) and R3A-infected mice (n = 10). (B–F) Mice were analyzed at 8 days post infection. All bars in dot graphs indicate median value. Error bars indicate standard deviations (SD). * and ** indicate p,0.05 and p,0.01, respectively. doi:10.1371/journal.ppat.1004291.g001 Figure 1. HIV-1 replication and pathogenesis in HIV-1-infected humanized mice. HIV-R3A replication and pathogenesis in humanized mice are summarized. (A) Plasma viral load of mice intravenously inoculated with 1 ng p24/mouse of R3A (n = 10). Viral RNA copy numbers were measured using real-time PCR quantification. (B) The production of IFN-a2 in plasma from uninfected (n = 3) and infected (n = 3) humanized mice measured by Luminex. (C) The relative level of Mx1 and TRIM22 gene expression in huCD45+ cell in spleen (n = 3) detected by real time PCR. (D) Summary data of the percentages of HLA-DR+CD38+ on CD8 T cells (CD3+CD42CD8+) in peripheral blood and spleen measured by FACS. (E) Summary data of the percentages of CD4+ T cells of CD3+ cells. (F) Comparison of absolute CD4 T-cell, CD8 T-cell and huCD45+ cell numbers in spleen from uninfected controls (n = 3) and R3A-infected mice (n = 10). (B–F) Mice were analyzed at 8 days post infection. All bars in dot graphs indicate median value. Error bars indicate standard deviations (SD). * and ** indicate p,0.05 and p,0.01, respectively. doi:10.1371/journal.ppat.1004291.g001 was also confirmed at RNA level by real time PCR (Figure 3C). In addition, the up-regulation of ISGs such as Mx1 and TRIM22 was also blocked (Figure 3D and data not shown). We confirmed similar blocking of IFN-I induction by pDC-depletion prior to infection with the CCR5-tropic JRCSF HIV-1 strain (data not shown). These data demonstrate that pDC are the critical IFN-I producing cells during early HIV-1 infection in humanized mice in vivo. of HIV-1 replication. These data suggest that the elevated level of HIV-1 replication in the absence of pDC can lead to upregulation of T-cell activation markers. PLOS Pathogens | www.plospathogens.org Depletion of pDC reduces HIV-induced death of human CD4-negative leukocytes during acute HIV-R3A infection As shown in Figure 1, HIV-R3A infection leads to rapid immunopathogenesis including depletion of human total leukocytes and CD8 T cells, as well as CD4 T cells. Despite the increased HIV-R3A viral replication in pDC-depleted mice, the absolute numbers of human CD4+ T cells in blood and spleen were comparable to those of control mice (Figure 5A). More surprisingly, CD8+ T cells as well as total human CD45+ leukocytes were partly preserved in blood and spleen in pDC-depleted mice (Figure 5B&C). Consistently, this is correlated with decreased levels of cell death of CD45 or CD8 T cells (Figure 5D&E). The similar cell death induction of CD4 T cells in both groups of mice may be due to the highly fusogenic activity of the HIV-R3A Env [45,46]. The elevated HIV-R3A replication in pDC-depleted mice, com- bined with its highly pathogenic direct killing activity, may contribute to the observed CD4 T cell death induction and depletion. Consistent with the antiviral activity of IFN-I, HIV-1 replication reached higher levels in pDC-depleted mice in vivo (Figure 4). The average plasma viral load was increased about 10-fold comparing with mice treated with isotype control antibody (Figure 4A, p,0.01). We repeated the pDC depletion experiment with the CCR5 tropic HIV-1 JR-CSF. Similar to HIV-R3A infection, JR-CSF replication was increased in pDC- depleted mice (about 5-fold, Figure 4B). The increase of viral replication was further confirmed in the spleen by immunohis- tochemistry (Figure 4C) or flow cytometry (Figure 4D&E) of HIV p24 protein positive cells. Therefore, pDC are the critical IFN-I producer cells in response to acute HIV-1 infection, and they are required to significantly inhibit early HIV-1 replication. The expression of HLA-DR and CD38 was increased in mice with pDC depletion (Figure S4), correlated with increased level July 2014 | Volume 10 | Issue 7 | e1004291 PLOS Pathogens | www.plospathogens.org 3 Role of pDC in HIV-1 Replication and Immunopathogenesis Figure 2. Specific depletion of human pDC in lymphoid organs in vivo with a human pDC-reactive monoclonal antibody. Humanized Mice were treated with either 15B or isotype control (iso) antibody for 3 times on days -5, -3, -1 prior to termination. Percentages of pDC (Lin2CD4+CD123+) in total human leukocytes (CD45+) are analyzed. (A) Representative FACS plots and summarized data show relative pDC frequencies before and after antibody treatment in the peripheral blood (n = 7). Depletion of pDC reduces HIV-induced death of human CD4-negative leukocytes during acute HIV-R3A infection (B) Representative FACS plots and summarized data show pDC depletion by 15B in mesenteric lymph nodes (mLN) and spleen (SP, isotype n = 4; 15B n = 5). All bars in dot graphs indicate median value. Error bars indicate standard deviations (SD). * and ** indicate p,0.05 and p,0.01, respectively. (C) Summarized percentages of CD32CD19+ B cells in different lymphoid tissues. (D) Summarized percentages of CD3+CD192 T cells in different lymphoid tissues. (E) Summarized percentages of CD32CD11c+ mDC cells in different lymphoid tissues. All bars in dot graphs indicate median value. doi:10.1371/journal.ppat.1004291.g002 Figure 2. Specific depletion of human pDC in lymphoid organs in vivo with a human pDC-reactive monoclonal antibody. Humanized Mice were treated with either 15B or isotype control (iso) antibody for 3 times on days -5, -3, -1 prior to termination. Percentages of pDC (Lin2CD4+CD123+) in total human leukocytes (CD45+) are analyzed. (A) Representative FACS plots and summarized data show relative pDC frequencies before and after antibody treatment in the peripheral blood (n = 7). (B) Representative FACS plots and summarized data show pDC depletion by 15B in mesenteric lymph nodes (mLN) and spleen (SP, isotype n = 4; 15B n = 5). All bars in dot graphs indicate median value. Error bars indicate standard deviations (SD). * and ** indicate p,0.05 and p,0.01, respectively. (C) Summarized percentages of CD32CD19+ B cells in different lymphoid tissues. (D) Summarized percentages of CD3+CD192 T cells in different lymphoid tissues. (E) Summarized percentages of CD32CD11c+ mDC cells in different lymphoid tissues. All bars in dot graphs indicate median value. doi:10.1371/journal.ppat.1004291.g002 pDC remain as important IFN-I producer cells and inhibit viral replication during chronic HIV-1 infection in humanized mice Contribution of pDC to HIV-1 induced human leukocyte depletion in lymphoid organs during chronic infection July 2014 | Volume 10 | Issue 7 | e1004291 pDC remain as important IFN-I producer cells and inhibit viral replication during chronic HIV-1 infection in humanized mice p y p g g In spite of the persistently higher viremia during 10 weeks of pDC depletion treatment, human CD4+ T cell numbers increased significantly in the spleen, comparing to the control group (Figure 7A, p,0.05). In addition, human CD8 T cells and CD45+ leukocyte numbers in spleens were also increased (Figure 7B&C, p,0.01). Interestingly, the relative depletion of human CD4, CD8 T cells and CD45 leukocytes was the same in the blood (Figure 7A–C). The increase of human CD45+ cells in the spleen was also confirmed by immunohistochem- istry staining of spleen sections (Figure 7D). Accordingly, pDC depletion significantly reduced the percentage of dying cells in T cells and total human CD45+ cells in the spleen and other lymphoid organs (Figure 7E&F and data not shown). There- fore, persistent activation of pDC in lymphoid organs during HIV-1 chronic infection, although still producing IFN-I to suppress HIV-1 replication, contributes significantly to HIV-1 induced depletion of human leukocytes including human CD4 T cells. During early phase of JR-CSF infection, the decrease of CD4+ T cells and other human leukocytes was not significant (Figure S1). To define the role of pDC in HIV-1 replication and immuno- pathogenesis during chronic HIV-1 infection, we performed pDC depletion during chronic HIV-JRCSF infection. Humanized mice were infected with JR-CSF for 11 weeks, and then 15B was applied to deplete pDC for additional 10 weeks. In agreement with the data from acute infection, we observed a significant increase in plasma viremia (Figure 6A). The percentage of HIV-1 infected cells (HIV-1 p24 positive) was also significantly increased (Figure 6B&C). Interestingly, plasma IFN-a2 decreased signifi- cantly in the pDC-depleted mice (by 70%, Figure 6D). The mRNA induction of different IFN-I subtypes (Figure 6E) and ISGs (Figure 6F) in human leukocytes in spleens was almost completely suppressed by real-time PCR and cDNA array (Figure S5). Thus, pDC are still a major source of IFN-I, and contribute to suppressing HIV-1 chronic infection in humanized mice. July 2014 | Volume 10 | Issue 7 | e1004291 4 PLOS Pathogens | www.plospathogens.org Role of pDC in HIV-1 Replication and Immunopathogenesis gure 3. Pre-infection depletion of pDC abolishes IFN-I induction during acute HIV-1 infection in humanized mice. (A) Summarized ta of pDC percentages in total human leukocytes (CD45+) from humanized mice are shown mice. Mice were treated with either 15B or isotype ntrol (iso) antibody. pDC remain as important IFN-I producer cells and inhibit viral replication during chronic HIV-1 infection in humanized mice After pDC depletion, mice were infected with HIV-R3A and terminated on 8 days post infection (dpi) for analysis. Mock infected ce, n = 6; isotype+R3A infected mice, n = 9; 15B+R3A infected mice, n = 12. (B) Plasma levels of IFN-a2 from mock, HIV-1 infected and 15B or isotype Ab treated mice were quantified by Luminex assays. Mock, n = 3; isotype+R3A, n = 5; 15B+R3A, n = 5. (C) The mRNA expression of major type I IFN nes in purified human cells (CD45+) from mouse spleens was measured by real-time PCR. (D) ISGs (Mx1 and TRIM22) expression in purified human ls (CD45+) from mouse spleens was measured by real-time PCR. Mock, n = 3; isotype+R3A, n = 5; 15B+R3A, n = 5. Mice were analyzed at 8 days post ection. Error bars in graphs indicate median value. Error bars indicate standard deviations (SD). * and ** indicate p,0.05 and p,0.01, respectively. i:10.1371/journal.ppat.1004291.g003 Figure 3. Pre-infection depletion of pDC abolishes IFN-I induction during acute HIV-1 infection in humanized mice. (A) Summarized data of pDC percentages in total human leukocytes (CD45+) from humanized mice are shown mice. Mice were treated with either 15B or isotype control (iso) antibody. After pDC depletion, mice were infected with HIV-R3A and terminated on 8 days post infection (dpi) for analysis. Mock infected mice, n = 6; isotype+R3A infected mice, n = 9; 15B+R3A infected mice, n = 12. (B) Plasma levels of IFN-a2 from mock, HIV-1 infected and 15B or isotype mAb treated mice were quantified by Luminex assays. Mock, n = 3; isotype+R3A, n = 5; 15B+R3A, n = 5. (C) The mRNA expression of major type I IFN genes in purified human cells (CD45+) from mouse spleens was measured by real-time PCR. (D) ISGs (Mx1 and TRIM22) expression in purified human cells (CD45+) from mouse spleens was measured by real-time PCR. Mock, n = 3; isotype+R3A, n = 5; 15B+R3A, n = 5. Mice were analyzed at 8 days post infection. Error bars in graphs indicate median value. Error bars indicate standard deviations (SD). * and ** indicate p,0.05 and p,0.01, respectively. doi:10.1371/journal.ppat.1004291.g003 PLOS Pathogens | www.plospathogens.org July 2014 | Volume 10 | Issue 7 | e1004291 Discussion The discrepancy may be due to an incomplete blocking of pDC activation by the TLR7 and TLR9 antagonist in vivo or different contribution of other IFN-I producing cells in SIV-infected monkeys [56]. A recent report shows that pDC are the major IFN-I producing cells during primary SIV infection but the pDC pool is replenished by their precursors lacking IFN-I production capacity post acute phase infection [57]. However, we found that the depletion of pDC abolished or dramatically reduced IFN-I production during acute or chronic HIV-1 infection, suggesting that pDC are the major IFN-I producing cells during both acute and chronic HIV infection in humanized mice. The 15B mAb does not bind the BDCA2 receptor on monkey pDC (data not shown). The contribution of pDC in SIV- infected monkeys needs to be reexamined by pDC depletion when the appropriate depleting antibody is available. pDC are the critical or only IFN-I producer cells in response to acute HIV-1 infection in humanized mice. The pDC-independent production of IFN-a in plasma and ISG expression after pDC depletion during chronic HIV-1 infection may be due to the contribution of other cell types such as mDC and macrophages [55]. A recent report showed that TLR7 and TLR9 blockade had minimal impact on plasma IFN-a and expression of ISG in SIV- infected monkeys and did not alter viral load and T cell activation in vivo [56]. The discrepancy may be due to an incomplete blocking of pDC activation by the TLR7 and TLR9 antagonist in vivo or different contribution of other IFN-I producing cells in SIV-infected monkeys [56]. A recent report shows that pDC are the major IFN-I producing cells during primary SIV infection but the pDC pool is replenished by their precursors lacking IFN-I production capacity post acute phase infection [57]. However, we found that the depletion of pDC abolished or dramatically reduced IFN-I production during acute or chronic HIV-1 infection, suggesting that pDC are the major IFN-I producing cells during both acute and chronic HIV infection in humanized mice. The 15B mAb does not bind the BDCA2 receptor on monkey pDC (data not shown). The contribution of pDC in SIV- infected monkeys needs to be reexamined by pDC depletion when the appropriate depleting antibody is available. HIV-1 disease progression is associated with gradual depletion of human leukocytes including other lineages as well as CD4 T cells [59,60,61]. Discussion producing cells and contribute to controlling HIV-1 replication. Most surprisingly, depletion of pDC during chronic HIV-1 infection rescued human leukocytes including human CD4 T cells in lymphoid organs but not in blood, in spite of higher levels of HIV-1 replication. We conclude that pDC play two opposing roles during HIV-1 infection and pathogenesis: they produce IFN-I to inhibit HIV-1 replication, but enhance HIV-1 pathogenesis by promoting cell death of human leukocytes including human CD4 and CD8 T cells. HIV-1 infection induces a systemic immune activation [1,47], which has been proposed to contribute to HIV-1 disease progression [1,3,4,47,48,49]. Persistent activation of pDC and IFN-I have been correlated with HIV-1 infection induced immune activation both in HIV-infected patients and in SIV- infected rhesus monkeys [15,20,21],[16,18,23,49,50,51]. The role of pDC in HIV-1 infection and immunopathogenesis, however, remains unclear [52,53,54]. Using the humanized mouse model of HIV-1 infection and pathogenesis in vivo, we developed a novel pDC-specific mAb that specifically and efficiently depletes human pDC in various lymphoid organs in vivo. We report here that, in response to acute HIV-1 infection, pDC are the critical IFN-I producer cells and contribute to suppressing HIV-1 replication during early HIV-1 infection. During chronic HIV-1 infection, pDC are still the major IFN-I Study of human pDC has been hampered by the difficulty of isolating sufficient number of human pDC cells and our inability to culture or expand pDC in vitro. Using humanized mice, we screened a number of human pDC-specific mAb and identified the 15B mAb that specifically and efficiently depletes human pDC in all lymphoid organs in vivo. With this mAb, we were able to define the role of pDC in HIV-1 replication and immunopathogenesis during different phases of HIV-1 infection. Our findings show that July 2014 | Volume 10 | Issue 7 | e1004291 July 2014 | Volume 10 | Issue 7 | e1004291 PLOS Pathogens | www.plospathogens.org 5 Role of pDC in HIV-1 Replication and Immunopathogenesis Figure 4. Pre-depletion of pDC leads to higher levels of HIV-1 replication. (A) Plasma HIV-1 RNA levels from HIV-R3A infected mice (genome copy#6log10/ml) are summarized. isotype+R3A, n = 9; 15B+R3A, n = 12. (B) Plasma HIV-1 RNA levels from JR-CSF infected mice at 2 wpi are summarized. isotype+JR-CSF, n = 12; 15B+JR-CSF, n = 12. (C) Immunohistochemistry staining for p24 positive cells in the spleen of mock or HIV-R3A infected mice. Discussion (D) Representative FACS plots for p24 positive CD4 T cells in the spleen of mock or JRCSF infected mice at 3 wpi. (E) Summarized data of D. isotype+JR-CSF, n = 7; 15B+JR-CSF, n = 7. Bars in dot graphs indicate median value. * indicates p,0.05. doi:10.1371/journal.ppat.1004291.g004 Figure 4. Pre-depletion of pDC leads to higher levels of HIV-1 replication. (A) Plasma HIV-1 RNA levels from HIV-R3A infected mice (genome copy#6log10/ml) are summarized. isotype+R3A, n = 9; 15B+R3A, n = 12. (B) Plasma HIV-1 RNA levels from JR-CSF infected mice at 2 wpi are summarized. isotype+JR-CSF, n = 12; 15B+JR-CSF, n = 12. (C) Immunohistochemistry staining for p24 positive cells in the spleen of mock or HIV-R3A infected mice. (D) Representative FACS plots for p24 positive CD4 T cells in the spleen of mock or JRCSF infected mice at 3 wpi. (E) Summarized data of D. isotype+JR-CSF, n = 7; 15B+JR-CSF, n = 7. Bars in dot graphs indicate median value. * indicates p,0.05. doi:10.1371/journal.ppat.1004291.g004 Figure 4. Pre-depletion of pDC leads to higher levels of HIV-1 replication. (A) Plasma HIV-1 RNA levels from HIV-R3A infected mice (genome copy#6log10/ml) are summarized. isotype+R3A, n = 9; 15B+R3A, n = 12. (B) Plasma HIV-1 RNA levels from JR-CSF infected mice at 2 wpi are summarized. isotype+JR-CSF, n = 12; 15B+JR-CSF, n = 12. (C) Immunohistochemistry staining for p24 positive cells in the spleen of mock or HIV-R3A infected mice. (D) Representative FACS plots for p24 positive CD4 T cells in the spleen of mock or JRCSF infected mice at 3 wpi. (E) Summarized data of D. isotype+JR-CSF, n = 7; 15B+JR-CSF, n = 7. Bars in dot graphs indicate median value. * indicates p,0.05. doi:10.1371/journal.ppat.1004291.g004 model. It will be interesting to examine the effect of pDC depletion on SIV pathogenesis in the GALT of SIV-infected monkeys, which recapitulates GALT pathogenesis as in HIV-infected humans. pDC are the critical or only IFN-I producer cells in response to acute HIV-1 infection in humanized mice. The pDC-independent production of IFN-a in plasma and ISG expression after pDC depletion during chronic HIV-1 infection may be due to the contribution of other cell types such as mDC and macrophages [55]. A recent report showed that TLR7 and TLR9 blockade had minimal impact on plasma IFN-a and expression of ISG in SIV- infected monkeys and did not alter viral load and T cell activation in vivo [56]. PLOS Pathogens | www.plospathogens.org July 2014 | Volume 10 | Issue 7 | e1004291 Discussion Pre-depletion of pDC reduces HIV-R3A induced death of human leukocytes. (A) CD4 T cell (CD3+CD82) counts in peripheral blood (PBL) and spleens (SP) of mock or HIV-R3A infected mice. (B) CD8 T cell (CD3+CD42CD8+) counts in PBL and SP. (C) Human CD45+ leukocyte counts in PBL and SP. (D) Representative histograms show percentages of dead CD4 T cells, CD8 T cells and huCD45+ cells in spleens of mice infected with mock or R3A at 8 dpi. (E) Summarized data of D. mock, n = 6; isotype+R3A, n = 9; 15B+R3A, n = 12. Bars in all graphs indicate median value. * and ** indicate p,0.05 and p,0.01, respectively. doi:10.1371/journal.ppat.1004291.g005 IFN-I with a non-signaling IFNa during acute SIV infection promoted viral replication, which is consistent with our data in the current study. However, they also observed accelerated CD4+ T- cell depletion and AIDS progression [71]. This may be due to the distinct experimental systems between pDC depletion in human- ized mice and IFN-I blocking in SIV-infected monkeys. pDC have multiple functions beside IFN-I production, including production of other inflammatory cytokines, direct killing of T cells through TRAIL expression [68] and inhibition of antiviral immune response by Treg induction [18]. Therefore, pDC depletion in SIV-infected monkeys should be performed in future experiments to clarify the role of pDC in SIV infection and pathogenesis in various NHP hosts. human T cells in HIV-1 infected patients, correlated with reduced immune activation [10,11]. However, two recent reports with similar chloroquine treatment failed to demonstrate the significant beneficial effect in HIV-1 patients [64,65]. Two recent reports showed that blocking IFN-I signaling during LCMV persistent infection could improve antiviral T cell response and accelerate clearance of chronic LCMV infection via an IL-10- related mechanism [66,67]. It is not clear if IFN-I also plays a similar critical role in HIV-1 infection and immunopathogenesis. It will be of great interest to test, when the human IFN-IR antagonistic mAb is available, if blocking human IFN-IR can similarly improve anti-HIV immunity and lead to better control of HIV-1 infection in humanized mice or in SIV-infected monkeys. However, pDC depletion in HIV-infected humanized mice showed very distinct outcomes as blocking IFN-I signaling in LCMV-infected mice. First, pDC depletion led to increased HIV- 1 replication, and it did not affect IL-10 expression (Li, G. and Su, L., unpublished results). Discussion Multiple mechanisms have been reported to account for the pathogenic activity of HIV-1 infection. Besides direct killing of HIV-1 infected CD4 cells, bystander cells including hematopoietic progenitor cells and uninfected human mature cells are also depleted, associated with immune hyper- activation during pathogenic HIV-1 infection. Several recent reports suggest that pDC may contribute to HIV-1 induced immune activation and subsequent immunopathogenesis. Repeat- ed administrations of TLR7 ligands in mice induce AIDS-like lymphopenia, with reduced CD4+ T cells, CD8+ T cells and B cells [8]. It is reported that IFN-I triggers proapoptotic and antipro- liferative effect on T cells [62]. We found that pDC-depletion not only rescued CD4 T cells but also CD8 T cells and total CD45+ leukocytes in lymphoid organs such as spleen and LN, but not in the blood. Therefore, persistent activation of pDC by HIV-1 infection in lymphoid organs contributes to HIV-1 immunopathogenesis by accelerating the death of all human leukocyte cells. Similarly, recent findings showed that treating SIV-infected rhesus macaques with the TLR7 and TLR9 antagonist DV056 led to a significant increase in levels of proliferating memory CD4 and CD8 T cells in the blood [56]. Interestingly, the anti-malaria drug chloroquine, which inhibits IFN-I production by pDC in vitro [63], appears to rescue The gut associated lymphoid tissue (GALT) is a major site of human T-cell depletion by HIV-1 infection. It is important to point out that the GALT in humanized mouse models are not structurally developed, with impaired intestinal lymphoid organ structure and human cell engulfment [58]. We thus can not examine the effect of pDC depletion in GALT in the current July 2014 | Volume 10 | Issue 7 | e1004291 6 Role of pDC in HIV-1 Replication and Immunopathogenesis Figure 5. Pre-depletion of pDC reduces HIV-R3A induced death of human leukocytes. (A) CD4 T cell (CD3+CD82) counts in peripheral blood (PBL) and spleens (SP) of mock or HIV-R3A infected mice. (B) CD8 T cell (CD3+CD42CD8+) counts in PBL and SP. (C) Human CD45+ leukocyte counts in PBL and SP. (D) Representative histograms show percentages of dead CD4 T cells, CD8 T cells and huCD45+ cells in spleens of mice infected with mock or R3A at 8 dpi. (E) Summarized data of D. mock, n = 6; isotype+R3A, n = 9; 15B+R3A, n = 12. Bars in all graphs indicate median value. * and ** indicate p,0.05 and p,0.01, respectively. doi:10.1371/journal.ppat.1004291.g005 Figure 5. Discussion In addition, pDC depletion may remove IFN-I and additional factors expressed by ‘‘bad’’ pDC, including other inflammatory cytokines and cell death ligands such as TRAIL (killer pDC, [27,28,68]). Therefore, persistent pDC activation by HIV-1 infection contributes to HIV-1 induced depletion of human immune cells and leads to HIV-1 disease progression. Our findings suggest that depletion of ‘‘bad’’ pDC transiently during HIV-1 chronic infection may provide an effective treatment to preserve human immune cells in HIV-1 infected patients or in those HAART-treated immune non- responder patients [69,70]. Recently, it was reported that blocking July 2014 | Volume 10 | Issue 7 | e1004291 Ethics statement The reports followed NIH research ethics guidelines. For the humanized mouse construction, human fetal liver were obtained from elective or medically indicated termination of pregnancy through a non-profit intermediary working with outpatient clinics (Advanced Bioscience Resources, Alameda, CA). The use of the tissue in research had no influence on the decision regarding termination of the pregnancy. Informed consent of the maternal donor is obtained in all cases, under regulation governing the clinic. We were provided with no information regarding the identity of the patients, nor is this information traceable. The project was reviewed by the University’s Office of Human PLOS Pathogens | www.plospathogens.org 7 July 2014 | Volume 10 | Issue 7 | e1004291 Role of pDC in HIV-1 Replication and Immunopathogenesis Research Ethics which has determined that this submission does injected into the liver of each 2- to 6-days old DKO or NRG Figure 6. Depletion of pDC during chronic HIV-1 infection increases HIV-1 replication associated with reduced IFN-I expression. Humanized mice were infected HIV-JRCSF and were treated weekly with 15B or control at 11 weeks post-infection and terminated at 21 weeks post- infection (mock, n = 6; JR-CSF+control, n = 9; JR-CSF+15B, n = 9). (A) Plasma HIV-1 RNA levels (genome copy#6log10/ml) at each time point were analyzed by real-time PCR. (B) Representative FACS histograms and summarized data (C) show percentages of HIV p24-positive CD4 T cells (CD3+CD82) in the spleen. (D) The production of IFNa2 in the plasma, from mock infected (n = 4), JR-CSF+PBS (n = 5) and JR-CSF+15B (n = 5) at either 11 wpi (pre-) or 21 wpi (post-), was measured by Luminex. (E) The mRNA levels of IFN-I genes or ISGs Mx1 and TRIM22 (F) in purified human CD45+ cells from spleens (n = 5). All bars in dot graphs indicate median value. Error bars indicate standard deviations (SD). * and ** indicate p,0.05 and p, 0.01, respectively. Relative ISGs expression in human CD45+ cells or in CD8 T cells (CD3+CD42CD8+) in spleens are summarized in Figure S5. doi:10.1371/journal.ppat.1004291.g006 Figure 6. Depletion of pDC during chronic HIV-1 infection increases HIV-1 replication associated with reduced IFN-I expression. Humanized mice were infected HIV-JRCSF and were treated weekly with 15B or control at 11 weeks post-infection and terminated at 21 weeks post- infection (mock, n = 6; JR-CSF+control, n = 9; JR-CSF+15B, n = 9). Ethics statement (A) Plasma HIV-1 RNA levels (genome copy#6log10/ml) at each time point were analyzed by real-time PCR. (B) Representative FACS histograms and summarized data (C) show percentages of HIV p24-positive CD4 T cells (CD3+CD82) in the spleen. (D) The production of IFNa2 in the plasma, from mock infected (n = 4), JR-CSF+PBS (n = 5) and JR-CSF+15B (n = 5) at either 11 wpi (pre-) or 21 wpi (post-), was measured by Luminex. (E) The mRNA levels of IFN-I genes or ISGs Mx1 and TRIM22 (F) in purified human CD45+ cells from spleens (n = 5). All bars in dot graphs indicate median value. Error bars indicate standard deviations (SD). * and ** indicate p,0.05 and p, 0.01, respectively. Relative ISGs expression in human CD45+ cells or in CD8 T cells (CD3+CD42CD8+) in spleens are summarized in Figure S5. doi:10.1371/journal.ppat.1004291.g006 injected into the liver of each 2- to 6-days old DKO or NRG mice, which had been previously irradiated at 300 rad. More than 95% of the humanized mice were stably reconstituted with human leukocytes in the blood (10%–90% at 12–14 weeks). Each cohort (Humanized mice reconstituted from the same human donor fetal liver tissue) had similar levels of engraftment. All mice were housed at the University of North Carolina at Chapel Hill. Research Ethics, which has determined that this submission does not constitute human subjects research as defined under federal regulations [45 CFR 46.102 (d or f) and 21 CFR 56.102(c)(e)(l)] and does not require IRB approval. The University of North Carolina at Chapel Hill Institutional Animal Care and Use Committee (IACUC) has reviewed and approved this research. All animal experiments were conducted following NIH guidelines for housing and care of laboratory animals and in accordance with The University of North Carolina at Chapel Hill in accordance with protocols approved by the institution’s Institutional Animal Care and Use Committee (IACUC ID: 11-103.0). HIV-1 virus stocks and infection of humanized mice NL4-R3A, generated by cloning a highly pathogenic dual tropic envelope into NL4-3 backbone [44,45,46], was used for acute infection experiment. An R5 tropic strain of HIV-1, JR-CSF, was used for both acute and chronic infection. All viruses were generated by transfection of 293T cells. Humanized mice with stable human leukocyte reconstitution were infected with NL4- R3A (5 ng p24/mouse) or JR-CSF (10 ng p24/mouse), through intravenous injection (i.v.). Humanized mice infected with 293T mock supernatant were used as control groups. Construction of humanized mice Approval for animal work was obtained from the University of North Carolina Institutional Animal Care and Use Commit- tee (IACUC). We constructed Balb/C rag2-gammaC (DKO) mutant DKO-hu HSC or Nod-rag1-gammaC (NRG) NRG-hu HSC mice similarly as previously reported [39]. Briefly, human CD34+ cells were isolated from 16- to 20-week-old fetal liver tissues. Tissues were digested with Liver Digest Medium (Invitrogen, Frederick, MD). The suspension was filtered through a 70 mm cell strainer (BD Falcon, Lincoln Park, NJ) and was centrifuged at 150 g for 5 minutes to isolate mononu- clear cells by Ficoll. After selection with the CD34+ magnetic- activated cell sorting (MACS) kit, CD34+ HSCs (0.5 x 106) were Role of pDC in HIV-1 Replication and Immunopathogenesis Pacific orange–conjugated anti–mouse CD45 (clone:HI30, cat#MHCD4530), PE/Texas red–conjugated anti– human CD4 (clone:S3.5, cat#MHCD0417) or CD8 (clone:3B5, cat#MHCD Flow cytometry 0817), and LIVE/DEAD Fixable Aqua Dead Cell Stain Kit (cat#L34957) were purchased from Invitrogen. FITC-conjugated anti-HIV p24 (clone:FH190-1-1, cat#6604665) was purchased from Beckman Coulter. The cells were analyzed on a CyAn ADP (Dako). 0817), and LIVE/DEAD Fixable Aqua Dead Cell Stain Kit (cat#L34957) were purchased from Invitrogen. FITC-conjugated anti-HIV p24 (clone:FH190-1-1, cat#6604665) was purchased from Beckman Coulter. The cells were analyzed on a CyAn ADP (Dako). For HIV-1 gag p24 staining, cells were stained with surface markers first, and then permeabilized with cytofix/cytoperm buffer (BD Bioscience, cat#554714), followed by intracellular staining. Human leukocytes (mCD452huCD45+) were analyzed for human CD3, CD4, CD8, CD123, HLA-DR and CD38 by CyAn FACS machine (Dako). FITC-conjugated anti–human HLA-DR (clone:L243, cat#307604), PE-conjugated anti-human CD38 (clone:HIT2, cat#303506), PE/Cy5-conjugated anti-hu- man CD4 (clone:RP4-T4, cat#300510), PE/Cy7-conjugated anti- human CD3 (clone:HIT3a, cat#300316), Pacific blue-conjugated anti-human CD3 (clone:UCHT1, cat#300431), PE/Cy7-conju- gated anti-human CD8 (clone:HIT8a, cat#300914), APC-conju- gated human CD123 (clone:6H6, cat#306012) and APC/ Role of pDC in HIV-1 Replication and Immunopathogenesis Figure 7. Depletion of pDC during chronic infection reduces HIV-1 induced immunopathogenesis. Humanized mice were infected HIV- JRCSF and were treated weekly with 15B or control at 11 weeks post-infection and terminated at 21 weeks post-infection (mock, n = 6; JR-CSF+ control, n = 9; JR-CSF+15B, n = 9). (A–C) Summarized data show relative numbers in PBL and SP of (A) CD4 T cells (CD3+CD82), (B) CD8 T cells (CD3+CD42CD8+), and (C) human CD45+ leukocytes. (D) Immunohistochemistry staining for human CD45+ cells in spleens of mock or HIV-1 infected mice. (E) FACS plots of cell death in human CD4+ T cells, CD8+ T cells and huCD45+ leukocytes from spleens. (F) Summary data show percentages of cell death in CD4+ T cells, CD8+ T cells and huCD45+ leukocytes. Bars in dot graphs indicate median value. * and ** indicate p,0.05 and p,0.01, respectively. doi:10.1371/journal.ppat.1004291.g007 Figure 7. Depletion of pDC during chronic infection reduces HIV-1 induced immunopathogenesis. Humanized mice were infected HIV- JRCSF and were treated weekly with 15B or control at 11 weeks post-infection and terminated at 21 weeks post-infection (mock, n = 6; JR-CSF+ control, n = 9; JR-CSF+15B, n = 9). (A–C) Summarized data show relative numbers in PBL and SP of (A) CD4 T cells (CD3+CD82), (B) CD8 T cells (CD3+CD42CD8+), and (C) human CD45+ leukocytes. (D) Immunohistochemistry staining for human CD45+ cells in spleens of mock or HIV-1 infected mice. (E) FACS plots of cell death in human CD4+ T cells, CD8+ T cells and huCD45+ leukocytes from spleens. (F) Summary data show percentages of cell death in CD4+ T cells, CD8+ T cells and huCD45+ leukocytes. Bars in dot graphs indicate median value. * and ** indicate p,0.05 and p,0.01, respectively. doi:10.1371/journal.ppat.1004291.g007 y doi:10.1371/journal.ppat.1004291.g007 Cy7-conjuaged anti-human CD45 (clone:H130, cat#304014) were purchased from Biolegend; PE-conjugated anti-human caspase-3 (clone:C92-605, cat#51-68655X) was purchased from BD Bioscience. Pacific orange–conjugated anti–mouse CD45 (clone:HI30, cat#MHCD4530), PE/Texas red–conjugated anti– human CD4 (clone:S3.5, cat#MHCD0417) or CD8 (clone:3B5, cat#MHCD and -1 days before infection. For acute R3A infection, mice will be treated on 3 and 6 days post-infection. For acute JR-CSF infection, mice will be treated every three days until termination. For chronic JR-CSF infection, 15B was applied to mice at 11wpi by injecting twice every week for 10 weeks. Cy7-conjuaged anti-human CD45 (clone:H130, cat#304014) were purchased from Biolegend; PE-conjugated anti-human caspase-3 (clone:C92-605, cat#51-68655X) was purchased from BD Bioscience. Depletion of human pDC in humanized mice A monoclonal antibody specific to blood dendritic cell antigen-2 (BDCA2), 15B, was used to treat humanized mice through intraperitoneal injection (i.p., 4 mg/kg). For acute HIV-1 infec- tion, humanized mice were injected three times with 15B on -5, -3 July 2014 | Volume 10 | Issue 7 | e1004291 PLOS Pathogens | www.plospathogens.org 8 Role of pDC in HIV-1 Replication and Immunopathogenesis References 1. Ascher MS, Sheppard HW (1988) AIDS as immune system activation: a model for pathogenesis. Clin Exp Immunol 73: 165–167. 1. Ascher MS, Sheppard HW (1988) AIDS as immune system activation: a model for pathogenesis. Clin Exp Immunol 73: 165–167. 10. Murray SM, Down CM, Boulware DR, Stauffer WM, Cavert WP, et al. (2010) Reduction of immune activation with chloroquine therapy during chronic HIV infection. J Virol 84: 12082–12086. 2. Sodora DL, Silvestri G (2008) Immune activation and AIDS pathogenesis. Aids 22: 439–446. 11. Piconi S, Parisotto S, Rizzardini G, Passerini S, Terzi R, et al. (2011) Hydroxychloroquine drastically reduces immune activation in HIV-infected, antiretroviral therapy-treated immunologic nonresponders. Blood 118: 3263– 3272. 3. Moir S, Chun TW, Fauci AS (2011) Pathogenic mechanisms of HIV disease. Annu Rev Pathol 6: 223–248. 4. Giorgi JV, Liu Z, Hultin LE, Cumberland WG, Hennessey K, et al. (1993) Elevated levels of CD38+ CD8+ T cells in HIV infection add to the prognostic value of low CD4+ T cell levels: results of 6 years of follow-up. The Los Angeles Center, Multicenter AIDS Cohort Study. J Acquir Immune Defic Syndr 6: 904– 912. 12. Brenchley JM, Price DA, Schacker TW, Asher TE, Silvestri G, et al. (2006) Microbial translocation is a cause of systemic immune activation in chronic HIV infection. Nat Med 12: 1365–1371. 13. Fitzgerald-Bocarsly P, Jacobs ES (2010) Plasmacytoid dendritic cells in HIV infection: striking a delicate balance J Leukoc Biol 87: 609 620 13. Fitzgerald-Bocarsly P, Jacobs ES (2010) Plasmacytoid dendritic cells in HIV infection: striking a delicate balance. J Leukoc Biol 87: 609–620. 13. Fitzgerald-Bocarsly P, Jacobs ES (2010) Plasmacytoid dendritic 5. Apetrei C, Sumpter B, Souquiere S, Chahroudi A, Makuwa M, et al. (2011) Immunovirological analyses of chronically simian immunodeficiency virus SIVmnd-1- and SIVmnd-2-infected mandrills (Mandrillus sphinx). J Virol 85: 13077–13087. 14. Skurkovich S, Skurkovich B, Bellanti JA (1993) A disturbance of interferon synthesis with the hyperproduction of unusual kinds of interferon can trigger autoimmune disease and play a pathogenetic role in AIDS: the removal of these interferons can be therapeutic. Med Hypotheses 41: 177–185. interferons can be therapeutic. Med Hypotheses 41: 177–185. 6. Klatt NR, Estes JD, Sun X, Ortiz AM, Barber JS, et al. (2012) Loss of mucosal CD103+ DCs and IL-17+ and IL-22+ lymphocytes is associated with mucosal damage in SIV infection. Mucosal Immunol 5: 646–657. 15. Supporting Information Figure S1 (A–E) Kinetics of HIV-JRCSF infection and immu- nopathogenesis in humanized mice measured by quantitative real- time PCR (n = 10, A), IFNa2 induction (B), immune activation of human CD8 T cells (C), relative percentages of CD4 T cells in the blood (PBL) or spleens (D), or total cell numbers of CD4, CD8 T cells and human CD45+ leukocytes (E). (C–E) All mice were analyzed at 18 weeks post HIV infection. Each dot represents one mouse and ** indicate p,0.01. Role of pDC in HIV-1 Replication and Immunopathogenesis Role of pDC in HIV-1 Replication and Immunopathogenesis CD19+ B cells in huCD45+ cells (A) or CD3-CD11c+ mDC (B) in the blood, mLN and spleens. (TIF) captured using a QImaging Micropublisher 3.3 CCD digital camera and QCapture software version 3.0 (QImaging, Surrey, BC). CD19+ B cells in huCD45+ cells (A) or CD3-CD11c+ mDC (B) in the blood, mLN and spleens. (TIF) Figure S3 Specific depletion of pDCs induced by 15B in different lymphoid organs in humanized mice. (A) Representative FACS plots and summarized data (B) show percentages of CD3- CD14+ cell in huCD45+ cells in the blood, mLN and spleens. (TIF) Statistical analysis Data were analyzed using GraphPad Prism software version 5.0 (GraphPad software, San Diego, CA, USA). The methods used for analysis of microarray data were described above. The data from different infection groups of mice were compared using a 2-tailed Mann-Whitney U test. For gene expression, mean-DCT was calculated as the average (6 SD) of all DCT values within each group of samples and 2-way ANOVA method was used. Correlations were estimated with a Spearman test. All results were considered significant when p,0.05. Figure S5 Depletion of pDC during chronic HIV-1 infection reduces type I IFN response. Humanized mice were infected with HIV-JRCSF and treated with 15B or control at 11 weeks post- infection and terminated at 21 weeks post-infection. Human cells (CD45+ or CD3+ CD8+ T cells) from spleens of mock, HIV-1/ control or HIV-1/15B mice were purified by flow cytometry. Total mRNA were isolated and used for the cDNA microarray assay. Gene expression of a panel of ISGs relative to mock samples in human CD45+ cells (left) and CD3+CD4-CD8+T cells (right) is shown. The relative expression over mock samples is indicated by the color bars. (TIF) Author Contributions Figure S2 Specific depletion of pDCs induced by 15B in different lymphoid organs in humanized mice. Representative FACS plots show percentages of CD3+CD19- T cells and CD3- Figure S2 Specific depletion of pDCs induced by 15B in different lymphoid organs in humanized mice. Representative FACS plots show percentages of CD3+CD19- T cells and CD3- Figure S2 Specific depletion of pDCs induced by 15B in different lymphoid organs in humanized mice. Representative FACS plots show percentages of CD3+CD19- T cells and CD3- Conceived and designed the experiments: LZ YjL LS. Performed the experiments: GL MC JiN LC HG HY LZ. Analyzed the data: GL YjL LZ LS. Contributed to the writing of the manuscript: GM LZ LS. Cellular mRNA level detection Interferon alpha-1/13 (IFNa1/13), interferon alpha-2 (IFNa2), interferon beta (IFNb) [72], interferon gamma (IFNc) [73] and tumor necrosis factor alpha (TNFa) [74] were detected. IFN-I stimulated genes, MxA [75] and TRIM22 [76], were detected to confirm pDCs depletion effect on type I IFN production. Real- time PCR assay was performed (ABI Applied Biosystem). All samples were tested in triplicate using the human GAPDH gene [77] for normalization. Figure S4 Relative T-cell activation in humanized mice with or without pDC depletion. (A) pDC were depleted before HIV infection, the percentage of HLA-DR+CD38+ of CD8 T cells in the spleen at 8 days post-infection by R3A is summarized. (B) pDC were depleted before HIV infection, the percentage of HLA- DR+CD38+ of CD8 T cells in the spleen at 3 weeks post-infection by JR-CSF is summarized. * indicates p,0.05. (TIF) Acknowledgments We thank the members of Su laboratory and Zhang laboratory for discussions, and UNC DLAM, FACS cores and CFAR for supports; and the technical support of Liqun Chi, Qiong He and T. Anthony Curtis. Immunohistochemistry Paraffin-embedded spleen sections from humanized mice were stained with the mouse anti–human CD45 (Dako, cat#N1514) or HIV-1 p24 antibody (Dako, cat#M0857), washed in PBS, then incubated with Mouse-&-Rabbit-on-Rodent Double Stain Poly- mer (BIOCARE MEDICAL, cat#RDS513H) and substrate DAB (BIOCARE MEDICAL, cat#BDB2004 H, L, MM). 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July 2014 | Volume 10 | Issue 7 | e1004291 July 2014 | Volume 10 | Issue 7 | e1004291 PLOS Pathogens | www.plospathogens.org 11 Role of pDC in HIV-1 Replication and Immunopathogenesis Role of pDC in HIV-1 Replication and Immunopathogenesis Role of pDC in HIV-1 Replication and Immunopathogenesis 68. Hardy AW, Graham DR, Shearer GM, Herbeuval JP (2007) HIV turns plasmacytoid dendritic cells (pDC) into TRAIL-expressing killer pDC and down-regulates HIV coreceptors by Toll-like receptor 7-induced IFN-alpha. Proc Natl Acad Sci U S A 104: 17453–17458. 73. Poloni A, Sartini D, Emanuelli M, Trappolini S, Mancini S, et al. (2011) Gene expression profile of cytokines in patients with chronic graft-versus-host disease after allogeneic hematopoietic stem cell transplantation with reduced condition- ing. Cytokine 53: 376–383. 74. Liu X, Silverstein PS, Singh V, Shah A, Qureshi N, et al. 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Boston, MA. 76. Singh R, Gaiha G, Werner L, McKim K, Mlisana K, et al. (2011) Association of TRIM22 with the type 1 interferon response and viral control during primary HIV-1 infection. J Virol 85: 208–216. on Retroviruses and Opportunistic Infections. Boston, MA. 72. Puig M, Tosh KW, Schramm LM, Grajkowska LT, Kirschman KD, et al. (2012) TLR9 and TLR7 agonists mediate distinct type I IFN responses in humans and nonhuman primates in vitro and in vivo. J Leukoc Biol 91: 147– 158. 77. Washburn ML, Bility MT, Zhang L, Kovalev GI, Buntzman A, et al. (2011) A humanized mouse model to study hepatitis C virus infection, immune response, and liver disease. Gastroenterology 140: 1334–1344. July 2014 | Volume 10 | Issue 7 | e1004291 PLOS Pathogens | www.plospathogens.org 12 PLOS Pathogens | www.plospathogens.org
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Interaction of historical and modern Sardinian African swine fever viruses with porcine and wild-boar monocytes and monocyte-derived macrophages
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Abstract African swine fever (ASF) is a contagious viral disease of wild and domestic pigs that is present in many parts of Africa, Asia and Europe, including Sardinia (Italy). Deletions in the EP402R and B602L genes have been found in almost all ASF virus (ASFV) strains circulating in Sardinia from 1990 onwards, and modern Sardinian strains (isolated after 1990) might have acquired some selective advantage compared to historical ones (isolated before 1990). Here, we analysed the host cell responses of wild boars and domestic pigs upon infection with virus variants. Higher intracellular levels of the late protein p72 were detected after infection with the modern strain 22653/14 compared to the historical strain Nu81.2, although both isolates grew at the same rate in both monocytes and monocyte-derived macrophages. Higher cytokine levels in the superna- tants of ASFV-infected pig monocytes compared to pig macrophages and wild-boar cells were detected, with no differences between isolates. Interaction of historical and modern Sardinian African swine fever viruses with porcine and wild‑boar monocytes and monocyte‑derived macrophages Silvia Dei Giudici1   · Giulia Franzoni1 · Piero Bonelli1 · Donatella Bacciu1 · Giovanna Sanna1 · Pier Paolo Angioi1 · Mauro Ledda2 · Giovannantonio Pilo1 · Paola Nicolussi1 · Annalisa Oggiano1 Silvia Dei Giudici1   · Giulia Franzoni1 · Piero Bonelli1 · Donatella Bacciu1 · Giovanna Sanna1 · Pier Paolo Angioi1 · Mauro Ledda2 · Giovannantonio Pilo1 · Paola Nicolussi1 · Annalisa Oggiano1 Received: 3 August 2018 / Accepted: 24 December 2018 / Published online: 10 January 2019 © The Author(s) 2019 * Silvia Dei Giudici silvia.deigiudici@izs‑sardegna.it Handling Editor: Diego G. Diel. Handling Editor: Diego G. Diel. Handling Editor: Diego G. Diel. * Silvia Dei Giudici silvia.deigiudici@izs‑sardegna.it 1 Istituto Zooprofilattico Sperimentale della Sardegna, Via Vienna 2, 07100 Sassari, Italy 2 Department of Veterinary Medicine, University of Sassari, Via Vienna 2, 07100 Sassari, Italy Introduction and China, [1, 8]. The epizootic cycle of ASFV in Sardinia is characterized by the absence of Ornithodoros ticks [18], which are biological vectors for ASFV and have been impli- cated in the long-term maintenance of the virus in Spain and Portugal (O. erraticus) and East and South Africa (O. mou- bata) [1]. There is instead evidence of endemically infected wild boar populations [5, 16, 18]. The role of wild boars in ASFV epidemiology in Sardinia remains controversial, but several authors agree on their secondary role in ASF transmission and instead emphasize the importance of the interaction between free-ranging pigs and wild boars for the persistence of the disease [13, 18]. Previous studies have shown that ASFV in wild boars in Sardinia tends to be self- limiting in the absence of contacts with free-ranging pig populations [14, 20]. African swine fever (ASF) is a contagious and often fatal viral disease of domestic pigs and wild boar [22] that is currently endemic in many sub-Saharan African countries, the Russian Federation, Transcaucasia, some East European countries, and Sardinia [1]. A recent ASF outbreak was also reported in China [8]. There is still neither a licensed vac- cine nor a treatment available, and disease-control measures rely on stamping out and movement restrictions, resulting in extreme losses for producers [22]. In Sardinia, the disease first occurred in 1978, and despite many eradication pro- grammes it is still endemic [3, 5, 18]. So far, all Sardinian ASFV isolates have been found to belong to p72 (B464L) genotype I, whereas genotype II ASFV isolates are circulat- ing in the other European countries, Transcaucasia, Russia, Molecular characterization of Sardinian ASFV strains isolated from domestic and wild pigs showed high genetic similarity. Indeed, an analysis of the genes coding for p72 and p54 proteins showed that all Sardinian strains can be classified within genotypes I and Ia, respectively [9, 23]. Differences were instead observed in the B602L gene, which is involved in viral morphogenesis [4], allowing the differentiation of Sardinian isolates in two temporally related subgroups (X and III). Almost all of the strains isolated from 1990 onwards (subgroup X) showed the Handling Editor: Diego G. Diel. * Silvia Dei Giudici silvia.deigiudici@izs‑sardegna.it 1 Istituto Zooprofilattico Sperimentale della Sardegna, Via Vienna 2, 07100 Sassari, Italy 2 Department of Veterinary Medicine, University of Sassari, Via Vienna 2, 07100 Sassari, Italy Handling Editor: Diego G. Diel. 2 Department of Veterinary Medicine, University of Sassari, Via Vienna 2, 07100 Sassari, Italy Archives of Virology (2019) 164:739–745 https://doi.org/10.1007/s00705-018-04140-6 Archives of Virology (2019) 164:739–745 https://doi.org/10.1007/s00705-018-04140-6 ORIGINAL ARTICLE ORIGINAL ARTICLE Cells Porcine monocytes were obtained as described previously [6]. Monocytes were seeded at a concentration of 8-10 × 105 live cells/well in a 12-well plates (Greiner CELLSTAR, Sigma). To differentiate monocytes into monocyte-derived macrophages (moMΦs), cells were cultured for 5 days at 37 °C with 5% ­CO2 in RPMI 1640 medium with 10% foetal bovine serum (FBS) supplemented with 50 ng of recombi- nant human macrophage colony stimulating factor (M-CSF) (eBioscience, San Diego, USA) per ml [6]. Introduction 2 Department of Veterinary Medicine, University of Sassari, Via Vienna 2, 07100 Sassari, Italy (01234 1 3 (0121 3456789) 3 3456789) 3 740 S. D. Giudici et al. deletion of 12-13 tetramers [9] with respect to those iso- lated before 1990 (subgroup III). Likewise, [23] reported an identical temporal subdivision of Sardinian viruses into two subgroups differing from the deletion of a six- amino-acid repeat at the C-terminus of the CD2v protein encoded by the EP402R gene, which is characteristic of the strains isolated after 1990. Ultimately, almost all of the Sardinian ASF viruses isolated after 1990 (modern strains) showed deletions in both the B602L and EP402R genes if compared to viruses isolated before 1990 (histori- cal strains). The modern strains may have acquired some selective advantage, as suggested by their rapid and almost complete displacement of the historical strains. Materials and methods Animals Culture medium from monocytes and moMΦ cultures were removed and replaced with fresh un-supplemented medium containing ASFV strain 22653/14 or Nu81.2 at a multiplicity of infection (MOI) of 1. To evaluate ASFV growth kinetics, these cells were instead infected at an MOI of 0.01 with the modern strain 22653/14 or the historical strain Nu81.2 ASFV. Mock-infected controls were included in each experiment. After 90 minutes of incubation at 37 °C and 5% ­CO2, the virus inoculum was removed, the cells were washed with unsupplemented RPMI-1640 medium, and fresh monocyte medium was added to the wells. Cells were incubated at 37 °C and harvested at 18 hours postinfec- tion (pi). To evaluate growth kinetics, culture supernatants were instead collected at 0, 24, 48, and 72 hours pi. Viral infection was assessed by evaluation of intracytoplasmic p72 expression by flow cytometry, and culture supernatants were collected to determine viral levels or cytokine release in response to ASFV infection as described previously [7]. Viruses Two virulent haemadsorbing Sardinian field strains were used in this study: the modern strain 22653/14, characterized by a deletion of one of the PPPKPC repeats in the EP402R gene and 13-amino-acid tetramer repeats in the B602L gene, and the historical strain Nu81.2, without deletions in either gene (Exotic Disease Laboratory ASF Virus Archive, IZS). Strains 22653/14 and Nu81.2 were isolated from naturally infected pigs collected during ASF outbreaks in 2014 and 1981, respectively. Sardinian isolates were propagated in vitro by inoculation of sub-confluent monolayers of porcine monocytes/macrophages as described previously [15]. Viral titers were obtained by serial dilution of the virus suspension on monocytes/macrophages, followed by hemadsorption [15]. Mock-virus supernatants were prepared in an identi- cal manner from monocyte/macrophage cultures. We performed an in vitro study to better characterise the phenotype of two representative viruses that have cir- culated in Sardinia since the detection of ASFV on the island: the modern strain 22653/14 and the historical strain Nu81.2. Differences in their ability to infect monocytes and monocyte-derived macrophages (moMΦ) of domes- tic and wild pigs were assessed. Furthermore, the present study aimed to provide a better understanding of the in vitro responses of wild-boar myeloid cells against ASFV. For this purpose, we analysed the susceptibility to infec- tion, growth kinetics, and cytokine responses of both pig and wild-boar monocytes and macrophages against histori- cal and modern Sardinian isolates that differ due to dele- tions in the EP402R and B602L genes. Despite the need to better understand the epidemiological role of wild boars in the dissemination and persistence of ASFV in Sardinia, to our knowledge, no previous studies have ever compared monocyte/macrophage responses to ASFV between pigs and wild boars. Analysis of the cytokine levels in culture supernatants of monocytes and moMΦs Measurement of IL-1α, IL-1β, GM-CSF, IL-6, IL-10, IL-12, IL-18 and TNF-α was performed using a Porcine Cytokine/ Chemokine Magnetic Bead Panel Quantikine assay (Merck Millipore, Darmstadt, Germania) and a Bioplex MAGPIX Multiplex Reader (Bio-Rad), according to the manufactur- ers’ instructions. Nu/81.2 22653/14 Nu/81.2 22653/14 Nu/81.2 22653/14 Nu/81.2 22653/14 0 20 40 60 80 100 ASFV p72 (lateprotein) % p72+cells ** ** Nu/81.2 22653/14 Nu/81.2 22653/14 Nu/81.2 22653/14 Nu/81.2 22653/14 0 1×105 2×105 3×105 4×105 5×105 ASFV titres TCID50/ml wild boar monocyte pig monocyte pig moMΦ wild boar moMΦ * 1 Nu/81.2 22653/14 Nu/81.2 22653/14 Nu/81.2 22653/14 Nu/81.2 22653/14 0 20 40 60 80 100 ASFV p72 (lateprotein) % p72+cells ** ** Nu/81.2 22653/14 Nu/81.2 22653/14 Nu/81.2 22653/14 Nu/81.2 22653/14 0 1×105 2×105 3×105 4×105 5×105 ASFV titres TCID50/ml wild boar monocyte pig monocyte pig moMΦ wild boar moMΦ * Fig. 1   Susceptibility of pig and wild-boar monocytes and monocyte- derived macrophages to infection. Pig and wild-boar blood-derived monocytes were infected immediately or differentiated into mac- rophages (moMΦs). Monocytes and moMΦs were infected with the virulent historical strain NU81.2 or the modern strain 22653/14 at an MOI of 1, alongside mock-infected controls. At 18 hours pi, the per- centage of ­p72+ cells was determined using flow cytometry, and the level of virus in culture supernatants was determined by titration. The mean data +/- SD from three independent experiments utilizing three different pigs and three different wild boars are shown. For each cell type, the values for NU81.2 and 22653/14 were compared using the Mann-Whitney test. ***, p < 0.001; **, p < 0.01; *, p < 0.05 Nu/81.2 22653/14 Nu/81.2 22653/14 Nu/81.2 22653/14 Nu/81.2 22653/14 0 20 40 60 80 100 ASFV p72 (lateprotein) % p72+cells ** ** Nu/81.2 22653/14 Nu/81.2 22653/14 Nu/81.2 22653/14 Nu/81.2 22653/14 0 1×105 2×105 3×105 4×105 5×105 ASFV titres TCID50/ml wild boar monocyte pig monocyte pig moMΦ wild boar moMΦ *l ASFV p72 (lateprotein) ASFV p72 (lateprotein) ASFV titres TCID50/ml Fig. 1   Susceptibility of pig and wild-boar monocytes and monocyte- derived macrophages to infection. Pig and wild-boar blood-derived monocytes were infected immediately or differentiated into mac- rophages (moMΦs). Monocytes and moMΦs were infected with the virulent historical strain NU81.2 or the modern strain 22653/14 at an MOI of 1, alongside mock-infected controls. Susceptibility of pig and wild‑boar monocytes and moMΦs to ASFV infection with Sardinian isolates Susceptibility of monocytes and moMΦs to ASFV infec- tion was assessed by quantification of intracytoplasmic p72 expression and viral titers in cell culture supernatants. In accordance with previous studies, porcine macrophages were more susceptible to ASFV infection than monocytes [2, 17, 21], and the same results were observed in wild-boar cells (Fig. 1). The use of hM-CSF has been used previously to dif- ferentiate porcine monocytes into macrophages [6, 24] and our results confirm that this protocol is also suitable in wild boars. Our analysis also showed higher levels of ­p72+ cells Animals Healthy ASFV-naïve crossbred Large White × Landrace pigs and wild boars, 6-24 months of age, were housed at the experimental facilities of IZS della Sardegna (Sassari, Italy) or University of Sassari, Faculty of Veterinary Medi- cine (Sassari, Italy). Animal husbandry and handling pro- cedures were performed in accordance with the local eth- ics committee and in agreement with the guide for use of laboratory animals of the Italian Ministry of Health. The ASFV-negative status of the animals was confirmed by three different laboratory tests: PCR, a commercial ELISA test (Ingenasa, Madrid, Spain), and an immunoblotting test, as suggested by the Manual of Diagnostic Tests and Vaccines for Terrestrial Animals [19]. 1 3 3 741 In vitro immune response to Sardinian ASFV strains Culture supernatants were stored at -80 °C after collection until analyzed. Data analysis and statistics All experiments were performed in triplicate (flow cytom- etry and ELISA) or duplicate (virus titration) and repeated at least three times with different blood donor pigs or wild boars. Graphical and statistical analysis was performed using GraphPad Prism 8.0 (GraphPad Software Inc, La Jolla, USA) and Minitab (Minitab Inc., Coventry, UK). All data were checked for normality using the Anderson Darling test. Data are presented as mean values with standard deviations (SD) quoted to indicate the uncertainty around the estimate of the group mean. A non-parametric Mann-Whitney test or a Kruskal-Wallis test were used; a p-value < 0.05 was con- sidered statistically significant. Cytofluorimetric analysis Cytofluorimetric analysis was performed as described previ- ously [6]. In brief, cells were harvested from cultures and transferred to wells of a 96-well round-bottom plate. Viabil- ity was assessed by staining the cells using a LIVE/DEAD® Fixable Far Red Dead Cell Stain Kit (Thermo Fisher Sci- entific) for 30 minutes at 4 °C, and the cells were then washed twice with PBS supplemented with 2% FBS. Cells were fixed and permeabilised using Leucoperm (Bio-Rad, Hercules, USA) according to manufacturer’s instructions. Intracellular levels of the late viral protein p72 were deter- mined using an anti-p72-FITC antibody (18BG3, Ingenasa). Flow cytometry analysis was performed on an FACSCalibur instrument (BD Biosciences), and at least 5000 live mono- cytes/moMΦs were acquired. Gates for p72 protein were set using the mock-infected controls [6]. Cytokine responses of ASFV‑infected pig and wild‑boar monocytes and moMΦs Finally, the cytokine responses of monocytes and monocyte- derived macrophages to both strains were assessed. The lev- els of eight different cytokines were tested, and we found that monocytes released higher levels of cytokines after ASFV infection than did macrophages, in accordance with our previous study [6]. Kinetic analysis of ASFV replication in pig and wild‑boar monocyte and moMΦs Next, a kinetic analysis of the infection of pig and wild-boar monocytes and moMΦs with these two Sardinian ASFV iso- lates was performed (Fig. 2). An MOI of 0.01 was used, and replication was measured by determining viral titers in cell culture supernatants overtime. This analysis showed that both viruses replicated efficiently in either monocytes or moMΦs, with no statistically significant differences between the historical strain Nu81.2 and the modern strain 22653/14 (Fig. 2). Only minor differences were observed between pig and wild-boar moMΦs : slightly higher viral levels in culture supernatants of ASFV-infected wild-boar moMΦs compared to pig moMΦs infected with the modern 22653/14 but not the historical Nu81.2 were detected at 24 and 48 hours pi (Fig. 2). Our results might suggest that 22653/14 has less Infection of pig monocytes with either modern or his- torical strains resulted in higher levels of IL-18, IL-1α, and IL-1β compared to the mock-infected control, although the increase in IL-1β was not statistically significant. Increased release of IL-1β in response to ASFV infection has been observed previously in other studies [6, 25], and here, we observed that there are no differences between historical and modern ASFV isolates. In addition, no differences between modern 22653/14 and historical NU81.2 were detected with respect to the levels of IL-18, IL-1α induced or in those of any of the other cytokines tested (Figure 3). Pig mono- cytes showed an increased production of IL-1α, IL-1β, IL-6, IL-12, IL-18 and IL-10 compared to pig macrophages and wild-boar cells following infection with both Sardinian 1 0 24 48 72 100 101 102 103 104 105 106 107 monocytes hours post-infection TCID50/ml 0 24 48 72 100 101 102 103 104 105 106 107 moMφ hours post-infection pig Nu81.2 pig 22653/14 wild boar Nu81.2 wild boar 22653/14 * ** TCID50/ml Fig. 2   Growth kinetics of Sardinian ASFV strains in pig and wild- boar monocytes and monocyte-derived macrophages. Pig and wild- boar blood-derived monocytes were infected immediately or differ- entiated into macrophages (moMΦs). Monocytes and moMΦs were then infected with the virulent historical strain Nu81.2 or the mod- ern strain 22653/14 at an MOI of 0.01. At 0, 24, 48, and 72 hours pi, duplicate samples were collected, and virus levels in culture super- natants were determined by titration. The mean data +/- SD from three independent experiments utilizing three different pigs and three different wild boars are shown. Analysis of the cytokine levels in culture supernatants of monocytes and moMΦs At 18 hours pi, the per- centage of ­p72+ cells was determined using flow cytometry, and the level of virus in culture supernatants was determined by titration. The mean data +/- SD from three independent experiments utilizing three different pigs and three different wild boars are shown. For each cell type, the values for NU81.2 and 22653/14 were compared using the Mann-Whitney test. ***, p < 0.001; **, p < 0.01; *, p < 0.05 1 1 3 742 S. D. Giudici et al. after infection with the modern strain 22653/14 than after infection with the historical strain Nu81.2 (Fig. 1). Infection with these isolates resulted instead in similar viral levels in culture supernatant; only slightly higher viral levels of 22653/14 compared to Nu81.2 were detected in pig moMΦ supernatants. Furthermore, no differences were observed between domestic pigs and wild boars; both monocytes and macrophages were found to have comparable levels of ­p72+ cells and viral titers, showing similar susceptibility to infec- tion with either modern or historical isolates (Fig. 1). ability to replicate in pig moMΦs, but those differences were not observed at later time points (72 hours pi), and experi- ments should be carried out on a larger number of animals to confirm this finding. Kinetic analysis of ASFV replication in pig and wild‑boar monocyte and moMΦs For each cell type, at each time pi, the values for Nu81.2 and 22653/14 were compared using the Mann- Whitney test. ***, p < 0.001; **, p < 0.01; *, p < 0.05 0 24 48 72 100 101 102 103 104 105 106 107 moMφ hours post-infection * ** TCID50/ml 0 24 48 72 100 101 102 103 104 105 106 107 monocytes hours post-infection TCID50/ml monocytes moMφ Fig. 2   Growth kinetics of Sardinian ASFV strains in pig and wild- boar monocytes and monocyte-derived macrophages. Pig and wild- boar blood-derived monocytes were infected immediately or differ- entiated into macrophages (moMΦs). Monocytes and moMΦs were then infected with the virulent historical strain Nu81.2 or the mod- ern strain 22653/14 at an MOI of 0.01. At 0, 24, 48, and 72 hours pi, duplicate samples were collected, and virus levels in culture super- natants were determined by titration. The mean data +/- SD from three independent experiments utilizing three different pigs and three different wild boars are shown. For each cell type, at each time pi, the values for Nu81.2 and 22653/14 were compared using the Mann- Whitney test. ***, p < 0.001; **, p < 0.01; *, p < 0.05 1 3 In vitro immune response to Sardinian ASFV strains 743 monocytes pig monocytes wild boar momΦ pig momΦ wild boar 0.0 0.1 0.2 0.3 *** ** monocytes pig monocytes wild boar momΦ pig momΦ wild boar 0.0 0.1 0.2 0.3 * monocytes pig monocytes wild boar momΦ pig momΦ wild boar 0 5 10 15 20 25 monocytes pig monocytes wild boar momΦ pig momΦ wild boar 0.0 0.1 0.2 0.3 monocytes pig monocytes wild boar momΦ pig momΦ wild boar 0.0 0.2 0.4 0.6 0.8 mock NU81/2 22653/14 monocytes pig monocytes wild boar momΦ pig momΦ wild boar 0.0 0.1 0.2 0.3 ng/ml monocytes pig monocytes wild boar momΦ pig momΦ wild boar 0.0 0.1 0.2 0.3 ** *** * * IL-1α IL-1β GM-CSF IL-6 IL-10 IL-12 IL-18 ng/ml ng/ml ng/ml ng/ml ng/ml ng/ml Fig. 3   Investigation of cytokines release by monocytes and moMΦs in response to ASFV infection. Pig and wild-boar blood-derived monocytes were infected immediately or differentiated into mac- rophages (moMΦs). Monocytes and moMΦs were infected with the virulent historical strain NU81.2 or the modern strain 22653/14 at an MOI of 1, alongside mock-infected controls. Kinetic analysis of ASFV replication in pig and wild‑boar monocyte and moMΦs At 18 hours pi, culture supernatants were collected, and the concentrations (mg/ml) of GM- CSF, IL-1α, IL-1β, IL-6, IL-10, IL-12, and IL-18 were determined. The mean data +/- SD from three independent experiments utiliz- ing three different pigs and three different wild boars are shown. For each cytokine, the values obtained using ASFV-infected monocytes or moMΦs were compared to those from the mock-infected control, using a one-way ANOVA followed by the Kruskal-Wallis test. ***, p < 0.001; **, p < 0.01; *, p < 0.05 monocytes pig monocytes wild boar momΦ pig momΦ wild boar 0.0 0.1 0.2 0.3 *** ** monocytes pig monocytes wild boar momΦ pig momΦ wild boar 0.0 0.1 0.2 0.3 * monocytes pig monocytes wild boar momΦ pig momΦ wild boar 0 5 10 15 20 25 monocytes pig monocytes wild boar momΦ pig momΦ wild boar 0.0 0.1 0.2 0.3 ng/ml IL-1α IL-1β GM-CSF IL-6 ng/ml ng/ml ng/ml monocytes pig monocytes wild boar momΦ pig momΦ wild boar 0 5 10 15 20 25 IL-1β ng/ml IL-1β IL-1α monocytes pig monocytes wild boar momΦ pig momΦ wild boar 0.0 0.1 0.2 0.3 *** ** monocytes pig monocytes wild boar momΦ pig momΦ wild boar 0.0 0.1 0.2 0.3 ng/ml GM-CSF IL-6 ng/ml IL-6 omΦ wild boar monocytes pig monocytes wild boar momΦ pig momΦ wild boar 0.0 0.2 0.4 0.6 0.8 mock NU81/2 22653/14 monocytes pig monocytes wild boar momΦ pig momΦ wild boar 0.0 0.1 0.2 0.3 ** *** * * IL-12 IL-18 ng/ml ng/ml mock NU81/2 22653/14 Fig. 3   Investigation of cytokines release by monocytes and moMΦs in response to ASFV infection. Pig and wild-boar blood-derived monocytes were infected immediately or differentiated into mac- rophages (moMΦs). Monocytes and moMΦs were infected with the virulent historical strain NU81.2 or the modern strain 22653/14 at an MOI of 1, alongside mock-infected controls. At 18 hours pi, culture supernatants were collected, and the concentrations (mg/ml) of GM- CSF, IL-1α, IL-1β, IL-6, IL-10, IL-12, and IL-18 were determined. The mean data +/- SD from three independent experiments utiliz- ing three different pigs and three different wild boars are shown. For each cytokine, the values obtained using ASFV-infected monocytes or moMΦs were compared to those from the mock-infected control, using a one-way ANOVA followed by the Kruskal-Wallis test. Kinetic analysis of ASFV replication in pig and wild‑boar monocyte and moMΦs ***, p < 0.001; **, p < 0.01; *, p < 0.05 possess mechanisms to counteract monocyte/macrophage responses, promoting their survival and dissemination in the host. ASFV strains. The highest amount of cytokine production was observed for IL1β (Figure 4), whereas IL-10 secretion appeared to be at the lowest level (0.04 ng/ml). Almost unde- tectable levels of TNF-α were detected (data not shown). In order to determine whether the higher cytokine levels found in domestic pigs compared to wild boars could be attributed to a different affinity of porcine and wild-boar cytokines for the antibodies used in the assay, we screened our samples using a specific ELISA kit (Wild boar IL1β ELISA kit, Antibodies-online.com), confirming the results obtained before (data not shown). ASFV strains. The highest amount of cytokine production was observed for IL1β (Figure 4), whereas IL-10 secretion appeared to be at the lowest level (0.04 ng/ml). Almost unde- tectable levels of TNF-α were detected (data not shown). In order to determine whether the higher cytokine levels found in domestic pigs compared to wild boars could be attributed to a different affinity of porcine and wild-boar cytokines for the antibodies used in the assay, we screened our samples using a specific ELISA kit (Wild boar IL1β ELISA kit, Antibodies-online.com), confirming the results obtained before (data not shown). Conclusion For each cytokine, for both monocytes and moM values from pigs and wild boars were compared using the Ma Whitney test. ***, p < 0.001; **, p < 0.01; *, p < 0.05 monocyte NU/81.2 monocyte 22653/14 momΦ NU/81.2 momΦ 22653/14 0 5 10 *** ** *** * IL-1β ng/ml monocyte NU/81.2 monocyte 22653/14 momΦ NU/81.2 momΦ 22653/14 0.0 0.1 0.2 0.3 *** * IL-10 ng/ml monocyte NU/81.2 monocyte 22653/14 momΦ NU/81.2 momΦ 22653/14 0.0 0.1 0.2 0.3 *** *** IL-6 ng/ml monocyte NU/81.2 monocyte 22653/14 momΦ NU/81.2 momΦ 22653/14 0.0 0.1 0.2 0.3 *** monocyte NU/81.2 monocyte 22653/14 momΦ NU/81.2 momΦ 22653/14 0.0 0.1 0.2 0.3 ng/ml *** * IL-12 IL-18 ng/ml pig wild boar monocyte NU/81.2 monocyte 22653/14 momΦ NU/81.2 momΦ 22653/14 0.0 0.1 0.2 0.3 *** IL-12 ng/ml pig wild boar were mock-corrected, and the mean data +/- SD from three independ- ent experiments utilizing three different pigs and three different wild boars are shown. For each cytokine, for both monocytes and moMΦs, values from pigs and wild boars were compared using the Mann- Whitney test. ***, p < 0.001; **, p < 0.01; *, p < 0.05 Fig. 4   Release of cytokines by porcine and wild-boar monocytes and moMΦs in response to ASFV infection. Monocytes and moMΦs were infected with the virulent historical strain NU81.2 and the mod- ern strain 22653/14 at an MOI of 1, alongside mock-infected controls. At 18 hours pi, the levels of GM-CSF, IL-1α, IL-1β, IL-6, IL-10, IL-12, and IL-18 in the culture supernatants were determined. Values Open Access  This article is distributed under the terms of the Crea- tive Commons Attribution 4.0 International License (http://creat​iveco​ mmons​.org/licen​ses/by/4.0/), which permits unrestricted use, distribu- tion, 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. our in vitro study provides only a partial view of the com- plex cell interactions that occur during natural infection, and further studies are needed, in particular, in vivo infection studies, in order to better understand the immune response mechanisms in domestic and wild pigs to ASFV infection. Acknowledgements  The authors would like to thank Tania Carta, Susanna Zinellu, Giovanni Maria Pala, Anna Pina Murtino, and Sale Martina, IZS della Sardegna (Italy), for technical assistance during the study. Conclusion In conclusion, this study demonstrates that in vitro tech- niques used to differentiate pig monocytes into macrophages are also reliable when using a wild-boar model, allowing the use of this protocol in these animals as well. Modern Sardinian ASFV strains appeared to be more able to infect cells than the historical strain, although no differences were detected in the growth kinetics of strains 22653/14 and Nu81.2 in either monocytes or moMΦs, and no differ- ences in the release of cytokines by monocyte or moMΦs in response to these isolates were detected. Using our in vitro model, we found evidence that wild boars and domestic pigs are equally susceptible to infection, even though the latter produce a stronger cytokine response. We are aware that Several studies on the immune response to ASFV infec- tion have been published, in particular, analysing the cytokine profiles of in vitro-cultured porcine monocytes/ macrophages [6, 10–12, 25]. Comparative studies of viru- lent and attenuated ASFV strains have demonstrated a higher level of expression and production of relevant regulatory cytokines after infection with attenuated viruses [6, 10]. Having observed no differences between modern and his- torical Sardinian isolates, we suggest that they might both 1 3 1 3 S. D. Giudici et al. 744 monocyte NU/81.2 monocyte 22653/14 momΦ NU/81.2 momΦ 22653/14 0.0 0.1 0.2 0.3 *** ** monocyte NU/81.2 monocyte 22653/14 momΦ NU/81.2 momΦ 22653/14 0 5 10 *** ** *** * monocyte NU/81.2 monocyte 22653/14 momΦ NU/81.2 momΦ 22653/14 0.0 0.1 0.2 0.3 *** *** monocyte NU/81.2 monocyte 22653/14 momΦ NU/81.2 momΦ 22653/14 0.0 0.1 0.2 0.3 *** monocyte NU/81.2 monocyte 22653/14 momΦ NU/81.2 momΦ 22653/14 0.0 0.1 0.2 0.3 ng/ml *** * monocyte NU/81.2 monocyte 22653/14 momΦ NU/81.2 momΦ 22653/14 0.0 0.1 0.2 0.3 *** * IL-1α IL-1β IL-6 IL-10 IL-12 IL-18 ng/ml ng/ml ng/ml ng/ml ng/ml pig wild boar Fig. 4   Release of cytokines by porcine and wild-boar monocytes and moMΦs in response to ASFV infection. Monocytes and moMΦs were infected with the virulent historical strain NU81.2 and the mod- ern strain 22653/14 at an MOI of 1, alongside mock-infected controls. At 18 hours pi, the levels of GM-CSF, IL-1α, IL-1β, IL-6, IL-10, IL-12, and IL-18 in the culture supernatants were determined. Values were mock-corrected, and the mean data +/- SD from three indepe ent experiments utilizing three different pigs and three different w boars are shown. References 1. Arias M, de la Torre A, Dixon L, Gallardo C, Jori F, Laddomada A, Martins C, Parkhouse RM, Revilla Y, Rodriguez FM, Sanchez- Vizcaino JM (2017) Approaches and perspectives for development of African swine fever virus vaccines. Vaccines 5:35 2. Basta S, Knoetig SM, Spagnuolo-Weaver M, Allan G, McCullough KC (1999) Modulation of monocytic cell activity and virus susceptibility during differentiation into macrophages. J Immunol 162:3961–3969 Conclusion This work was supported by a research grant from IZS della Sardegna (RC IZSSA ‘In vitro study of the immune response against African Swine Fever virus in domestic pigs and wild boar’), funded by the Ministry of Health, Department of Veterinary Public Health, Nutrition and Food Safety, Italy. 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Sánchez-Torres C, Gómez-Puertas P, Gómez-del-Moral M, Alonso F, Escribano JM, Ezquerra A, Domínguez J (2003) Expression of porcine CD163 on monocytes/macrophages cor- relates with permissiveness to African swine fever infection. Arch Virol 148:2307–2323 22. Sanchez-Vizcaino JM (2006) African swine fever. Diseases of swine, chapter 13, 9th edn. Blackwell Publishing, Hoboken, pp 291–298 10. Gil S, Sepúlveda N, Albina E, Leitão A, Martins CL (2008) The low-virulent African swine fever virus (ASFV/NH/P68) induces enhanced expression and production of relevant regulatory cytokines (IFNalpha. TNFalpha and IL12p40) on porcine mac- rophages in comparison to the highly virulent ASFV/L60. Arch Virol 153:1845–1854 23. Sanna G, Dei Giudici S, Bacciu D, Angioi PP, Giammarioli M, De Mia GM, Oggiano A (2017) Improved strategy for molecu- lar characterization of African swine fever virus from Sardinia, based on analysis of p30, CD2V and I73R/I329L variable regions. Transbound Emerg Dis. https​://doi.org/10.1111/tbed.12504​ 11. Gil S, Spagnuolo-Weaver M, Canals A, Sepúlveda N, Oliveira J, Aleixo A, Allan G, Leitão A, Martins CL (2003) Expres- sion at mRNA level of cytokines and A238L gene in porcine blood-derived macrophages infected in vitro with African swine fever virus (ASFV) isolates of different virulence. Arch Virol 148:2077–2097 24. Singleton H, Graham SP, Bodman-Smith KB, Frossard J, Stein- bach F (2016) Establishing porcine monocyte-derived mac- rophage and dendritic cell systems for studying the interaction with PRRSV-1. Front Microbiol 7:832 25. Zhang F, Hopwood P, Abrams CC, Downing A, Murray F, Talbot R, Archibald A, Lowden S, Dixon LK (2006) Macrophage tran- scriptional responses following in vitro infection with a highly virulent african swine fever virus isolate. J Virol 80:10514–10521 12. Compliance with ethical standards Conflict of interest  The authors declare that they have no conflict of interest. 3. 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Prev Vet Med 32:235–241f 5. Firinu A, Ruiu A, Cossu P, Patta C (1988) Indagine socio eco- nomica sulla peste suina africana in provinciadi Nuoro. Quad- erni dell’Istituto Zooprofilattico Sperimentale della Sardegna 5:179–199 17. McCullough KC, Basta S, Knötig S, Gerber H, Schaffner R, Kim YB, Saalmüller A, Summerfield A (1999) Intermediate stages in monocyte-macrophage differentiation modulate phenotype and susceptibility to virus infection. Immunology 98:203–212 6. Franzoni G, Graham SP, Dei Giudici S, Bonelli P, Pilo G, Anfossi AG, Pittau M, Nicolussi PS, Laddomada A, Oggiano A (2017) Characterization of the interaction of African swine fever virus with monocytes and derived subsets. Vet Microbiol 198:88–98 18. Mur L, Atzeni M, Martinez-Lopez B, Feliziani F, Rolesu S, Sanchez-Vizcaino JM (2016) Thirty-five-year presence of Afri- can swine fever in Sardinia: history, evolution and risk factors for disease maintenance. Transbound Emerg Dis 63:165–177 7. Franzoni G, Graham SP, Sanna G, Angioi P, Fiori MS, Anfossi AG, Amadori M, Dei Giudici S, Oggiano A (2018) Interaction of porcine monocyte-derived dendritic cells with African swine fever viruses of diverse virulence. Vet Microbiol 216:190–197 19. OIE (2012) African Swine Fever. In Manual of Diagnostic Tests and Vaccines for Terrestrial Animals. 1067–1081. http://www.oie. int/filea​dmin/Home/eng/Healt​h_stand​ards/tahm/2.08.01_ASF.pdf 8. Compliance with ethical standards Gómez del Moral M, Ortuno E, Fernández-Zapatero P, Alonso F, Alonso C, Ezquerra A, Domínguez J (1999) African swine fever virus infection induces tumor necrosis factor alpha production: implications in pathogenesis. J Virol 73:2173–2180 13. Jurado C, Fernandez-Carrion E, Mur L, Rolesu S, Laddomada A, Sanchez Vizcaino JM (2018) Why is African swine fever still present in Sardinia? Transbound Emerg Dis 65:557–566 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. 14. Laddomada A, Patta C, Oggiano A, Caccia A, Ruiu A, Cossu P, Firinu A (1994) Epidemiology of classical swine fever in Sardinia: a serological survey of wild boar and comparison with African swine fever. Vet Rec 19:183–187 1 3 1 3 1 3 3
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Could Vocational Education Benefit From Augmented Reality and Hypervideo Technologies? An Exploratory Interview Study
International journal for research in vocational education and training
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1Educational Technologies in VET, Swiss Federal University for Vocational Education and Training, Via Besso 84/86, 6900 Lugano Massagno, Switzerland 2University of Fribourg, Boulevard de Pérolles 90, 1700 Fribourg, Switzerland 2University of Fribourg, Boulevard de Pérolles 90, 1700 Fribourg, Switzerland Received: 02 November 2022, Accepted: 24 April 2023 Received: 02 November 2022, Accepted: 24 April 2023 International Journal for Research in Vocational Education and Training (IJRVET) 2023, Vol. 10, Issue 2, 138–167 https://doi.org/10.13152/IJRVET.10.2.1 International Journal for Research in Vocational Education and Training (IJRVET) 2023, Vol. 10, Issue 2, 138–167 https://doi.org/10.13152/IJRVET.10.2.1 *Corresponding author: vito.candido@suffp.swiss Could Vocational Education Benefit From Augmented Reality and Hypervideo Technologies? An Exploratory Interview Study Vito Candido*1, Patric Raemy2, Francesca Amenduni1, Alberto Cattaneo1 1Educational Technologies in VET, Swiss Federal University for Vocational Education and Training, Via Besso 84/86, 6900 Lugano Massagno, Switzerland 1Educational Technologies in VET, Swiss Federal University for Vocational Education and Training, Via Besso 84/86, 6900 Lugano Massagno, Switzerland Abstract Context: This study investigates the perspective of vocational educators on the possibility of adopting augmented reality (AR) and hypervideo (HV) technologies to support their teaching practice. Vocational education and training (VET) is particularly concerned with the learning of resources (knowledge, skills and attitudes) that are immediately transposable into conduct and procedures in the workplace. AR and HV can provide means to answer this requirement, but both technological solutions are still not so diffused in VET. The pur­ pose of this study is to inquire into the perception of educators on the main advantages and ­disadvantages of using AR and HV to support teaching-and-learning. Methods: A semi-structured interview protocol has been proposed to 73 teachers, inter­ company trainers and in-company trainers in 10 professions (at least two per category within each profession). The interview was organized in two main steps: A need analysis, in which the most important and difficult operative skills are identified for the interviewee's ­profession; and a discussion of advantages and disadvantages of AR and HV. Content analy­ sis was applied to the interview transcriptions. Results: The results show that the main advantages reported in the literature for the two technologies – such as the ability to switch between 2D and 3D and carry out simulations – ISSN: 2197-8646 https://www.ijrvet.net 139 ndido, Raemy, Amenduni, Cattaneo Candido, Raemy, Amenduni, Cattaneo 139 are also found in the VET context by educators. For HV the main technical advantages (such as the use of active points, and non-linear navigation of video content) were autonomously recognised, while the potential of the instrument to support reflection has not been clearly identified. Conclusions: AR and HV are considered as tools able to support apprentices' procedural learning especially with regard to the operational skills which were judged by the educators to be most relevant for VET. Keywords: Augmented Reality, Hypervideo, Dual VET, Semi-Structured Interview, Quali­ tative Analysis, VET, Vocational Education and Training 1 Introduction Augmented reality (AR) is increasingly attracting the interest of educational researchers (Garzón et al., 2019; Sirakaya & Sirakaya, 2018, 2020), and one reason for this is because of its growing accessibility through mobile devices like smartphones and tablets (Akçayır & Akçayır, 2017). The distinctive characteristic of AR is that it allows users to see the real world as enriched by superimposed, additional layers of digital information (Azuma, 1997). Within AR technolo­ gies, additional distinctions can be done based on two main factors: Use mode and input mode. As per the use mode, depending if the AR solution requires the user to hold a device – very often a smartphone or a tablet – or not, you can speak respectively about handheld and handfree use. In the latter case, having your hands free also comes with the possibility of seeing through a wearable device such as a Head Mounted Display. For this reason, handfree is often referred to as see-through use mode. t As per the input mode, the presence or absence of markers makes the difference. A mar­ ker, usually a QR code, is a trigger allowing the device to recognize the element of reality to which the "augmentation" is associated and to make the augmented elements visible. Beside these usual marker-based solutions, marker-less solutions exist as well. In this case, the de­ vice can directly recognize the shape of the object (or use non-visible data provided by GPS, eyetracking, handtracking) to activate the augmented elements. Marker-less solutions are currently still not widely used, for both economic and technical reasons. From the combi­ nation of use and input modes we can then identify four main categories: (1) Marker-based handheld; (2) marker-based handfree/see-through; (3) markerless handheld; and (4) mar­ kerless handfree/see-through. The opportunity to receive precise instructions on the execution of a procedure and, conse­ quently, to reduce both the number of errors and execution time has been one of the main fea­ tures attracting the attention of both researchers and industry, for example, in manufacturing (Forest, 2021; Wang et al., 2016). Time and cost savings, a reduction of error rates and (possibly) 140 Exploring Augmented Reality and Hypervideo in VET a decrease in cognitive load have also been the major benefits identified when it comes to using AR in general (Jetter et al., 2018; Radosavljevic et al., 2020; Sirakaya & Kilic Cakmak, 2018). 1 Introduction Hypervideo (HV, also known as interactive video) is a nonlinear video presenting (1) com­ plex functions to control the navigation of the video stream, (2) hyperlinks giving access to additional information and materials through specific markers or hotspots and (3) annotation features allowing users to integrate their notes in the video and share and discuss them with others (Sauli et al., 2018). Both hyperlinks and annotations are considered additional layers of information that are placed over the video. For this reason, HV can be considered a technolo­ gically easier and less-expensive variant compared with AR, being able to integrate in an inter­ active way to overcome the risk of passivity that video sometimes entails. Moreover, where HV allows interactivity with content in a video, AR offers the same affordance directly in the real world. In other words, AR represents the synchronous and immersive version of HV. Reduced costs and increased efficiency of AR have attracted the industrial sector. Nu­ merous companies have introduced AR in their production processes (Li et al., 2018). How­ ever, few studies have tried to verify its effectiveness in initial VET. The use of HV to support VET has received more attention from the literature in the educational field (e.g., Cattaneo et al., 2016, 2018, 2019), but also in this case no study aimed at capturing the perspective of VET educators. For this reason, the current exploratory study presents the results from 73 semi-structured interviews conducted with teachers, branch course instructors and in- company trainers in the Swiss VET sector, with the aim of collecting the VET educators' per­ ceptions of the advantages and disadvantages of each of the two technologies when applied to sustain learning in initial VET curricula. In doing so, we have attempted to answer the following two research questions: 1. What are the main advantages and disadvantages of using AR and HV as expected by VET educators? 1. What are the main advantages and disadvantages of using AR and HV as expected by VET educators? 2. What is the relationship between the perceived advantages and disadvantages of AR and HV and the operative skills to be acquired in VET curricula? 2. What is the relationship between the perceived advantages and disadvantages of AR and HV and the operative skills to be acquired in VET curricula? 2.1 Augmented Reality (AR) in Education The literature has extensively investigated the effects of introducing AR in educational con­ texts. Conventionally, these can be divided into advantages and disadvantages, though the at­ tribution to one of the two categories cannot always be done so neatly. Therefore, we present the advantages and disadvantages of AR as they have emerged from the literature. 2 Theoretical Framework Below, we present the main advantages and disadvantages of AR and HV as they emerge from the literature. The different states of advancement of the related research has made the presentation of the advantages different for the two cases: In discussing AR, we report as advantages the effects that the introduction of AR has had on the users. In the case of HV, we refer to its affordances. Indeed, AR is a technology that presents numerous modalities of use (e.g., marker-based handheld and see-through, markerless handheld and see-through), several of which still require further research to clearly identify its affordances. Candido, Raemy, Amenduni, Cattaneo 141 2.1.1 AR Main Advantages AR's main advantages have been widely underlined in the literature. Reviews in the edu­ cational field have reported advantages in terms of psychological variables—for example, motivation, engagement and cognitive load—and in terms of learning outcomes—for ex­ ample, improved academic performances, spatial abilities development and better under­ standing of learning materials (Akçayır & Akçayır, 2017; Bacca et al., 2014; Chen et al., 2017; Radu, 2014; Sirakaya & Sirakaya, 2020). Increased motivation and engagement have been widely reported in the literature, though some methodological limitations have reduced the reliability of these results. In­ deed, there are still only a few longitudinal studies and research designs that have utilised control groups; moreover, the use of AR—especially in its immersive mode, which is less widespread among the general public—is often subject to the "novelty effect". This phe­ nomenon refers to an increase in motivation or in the perceived usability of a technology because of its novelty (Koch et al., 2018) and has been highlighted by several authors (Hus­ sein & Nätterdal, 2015; Jensen & Konradsen, 2018; Parmar, 2017); however, there are still few studies taking the novelty effect into explicit account in their research design (Huang et al., 2020). The issue of cognitive load is also discussed in the literature. In most cases, the use of AR has been reported as benefitting the management and control of cognitive load (Avila- Garzon et al., 2021; Lee, 2020; Papakostas et al., 2021). That being said, in some other con­ texts, AR has been perceived as a source of cognitive overload: When creating a learning environment that is too rich in information, AR risks overloading students (Akçayır & Akçayır, 2017; Cheng & Tsai, 2013; Dunleavy et al., 2009). Regarding learning outcomes, the literature seems be in agreement that AR can support learning processes and academic achievement. AR can indeed be used to perform simu­ lations (Cuendet et al., 2013; Strada et al., 2019) or visualise normally invisible elements, such as electromagnetic fields (Villanueva et al., 2021). 2.1.1 AR Main Advantages The fact that Sirakaya and Sirakaya (2020) identified an inverse proportionality between students' prior knowledge and the utility produced by AR does not contradict this general verification and is aligned with the famous expertise reversal effect in multimedia learning (Kalyuga, 2014) which states that instructional methods of multimedia instruction that are effective for less experienced 142 Exploring Augmented Reality and Hypervideo in VET learners may not be effective for more experienced learners and vice versa. Hence, the ef­ fective introduction of technologies in education cannot be separated from the adoption of an adequate pedagogical design (Avila-Garzon et al., 2021).i In their review of education in the engineering field, Papakostas et al. (2021) explored the issue of spatial abilities. The authors reported that 25 out of the 32 studies found an ­improvement in spatial abilities following the use of AR. However, a previous review by Vor­ onina et al. (2019) about geometry produced unclear results on the role of AR in supporting spatial abilities. For example, Gün and Atasoy (2017) studied the development of spatial abilities with the support of AR in the context of a geometry course aimed at learning the concept of volume. The research design was based on a pre–post-test measure with a control and an experimental group; the latter group exercised spatial abilities using both AR and real objects, while the control group only used real objects. The results showed significant improvements in spatial abilities and academic performance, but there were no significant differences at the post-test between the two groups. Additionally, the research design was not completely discriminant regarding the role of AR, so it is possible that the experimental group also obtained improvements by the use of real objects. 2.1.2 AR Main Disadvantages The main disadvantages associated with AR can be categorised into three macro-categories: (1) High costs; (2) usability problems; and (3) technical limitations. In almost all of the analysed studies, the applications used required an ad hoc develop­ ment phase to respond to the specific needs of the context, thus significantly increasing the access cost to this type of experience (Bacca et al., 2014). Even though with the increased popularity of smartphones it is no longer essential to purchase expensive devices to deploy an AR solution (Akçayır & Akçayır, 2017), immersive technologies continue to come with high costs. The macro-category of usability problems encompasses at least two separate aspects: First, it refers to the need to find the time to become familiar with the technology (Wüller et al., 2019) and, second, to the cybersickness phenomenon that makes immersive technologies completely inaccessible for some users (Moro et al., 2019, 2021). Finally, the technical limitations are the most frequently mentioned, referring to (1) dif­ ficulties in maintaining the overlap between real and digital objects (Wang et al., 2016); (2) too high response times in overlaying digital objects, especially for markerless solutions; and (3) an almost total absence of applications able to support collaborative activities (Li et al., 2018). Candido, Raemy, Amenduni, Cattaneo 143 In addition, many of the advantages of AR have yet to be definitively demonstrated; similarly, almost all the disadvantages of this technology seem likely to be resolved in the coming years (Akçayır & Akçayır, 2017; Papakostas et al., 2021). AR Advantages and Disadvantages in VET: An Illustrative Example g g p Despite the paucity of studies stated above, most of the advantages and disadvantages of AR can also be seen when looking at applications within VET. We refer to the experience of Lee (2020) to provide an illustrative example. In the context of the vocational training of carpenters, one of the most complex and central of the professional skills to acquire is that of making wooden joints. Lee's (2020) research was organised on a pre–post-test design with control and experimental groups. In the pre-test, the spatial abilities of all the participants were measured. In the post-test, in addition to spatial abilities, the author also measured the levels of cognitive load while performing the splicing tasks, as well as the final results produ­ ced by the students. 2.1.2 AR Main Disadvantages The splicing tasks to be performed were divided into three difficulty le­ vels (easy, medium and difficult), which were classified in accordance with the teachers, here depending on the complexity of the splicing to be performed. The results showed that there was no significant difference in final performance when looking at both easy- and medium- level splices, while the difference was significant when looking at the 'difficult' splices, where the experimental group reported better results. Analysis of cognitive load is also interesting: When looking at the medium difficulty task, where students had obtained comparable per­ formance in both groups, the cognitive load was found to be significantly higher for those in the control group; it would seem that AR put the students in a position to complete the task and do so while exerting less effort. Finally, from the comparison of spatial abilities in the pre-test and post-test it was found that whereas in the pre-test there were no significant differences between the experimental and control groups, these were observed in favour of the experimental group in the post-test. Despite these positive results, the authors reported a number of limitations related to the fact that difficulties were reported in performing some 3D animations; the participants would have needed more time to become familiar with AR technology; the study was aimed at novices, so it is not known whether it would produce similar results with more advanced participants; the study had a limited duration; and a longitudinal study would be needed to verify that AR can support the learning of this type of skill, which usually takes a long time to master. 2.1.3 HV Main Advantages Although hypervideo (HV) has been much less investigated than AR, some studies and re­ views have examined its use as a cognitive or sociocognitive tool (e.g., Cattaneo et al., 2019; Chambel et al., 2006; Evi-Colombo et al., 2020; Sauli et al., 2018; Zahn, 2017; Zahn et al., 2010). A recent meta-analysis shows that videos that include enhanced interaction features Exploring Augmented Reality and Hypervideo in VET 144 are significantly more effective to foster learning than traditional videos (Ploetzner, 2022). This said, HV itself relies on video. Video-based demonstrations are well suited for sustaining procedural learning (Arguel & Jamet, 2009; Mohd Saiboon et al., 2014; van der Meij & van der Meij, 2016) because they can make both expert and novice behaviour visible and audible (Rosen et al., 2010). However, although such demonstrations are commonly used (Grossman et al., 2013), their effectiveness has been questioned, mainly because of the risk that learners will remain passive. In this respect, on top of the traditional affordances that a video can have, HV integrates interactive features that provide unique opportunities to increase the quality of demonstrations and secure more active engagement from learners. These features are as follows (Sauli et al., 2018): Extended navigational control options, linkage options, automated feedback options and communication facilities. In addition to classic controls (stop, pause and rewind/forward), HV has advanced non­ linear features, such as a table of contents or index (e.g., Meixner et al., 2016; Tiellet et al., 2010), allowing the user to pursue macro-level activities (Merkt et al., 2011). These features enable users to autonomously moderate the information intake against the risk of cognitive overload because of video complexity and transience (e.g., Schwan & Riempp, 2004), as well as to select nonlinear trajectories through the video material (e.g., Girgensohn et al., 2015; Meixner et al., 2016). Additionally, HV makes it possible to integrate other existing content and media (text, audio, etc.) via hyperlinked markers, here by presenting a spatial and a temporal dimensi­ on. These markers can be placed anywhere in a video and have a double function: On the one hand, their spatial dimension allows them to be used as cueing tools (De Koning et al., 2007; van Gog, 2014) to focus the learners' attention on the significant detail of the image, hence playing an attention-directing role (e.g., Merkt & Sochatzy, 2015). 2.1.3 HV Main Advantages On the other hand, they help the learner connect different sources of information (e.g., van der Meij & de Jong, 2006) through additional materials, making the relationship between concrete and abstract, practical and theoretical and particular and general issues explicit and more evident all while exploiting the benefit of using multiple representations. Further, HV makes it possible to directly embed quizzes in the instructional video, along with automated feedback that can support learners and their self-regulatory mechanisms (e.g., Rice et al., 2019; van der Meij & Böckmann, 2021; Vural, 2013). Finally, from a technical point of view, this feature could be considered not so different from the above-mentioned markers (e.g., Meixner et al., 2014; Sadallah et al., 2014), yet from a pedagogical point of view, it is possible to add newly created content in the form of textual overlays, creating a very powerful HV tool. We usually refer to this as 'video annotation'. Video annotation can be provided individually or collaboratively, directly by the learner, by peers or by tutors, and it has been shown to be a powerful tool to support reflection processes and self-regulated learning (e.g., Colasante, 2011; Evi-Colombo et al., 2020). Candido, Raemy, Amenduni, Cattaneo 145 Apart from the advantages directly coming from HV's distinctive features, in previous use cases, HV has also shown some positive impact on learners' motivation (Cattaneo et al., 2018; Sauli et al., 2018), though more research is needed to definitively prove this point. 3 Methods In this section, we outline the methods used for conducting this research. The discussion is divided into three subsections: Context and participants, procedures adopted, and finally, the approach used for data analysis. 2.1.4 HV Main Disadvantages With respect to AR, HV produces fewer disadvantages in terms of its usability because it pre­ sents no large differences with respect to traditional video interfaces, with which most users are already very familiar. The same can be said for technical problems because this kind of technology is much less complex than AR. In this respect, some existing problems could deal with the efficiency of IT infrastructure and capacity of the internet connection. That being said, the most important disadvantage of HV is likely in the costs teachers perceive in terms of time to be invested to become competent in the mastery of the pedagogical exploitation of the tool, particularly when HV must be designed from scratch as an instructional material (Cattaneo et al., 2016). 3.1 Context The current study took place in the context of Swiss vocational education and training, where activities are organised according to a dual (trial) model, one in which the learners (­apprentices) alternate among three different training locations: (1) The school, where they have lessons with teachers and are exposed to the main theoretical notions useful for carrying out the profession; (2) the intercompany or branch courses, which is led by trainers, ­where apprentices have the opportunity to learn some professional procedures using ­machines si­ milar to those they could encounter in the workplace; and (3) the workplace, where they work for most of the week as apprentices and where an in-company trainer follows and su­ pervises their professional activity (for additional details on the Swiss VET model, see Bonoli et al., 2018; Strahm et al., 2016). Exploring Augmented Reality and Hypervideo in VET 146 3.3.1 Need Analysis A need analysis, which has been inspired by the standardised tool by Hennessy (2011), was carried out starting with the training plan of the profession in which the interviewee is active. The training plan (Figure 1) shows the skills that apprentices are expected to acqui­ re during their curriculum. The plan is usually structured into two sections: Operational skills fields (on the left side of the figure) and operational skills (on the right side of the figure), the latter constituting concrete operationalizations of the former. In other terms, each operational skill field includes two or more operational skills. At the beginning of the interview, each participant was shown her/his training plan and given the following ­instructions in sequence: (1) To identify the five operational skills that they consider the most important for the profession; (2) to identify the five operational skills that they con­ sider the most difficult while also considering their experience in training; and (3) to iden­ tify a podium of the three operational skills that they consider both important and difficult to learn/teach. The results of the need analysis were used to focus the interviews on the actual needs of the 10 professions considered. 3.2 Participants To bring together all the figures involved in the training process, we listened to the point of view of 73 participants (age range: 25–67; mean age = 42.9; SD = 10.4; female = 7), including 27 teachers (mean age = 43.3), 23 intercompany course trainers (mean age = 42.6) and 23 in-company trainers (mean age = 42.6) from 10 different professions and from two linguistic regions (see Table 1 for details). The choice of occupation was made in three stages: (1) Con­ sidering the entire VET/PET spectrum under Lucas et al.'s (2012) classification of VET pro­ fessions; (2) narrowing the field by considering areas identified as promising in the literature; and (3) testing the availability and interest of trainers of the selected professions in the field. Table 1: Participant Overview Table 1: Participant Overview Profession Language Teachers Inter-company cour­ ses trainers In-company trainers Informatic IT 2 0 0 Dental assistant IT 2 1 1 Woodworker IT 2 0 1 DE 2 2 2 Carpenter IT 1 1 1 DE 2 2 2 Installer of refrigerati­ on systems IT 1 2 3 Installer of sanitary facilities IT 2 3 1 DE 1 2 2 Heating installer IT 2 1 2 DE 1 2 2 Mechatronic DE 2 1 2 IT 2 2 2 Gardener DE 3 2 1 Logistic DE 2 2 1 Total 27 23 23 Candido, Raemy, Amenduni, Cattaneo 147 3.3 Procedure Each interview was organised following a protocol carried out in two phases: (1) A need analysis inspired by Hennessy (2011) and (2) a semi-structured interview, in which the main advantages and disadvantages of AR and HV were discussed consecutively. 3.3.2 Semi-Structured Interview Immediately after completing need analysis, a one-minute clip was shown to the parti­ cipants, in which six examples of see-through handless AR applications in VET contexts were shown. The applications showed different technological solutions of AR, from the use of digital twins to simple signaling, used in different professions like logistics, carpentry, mechanics, plumbing, and other. None of them showed AR applications for real-time sup­ port. We tried to include at least one example from each of the professions interviewed. If the participants were already familiar with AR technology, follow-up questions were formulated to check in which context they had been known. The interview protocol asked about the perceived advantages of a possible introduction of AR technology to support stu­ dents' learning and about the perceived disadvantages as well; to investigate these advanta­ ges and disadvantages, a further focus was placed on the operational skills reported during the previous phase. A similar procedure was then followed regarding HV. After showing Exploring Augmented Reality and Hypervideo in VET 148 the functionalities offered by one of the currently available tools for the creation of HVs, the main perceived advantages and disadvantages were investigated, here with particular reference to the operative skills the interviewee placed emphasis on. 3.4 Data Analysis All interviews were transcribed verbatim and analysed using qualitative content analysis through NVivo software (released in March 2020). The materials have been coded by di­ viding the text into a unit of analysis, which can be defined as "an idea, argument chain or discussion topic" (Strijbos et al., 2006, pp. 28-46). A first version of the coding scheme was developed, here taking into consideration the AR and HV literature that had analysed the ad­ vantages and disadvantages of the two technologies. Complementarily, additional codes were integrated with further advantages and disadvantages mentioned directly by the interview­ ees. The final coding scheme is reported in Table 2. The coding process was carried out using a non-mutually exclusive approach, whereby each unit of analysis could also be assigned two or more codes. Whenever a code was not treated by educators in an unambiguously positive or negative manner, it was associated with the macro-category "neutral" to which a sentiment (positive or negative) was subsequently assigned, depending on the type of considerations reported. Units of analysis that did not fit into any of the identified codes were not coded. Two different coders used the coding scheme independently to code about 20% of the corpus (Cohen's K = 0.77; agreement 98%). Divergences were solved between the two coders or, if necessary, involving a third coder. Table 2: Coding Scheme Code Code description Example References Advantages Simulation Interviewee describes a procedure in which AR or HV is used to simulate events Using AR in simulating faults Cuendet et al. (2013); Strada et al. (2019) From 2D to 3D Interviewee describes situations in which AR or HV is used to display in 3D, 2D elements Using AR to visualize a 2D project in 3D Wulandari et al. (2019); Lee (2020) Papakostas et al. 2021 See through things Interviewee should be interested in using AR or HV to see through elements Using AR to see an implant through a wall See invisible elements Interviewee should be interested in using AR or HV to see invisible elements Using AR to see electromagnetic fields Villanueva et al. 3.4 Data Analysis (2021) Imagine future scenarios Interviewee would use a technology to see future development of her/his project Using AR to see a complete roof 149 Candido, Raemy, Amenduni, Cattaneo Data recording Interviewee would use AR or HV to record her/his learning Using HV as workbook Support in dis­ tance teaching Interviewee should be interested in using AR or HV in distance teaching Using HV to teach during pandemic Support student motivation Interviewee suggests that AR or HV could increase students’ motivation Akçayır & Akçayır (2017); Bacca et al. (2014); Chen et al. (2017); Radu, (2014); Sirakaya & Sirakaya (2020) Disadvantages Expensive Interviewee reports that buying devices could be too much expensive It is difficult to buy these devices for our school Bacca et al. (2014) Hard to use in workplace Interviewee reports difficulties in using these technologies in workplace Using AR devices could be difficult with dirty hands Wüller et al. (2019); Wang et al. (2016); Park et al. (2020); Li et al. (2018) Time consuming Interviewee reports that comple­ ting a task using these technologies could require too much time Using HV could require a lot of time in recording a video Wüller et al. (2019) Deskilling The interviewee fears that technological support may reduce the skills of operators when they cannot have them Operators can not complete a task without technological support Do not improve existent solutions The interviewee describes a situation which the existent solutions offer the same service or better Operators can already verify implant parameters using a laptop Neutral Support in theo­ ry learning Interviewee describes how AR or HV could support students in learning theory Using AR to describe volume changes in wood Akçayır & Akçayır (2017); Villanueva et al. (2021) Reflection Interviewee reports that technologies could affect reflections. Procedural lear­ ning support Interviewee describes procedures in which could be supported by AR or HV Using AR to assembly elements Sirakaya & Kilic Cakmac (2018); Bacca et al. (2015); Radosavljvic et al. (2020); Radosavljvic et al. (2020); Wang et al. (2016) Attention Interviewee reports that could affect on student attention Using AR could be seen as a game Workplace safety Using AR or HV to Support workplace safety Using AR to learn safety procedures Li et al. Akçayır & Akçayır (2017); Villanueva et al. (2021) Using AR to assembly elements Operative skills Sirakaya & Kilic Cakmac (2018); Bacca et al. (2015); Radosavljvic et al. (2020); Radosavljvic et al. (2020); Wang et al. (2016) 3.4 Data Analysis (2018) Operative skills Planning Interviewee describes an operative skill related to the planification Drawing up plans, planning activities, designing Assembly Interviewee describes an operative skill related to the assembly Assembly elements, Assemble com­ ponents, mount devices Akçayır & Akçayır (2017); Bacca et al. (2014); Chen et al. (2017); Radu, (2014); Sirakaya & Sirakaya (2020) Interviewee describes how AR or HV could support students in learning theory Interviewee reports that technologies could affect reflections. 150 150 Exploring Augmented Reality and Hypervideo in VET Exploring Augmented Reality and Hypervideo in VET Repairs and Maintenance Interviewee describes an operative skills related to the maintenance Repair faults and carry out maintenance operations Optimization Interviewee describes operative skills that requires optimization Organize the spaces in a warehouse Technologies HV Interviewee discusses about HV AR Interviewee discusses about AR NVivo software was then used to calculate the distribution of categories in the interviews, and the following indices were chosen: (1) Occurrences, that is, the number of times a code was assigned within the interviews, as presented in absolute value and (2) co-occurrences, that is, the number of times that two or more codes were used simultaneously for the same unit of analysis. The results are presented both in absolute value and using the c-coefficient n12/(n1+n2-n12). In the formula, we have the numerator 'n12', which represents the co- occurrences between the two codes (we could also have n12...n, depending on how many codes in the same unit of analysis are searched for). In the denominator, we have 'n1' and 'n2', which represent the number of occurrences for which the co-occurrence is being observed. However, the number of co-occurrences (n12) is subtracted from these two values to avoid adding up the intersection set of the two occurrences twice. As is evident from this formula, when operating with c-coefficient, both occurrences are taken into account at the denomina­ tor, thus ensuring the co-occurrence standardisation process. Comparing the co-occurrences in absolute value when there are substantial differences in the number of occurrences cannot provide reliable data about the result and could more easily lead to a misrepresentation of the obtained results, which the standardised c-coefficient should help avoid. Before proceeding with the results, we give some indications about the interpretative me­ thod adopted for the indices used. 4 Results In this section, we present the main findings of our research. After describing the outcomes of the needs analysis, we illustrate the perceived advantages and disadvantages for both tech­ nologies. 3.4 Data Analysis In assessing the 'strength' of a co-occurrence, we took into account three distinct elements: (1) How much one of the codes co-occurred with the other regarding its own number of occurrences, here by relativising the result for two or more codes; (2) looking at the overall view offered by the c-coefficient (which we recall when integrating at the denominator the occurrences of two or more codes considered in the co- occurrence); and (3) integrating the figure with the percentage of the number of participants who reported that specific co-occurrence. To facilitate the reading of the results, we propose an example of the co-occurrence between the code 'From 2D to 3D' and 'AR'. As a first step, we verified that in 69 out of the 70 total occurrences of the code 'From 2D to 3D' (99%), this code co-occurred with that of AR; then, we carried out the same verification from the point of view of AR, where this represents about 11%. As a second step, we looked at the c-coefficient score (0.11) and, finally, at how many participants had found this advantage in using AR (42%). Here, although the c-coefficient is not very high, also because of the Candido, Raemy, Amenduni, Cattaneo 151 ­disproportion of the occurrences of the two co-occurring codes— 'From 2D to 3D' (O=70) and 'AR' (O=599)—the possibility to switch from 2D to 3D is perceived as a very relevant advantage by the interviewed educators. When possible and functional to our aims, we also used queries that allow us to have triple or quadruple co-occurrences because these queries provide data that is easier to interpret. 4.1 Need Analysis During the interviews, only 59 of the 72 participants completed need analysis according to the indications provided. During the interviews, this tool was used to guide the reflective process of the interviewees, and no finicky compilation was required. Among the 59 respon­ dents, five did not identify a complete podium of important and difficult operational com­ petences, which generated six missing values and a total corpus of 171 operational compe­ tences. As can be seen from Table 3, assembly procedures (48) have the highest number of occurrences, followed by 'Planning' tasks (38) and 'Repair and maintenance' (32). These are the most frequently discussed topics during the interviews and. Therefore. were included in the coding scheme. Other operational skills emerged, such as 'Diagnostics' (18) and the execution of 'safety protocols' (7). The category 'other' (18) was then used for the operational skills that could not be placed in any of the previously mentioned areas and were mentioned very few times within the analysed corpus; these include the following: 'Administrative tasks' (5), 'software development' (5), 'plant management' (3) and 'specific woodworking' (3). Table 3: Need Analysis Occurrences Assembly Customer relations Diag­ nostics Optimization Other Planning Repair and mainte­ nance Security protocols 48 6 18 6 16 38 32 7 Exploring Augmented Reality and Hypervideo in VET 152 4.2 Occurrences in the Interviews' Body As per the number of occurrences (see Table 4), the macro-categories that occurred the most, in decreasing order, are 'Technologies' (O = 870), within which the mainly occurring subca­ tegory is 'AR' (O = 599); 'Neutral' (O = 543) and main subcategory 'Procedural learning sup­ port' (O = 289); 'Operative skills' (O = 404) and its main subcategory 'Assembly'; and finally the main categories 'Advantages' (O = 277) and 'Disadvantages' (0 = 220). The prevailing sentiment associated with the occurrences in the category 'Neutral' is 'Positive' (O = 362). Table 4: Number of Occurrences and Related Participants per Macro-Category and Subcategories Table 4: Number of Occurrences and Related Participants per Macro-Category and Subcategories Codes Occurrences Participants Advantages From 2D to 3D 70 30 Simulation 57 27 See through things 33 18 Support in distance teaching 30 15 Support student motivation 29 19 Imagine future scenarios 23 16 Data recording 20 13 See invisible elements 15 9 Disadvantages Hard to use in workplace 68 34 Do not improve existent solutions 40 24 Deskilling 40 20 Time consuming 34 19 Learn how to use 22 16 Expensive 16 12 Neutral Procedural learning support 289 66 Support in theory learning 152 52 Workplace safety 60 32 Attention 28 16 Reflection 14 9 Operative skills Assembly 171 39 Repairs and Maintenance 134 28 Planning 94 33 Optimization 5 5 Sent Tech AR 599 72 HV 271 67 Positive 362 68 Negative 72 33 Candido, Raemy, Amenduni, Cattaneo 153 4.3 Perceived Advantages in AR and HV We identified as perceived advantages both those coded directly in the 'Advantages' category and those in the 'Neutral' category before looking at those associated with a positive 'Senti­ ment'. In descending order, the most relevant occurrences and co-occurrences among the advantages are as follows: 'From 2D to 3D' and 'AR' (C = 69, c-coefficient = 0.11); 'Simulation' and 'AR' (C = 55, c-coefficient = 0.09); 'See-through things' and 'AR' (C = 32, c-coefficient = 0.05); and 'Support in distance teaching' and 'HV' (C = 13, c-coefficient = 0.05). In the neutral positive category, the categories 'Procedural learning support' stands out both in relation to 'AR' (C = 174, c-coefficient = 0.16) and 'HV' (C = 71, c-coefficient = 0.08) and 'Support in the­ ory learning' in relation to 'AR' (C = 69, c-coefficient = 0.07) and 'HV' (C = 49, c-coefficient = 0.07). The full results can be seen in Tables 5 and 6. To give voice to the numbers that emerged and understand how the different advantages and disadvantages looked to the participants, we supplemented the quantitative data with contextualised quotes. For example, we did this for a carpenter intercompany course trainer, who—especially considering the difficulties he encountered in his teaching experience— thinks that AR can become a tool to stimulate his students' three-dimensional visualisation. In this view, AR does not only offer a technological solution for solving a technical problem (visualising models in 3D), but it could also become a new tool in the teacher’s toolbox: So, for a student who needs to be able to interpret (the plans), it can sometimes be a stimulus to first visualise it in a three-dimensional version. With augmented reality, we can give them this three-dimensionality, even before they have the piece in their hands. One difficulty I have encoun­ tered in my years of teaching is the stimulation of three-dimensional vision (Interview 12, line 148). An example of the association with the simulation potential of AR is provided by an in- company trainer of heating installers, for whom AR could be useful to display (simulating it) the operation of a heating system. 4.3 Perceived Advantages in AR and HV In this case, the in-company trainer would use AR not only to visualise, but also to support the understanding of the consequences of an action by using a simulation: 'What happens if I adjust my pump like this?' He explains that it is not always possible to observe the consequences of poor heat pump regulation in the short term and that AR could help him to do this by overcoming time constraints: An example of the association with the simulation potential of AR is provided by an in- company trainer of heating installers, for whom AR could be useful to display (simulating it) the operation of a heating system. In this case, the in-company trainer would use AR not only to visualise, but also to support the understanding of the consequences of an action by using a simulation: 'What happens if I adjust my pump like this?' He explains that it is not always possible to observe the consequences of poor heat pump regulation in the short term and that AR could help him to do this by overcoming time constraints: AR could help him to do this by overcoming time constraints: Right now, I'm thinking of a hydraulic circuit. If, for example, you set the regulator incorrectly and the pupil could then see, aha, that’s not the reason. Or this is the reason, this is the reason. So as seen before, it's the wrong screw. You can actually deal with that. There are some really difficult things. If you can let it run virtually and say, what happens if I don't take it into account? Then that’s certainly a good thing. Yes. So, as I said, I see it as another methodological possibility (Inter­ view 47, Line 321). 154 Exploring Augmented Reality and Hypervideo in VET Examples of exploiting AR to support the execution of procedures requiring several steps are also reoccurring, as in this excerpt by an intercompany course trainer of sanitary facilities installers: Maybe it's more like an instruction or a checklist. Like a building process. So that you know what you have to do or what you must not forget (Interview 70, Line 199). 4.3 Perceived Advantages in AR and HV Especially when looking at the professional activity, correctly remembering the execution of a procedure can be a great advantage: From the point of view of the correctness of the execu­ tion of the procedure, the time taken and resulting costs for both the company and client. An in-company trainer of refrigeration installers notes the following: So that's a very long procedure. In the end, to change a 10 CHF part a technician is there all day. Empty everything, replace, empty, recharge, try again if that's not the problem, he's gone, all day long. So that's a procedure that everyone dislikes. It doesn't even allow us if we’ve done something wrong (to be able to recover some of the work done), so we have to reopen the circuit. It means doing the whole procedure again (Interview 17, Line 310). Similarly, in case HV is used instead of AR: Similarly, in case HV is used instead of AR: This kind of video would certainly be useful. You can see how it's done, and then, you can call up the information you need. So, I would see it there. There would be possibilities for the manual part. I would also see that I could film the work processes and fill them with information (Interview 46, Line 300). Table 5: Co-Occurrences of the Perceived Advantages and Technologies Table 5: Co-Occurrences of the Perceived Advantages and Technologies AR HV Perceived advantages Occurrences Participants Co-occ. c-coefficient Co-occ. c-coefficient From 2D to 3D 70 30 69 0.11 2 0.01 Simulation 57 27 55 0.09 5 0.02 See through things 33 18 32 0.05 1 0.00 Imagine future scenarios 23 16 21 0.03 1 0.00 Support student motivation 29 19 10 0.02 19 0.07 Data recording 20 13 4 0.01 17 0.07 Support in distance teaching 30 15 16 0.03 13 0.05 See invisible elements 15 9 15 0.02 0 0.00 An in-company trainer of woodworkers refers to the importance of the 'workbook' for ap­ prentices. In the first years of training, each student is told the functioning of the different machines, as well as the procedures to be followed for their correct use. Usually, the trainees take notes in their workbook, and years later when they encounter the same machine again, Candido, Raemy, Amenduni, Cattaneo 155 they can use the workbook as a form of support for carrying out the procedure. The partici­ pant would gladly use the possibility of chapter navigation offered by HV, combined with the possibility of noting down the details of the individual work step: You could use it as a workbook. (If I were to use it to write down the operation) of this circular ma­ chine, then (I would proceed like this) chapter 1: Power button, chapter 2 adjust wedge 0.5 more than blade, chapter 3: Start workpiece. And so on. In the third-year exam, all these notes, this workbook, can be kept, so what we were talking about earlier happens. When the guys arrive in the third year and they have to adjust that machine, they can retrieve their notes; then, it becomes con­ venient. You can actually travel there with the system you were showing (Interview 18, Line 433). Similarly, in case HV is used instead of AR: Table 6: Triple Co-Occurrences Neutral/Positive and Technologies Neutral/Positive Co-Occurrences c-coefficient Participants PLS/AR/Positive 174 0.16 57 PLS/HV/Positive 71 0.08 42 STL/AR/Positive 69 0.07 33 STL/HV/Positive 49 0.07 33 WPS/AR/Positive 21 0.02 16 WPS/HV/Positive 17 0.03 15 PLS= Procedural Learning Support; STL= Support in Theory Learning; WPS= Workplace Safety 4.4 Perceived Disadvantages in AR and HV Similar to what we did for the advantages, also in the case of disadvantages, we include in the presentation of results both the codings of the category 'Disadvantages' and those of the category 'Neutral', which are associated with the sentiment 'Negative'. In descending order (see Tables 7 and 8), the main perceived disadvantages related to 'AR' are 'Hard to use in workplace' (C = 52, c-coefficient = 0.08), 'Deskilling' (C = 36, c-coefficient = 0.06) and 'Do not improve existing solutions' (C = 32, c-coefficient = 0.05). Regarding 'HV', only 'Time consuming' (C = 23, c-coefficient = 0.08) and 'Hard to use in workplace' (C = 15, c-coefficient = 0.05) stand out. When looking at co-occurrences with the two technologies in the 'Neutral' category with 'Sentiment' 'Negative', no relevant results appear. Regarding the feasibility of using AR in the workplace, for example, an in-company trai­ ner of refrigeration installers raises questions about the possibility of using these technolo­ gies in practice, especially for repairing tasks, which the interviewee considers too heteroge­ neous. In the interview, the participant reports that even the same model of a heat pump may have been produced by several manufacturers, and this may be enough to radically change the procedures to be followed: "No, not in our training, not in our repair work, because it often happens that one is not the same as another" (Interview 15, Line 163). 156 Exploring Augmented Reality and Hypervideo in VET An intercompany course trainer of the carpenters expresses doubts about providing too much support to the students. His fear is that they would become lazy and that using AR would finally result in deskilling apprentices. To better understand the below quotation, it is important to contextualise the rough theory developed by the participant about the inclina­ tion of his students to use cognitive resources. Although not exactly in these terms, we could trace what is reported by the participant back to Kahneman's theory (2002): Humans will always prefer to use 'system 1' (instinctive, based on the use of heuristics and low cognitive expenditure) over 'system 2' (reflexive, basing decisions on exact calculations and the high expenditure of cognitive resources). Hence, a question arises: When AR offers students the opportunity to opt for 'system 1', will they stop using 'system 2' altogether? 4.4 Perceived Disadvantages in AR and HV The disadvantage is that by always having, as I said before, a ready-made meal there, you don't make the effort to try to recreate this thing, and you also slow down a bit. That’s my fear: I have more than 10 years of teaching experience, and during these years, I have tried to change the way I provided materials for students to process. I noticed that by providing materials that I more or less preprocessed, the students changed their response: Those who were given a ready-made meal got lazy, while those who had to fend for themselves better learned how to proceed. I also think it is very important to define upstream in which context to introduce augmented reality: If you are having too much difficulty in imagining (the 3D development) a project and it is the only way to make you understand it, then it is fine, but if it has to become a way to avoid straining yourself, getting lazy and not imagining the three-dimensionality of objects, then it is not good (Interview 12 Line 157). Table 7: Co-Occurrences of the Perceived Disadvantages and Technologies AR HV Disadvantages Co-occurrences c-coefficient Co-occurrences c-coefficient Hard to use in workplace 52 0.08 15 0.05 Deskilling 36 0.06 3 0.01 Do not improve existent solutions 32 0.05 9 0.03 Time consuming 11 0.02 23 0.08 Learn how to use 14 0.02 7 0.02 Expensive 13 0.02 3 0.01 Table 7: Co-Occurrences of the Perceived Disadvantages and Technologies 157 Candido, Raemy, Amenduni, Cattaneo Table 8: Triple Co-Occurrences Neutral/Negative and Technologies Neutral/Negative Co-Occurrences c-coefficient Participants PLS/AR/Negative 13 0.01 10 Attention/AR/Negative 11 0.02 9 WPS/AR/Negative 11 0.02 6 Attention/HV/Negative 7 0.02 5 Reflection/AR/Negative 6 0.01 4 SLT/HV/Negative 6 0.01 4 PLS/HV/Negative 5 0.01 4 SLT/AR/Negative 5 0.01 5 Reflection/HV/Negative 3 0.01 2 WPS/HV/Negative 0 0.00 0 Table 8: Triple Co-Occurrences Neutral/Negative and Technologies 4.5 Operative Skills, Advantages and Disadvantages To verify whether there is a match between the advantages and disadvantages of AR and HV and the operational skills indicated as the most relevant by the trainers, we carried out co-occurrences analysis between 'operational skills' ('Assembly', repair and maintenance and planning) discussed during the interviews and the macro-categories of advantages and dis­ advantages (see Tables 9 and 10). As before, codes belonging to the neutral macro-category, here associated with a 'Positive' or 'Negative' sentiment, were included in the advantages and disadvantages, respectively. Looking at the results, AR seems to be able to support procedural work in all three operational skills analysed: 'Assembly' (C = 56), 'Repairs and maintenance' (C = 30) and 'Planning' (C = 6). However, AR is also negatively associated with 'Repairs and maintenance' (C = 5); 'From 2D to 3D' is of interest for both 'Planning' (C = 31) and 'Assem­ bly' (C = 8); and 'Deskilling' is associated with 'Assembly' (C = 7). When it comes to HV, 'As­ sembly' is supported by 'Procedural learning support' (C = 6) and 'Support in theory learning' (C = 6). Finally, 'Procedural learning' for 'Repairs and maintenance' is supported by HV (C = 14). Particularly relevant is the result observed for 'Assembly', 'Procedural learning support' with a 'Positive' sentiment and the use of AR. In fact, this is a co-occurrence with four diffe­ rent codes that emerged on 56 occasions reported by 27 of the 72 educators. Therefore, the data sustain the idea that AR can support procedural learning, especially when looking at assembly procedures, which are the central themes for VET, which also emerged during need analysis. Less pronounced but just as relevant is the result regarding 'Planning' AR and 'From 2D to 3D'. From what the educators have reported, it seems that AR can support planning processes, especially when considering the transition from 2D to 3D. Planning processes are mentioned as crucial by the trainers, even if only informally: Being able to read and adequa­ tely create a work plan is the basis for many of the professions. 158 Exploring Augmented Reality and Hypervideo in VET Table 9: Main Co-Occurrences Between Operative Skills, Advantages and Disadvantages in AR AR Co-occ. 4.5 Operative Skills, Advantages and Disadvantages Participants Assembly/AR/Procedural learning support /Positive 56 27 Planning/AR/From 2D to 3D 31 19 Repairs and maintenance/AR/Procedural learning support /Positive 30 15 Assembly/AR/From 2D to 3D 10 8 Planning/AR/Imagine future scenarios 10 7 Repairs and maintenance/AR/See through things 8 5 Assembly/AR/Deskilling 7 6 Planning/AR/Procedural learning support /Positive 6 6 Planning/AR/Support in theory learning/Positive 6 4 Repairs and maintenance/AR/Deskilling 6 4 Repairs and maintenance/AR/Procedural learning support/Negative 5 4 Table 9: Main Co-Occurrences Between Operative Skills, Advantages and Disadvantages in AR Table 10: Main Co-Occurrences Between Operative Skills, Advantages and Disadvantages in HV HV Co-occ. Participants Repairs and maintenance/HV/Procedural learning support /Positive 14 10 Assembly/HV/Procedural learning support /Positive 6 5 Assembly/HV/Support in theory learning/Positive 6 4 Table 10: Main Co-Occurrences Between Operative Skills, Advantages and Disadvantages in HV HV Co-occ. Participants Repairs and maintenance/HV/Procedural learning support /Positive 14 10 Assembly/HV/Procedural learning support /Positive 6 5 Assembly/HV/Support in theory learning/Positive 6 4 Table 10: Main Co-Occurrences Between Operative Skills, Advantages and Disadvantages in HV 5 Discussion R1: What are the Main Advantages and Disadvantages of Using AR and HV as Perceived by VET Educators? R1: What are the Main Advantages and Disadvantages of Using AR and HV as Perceived by VET Educators? The results show that 89% of the participants perceive that the introduction of AR in VET can support procedural work, hence confirming what has been claimed in the literature (Li et al., 2018; Park et al., 2020; Wang et al., 2016). The ability to make three-dimensional designs (Lee, 2020; Papakostas et al., 2021; Wulandari et al., 2019), to simulate the consequences of a procedure in real time (Cuendet et al., 2013; Strada et al., 2019) and to be able to look through objects are the benefits most often mentioned by the interviewees. The disadvantages reported by the interviewees, however, differ from what is reported in the literature: Although not having had the opportunity to experience the technologies first-hand is surely a limitation of the current research, which could have influenced the par­ ticipants' perception of the advantages and disadvantages, in other respects, it is interesting to note that this has raised issues other than technical ones (Wang et al., 2016), specifically those issues connected to usability (Wüller et al., 2019). Except for the difficulty of use in Candido, Raemy, Amenduni, Cattaneo 159 the workplace that has already been reported for construction safety by Li et al. (2018), the concern about deskilling constitutes a novel concept that opens up reflection about the role that these technologies can take on in supporting training. If AR, especially in the work environment, has a clear effectiveness in reducing the number of errors made and the ef­ ficiency in the execution of a procedure, from the perspective of some participants, it is not clear what its role could be in training and how much it could even interfere with learning. In part, this result is also reflected in the literature: It is not unequivocal that AR can ensure better learning outcomes, and even the sharper results obtained about motivation could still be flawed by the absence of longitudinal research that would avert the novelty effect. In other words, the role of AR, especially its wearable and markerless version, in supporting VET has yet to be clearly defined. 5 Discussion The main prerogative reported by several interviewees, which seems to distinguish AR from VR and from the other technologies included in extended reality (XR), lies in the opportunity to directly handle the materials in the real world and acquire the muscle memory necessary for the correct execution of the procedure while at the same time being supported with additional information layered on top of what is seen in the real world. In thinking to AR, trainers might have identified the disadvantage of "deskilling" also due to the examples shown in the short clip. The short video emphasized activities in the workplace and not in teaching situations. This might have led the trainers to think, that the introduction of AR could be a tool to replace some of the activities currently carried out by the operators, rather than a learning support instrument. In other words, teachers were wor­ ried that the professionals of the future may become completely dependent on technology (or on synchronous remote support that AR technology could provide) and gain deep learning of fewer procedures as a result. The main technical advantages offered by HV have been recognised by educators, such as the possibility of displaying content in a nonlinear way by using segmentation through chap­ ters. In terms of teaching, several educators have reported the potential advantages in using it to support both theoretical and procedural learning. The possibility of annotating video materials is not reported by the trainers, while the literature reports it as an effective tool to foster reflective processes (Colasante, 2011; Evi-Colombo et al., 2020). In terms of the disad­ vantages, compared with AR, the users report few disadvantages because the user experience does not differ much from that of a traditional video, hence providing a much higher degree of familiarity. Among the few disadvantages reported are the time needed to design, record and subsequently produce an HV. However, these limitations are already known, and several platforms are upgrading to offer the possibility to more quickly make the video interactive. 5 Discussion Finally, it is worth noting that the main result of this research lies in the central role that both AR and HV have in supporting procedural learning: Both in terms of the num­ ber of co-occurrences and percentage of participants who reported this advantage, the two 160 Exploring Augmented Reality and Hypervideo in VET ­technologies can be considered excellent allies for supporting procedural learning, which is a central element in VET programmes. R2: What is the Relationship Between the Expected Advantages and Disadvantages of AR and HV and the Operative Skills to be Acquired in VET Curricula? The results clearly report that according to our interviewees, AR can support procedural learning when referring to the operational skills of 'Assembly', 'Repair and maintenance' and 'Planning'. This finding is particularly relevant, especially in view of the results produced by need analysis showing that the two operational skills most supported by AR are also the most important and difficult for most trainers. This could give important hints for developing AR applications supporting these kinds of procedures. Planning could also be significantly sup­ ported by introducing AR, especially when looking at the transposition from 2D to 3D. HV is considered a tool capable of supporting procedural work in relation to 'Assembly' and repair and maintenance activities, though it cannot offer real-time support during the performance of procedures. On the other hand, no negative points could be identified from the use of this technology when it came to operational skills. Finally, it is worth mentioning that our data did not mention explicitly one of the possibilities we find in the literature when looking at how to use AR and HV for supporting learning, and namely the possibility to use them col­ laboratively. Consider, for example, the possibility of receiving AR-based remote assistance while a maintenance procedure is being performed (De Pace et al., 2019) or having the ability to simultaneously view the same augmented world in the planning phase (Nebeling et al., 2020). HV as well can be used collaboratively to support teaching, for example providing stu­ dents with a raw video and asking them to transform it into a HV (Evi-Colombo et al., 2022) or using video annotation to augment it (Boldrini et al., 2021). 6 Conclusion According to the interviews we conducted with 73 VET educators, the introduction of both AR and HV tools in VET would mainly produce advantages when applied as a way to sup­ port the teaching and learning processes, especially when applied to procedural learning. Procedural learning seems indeed to be the natural target audience for these technologies. The two technologies have aroused different impressions among the trainers: AR creates ­greater polarisation, raising great enthusiasm among its supporters and scepticism among its detractors, though the balance is strongly in favour of the former; HV, probably because it is not so disruptive regarding other already familiar technologies, is a more consolidated tool, whose benefits are somehow known to the trainers, who sometimes have used it themselves; the points against its use are largely circumscribed. The strong agreement found between the operational skills reported during the need analysis and the affordances found in the Candido, Raemy, Amenduni, Cattaneo 161 two technologies is one of the main results produced by this study. According to educators' expectations, the use of AR and HV could lay the groundwork for teaching more effectively many operational skills considered relevant to the profession. In perspective, the adoption of these technologies could be a means by which to obtain better professionals. Despite these results, the current research has several limitations. First, it is a pilot, de­ scriptive study in which the participants were not given the opportunity to experience AR solutions directly. All participants were asked if they were already familiar with augmented reality, yet none of them had heard of it. On some occasions, we cannot say with certainty that the participants had a clear understanding of the differences between AR and virtual reality, and in a few cases, it was necessary to intervene to better clarify the differences and be sure about the interviewees' interpretation. Also, probably for the same reason (lack of direct experience), the educators often referred more willingly to professional applications than to educational ones, though these latter applications were the focus of our study. Additionally, although it was meant as an illustration of the possibilities AR provides, the visualisation of the examples within the explanatory video could have induced a priming effect in the parti­ cipants. Moreover, there was a difference in the time spent discussing the two technologies during the interviews: AR is mentioned more than twice as many times as HV. Acknowledgement This research was funded by SERI (State Secretariat for Education, Research and Innovation). (Contract number 1315002129). MARHVL project (Mixing Augmented Reality and Hyper­ video for Learning). 6 Conclusion This was a choice made in advance in view of the different notorieties of the two technologies; AR seems to have been more unfamiliar and partially unknown to almost all the participants, while HV was found to be known to most respondents. Interestingly, some trainers report fears about the possibility of deskilling in relation to AR by future professionals: It is possible that the absence of a pedagogical model that clearly indicates how the technology can be used to support vocational education and training, as also pointed out by Garzón et al. (2019), has raised doubts in some trainers who fear that these technologies may reduce students' problem-solving skills and force them to rely too much on technological support rather than reason with their own capacities. Future research could investigate what role AR can play in supporting VET by trying to clearly identify what advantage it may bring over other immer­ sive technologies, as well as how AR and HV can be combined within a pedagogical model so that the maximum benefit can be derived from the opportunities offered by the two tech­ nologies. Furthermore, although the analogy between what happens in AR and HV is clear (in both cases, a layer of information is superimposed on reality), it needs to be clarified what relationship may persist between the two. The two technologies could fulfil each other's desi­ res, and the specific affordances of each of the two could be pedagogically combined to full utilise the technology. This pedagogical empowerment should be investigated more, both at the theoretical and practical levels. The present study—and in particular its need analysis—also have highlighted which ope­ rational skills need more support in VET today. Several educators underlined the usefulness of the first interview phase that allowed them to focus on those skills needing more support Exploring Augmented Reality and Hypervideo in VET 162 than others. The needs reported by the interviewees might be helpful for other educators who want to benefit from the teaching experience reported in these interviews. 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BMC Nursing, 18(1). https://doi.org/10.1186/s12912-019-0342-2 Zahn, C. (2017). Digital design and learning: Cognitive-constructivist perspectives. Springer eBooks, Wüller, H., Behrens, J., Garthaus, M., Marquard, S., & Remmers, H. (2019). A scoping review of aug­ mented reality in nursing. BMC Nursing, 18(1). https://doi.org/10.1186/s12912-019-0342-2 Zahn, C. (2017). Digital design and learning: Cognitive-constructivist perspectives. Springer eBooks, 147–170. https://doi.org/10.1007/978-3-319-49077-9_8 mented reality in nursing. BMC Nursing, 18(1). https://doi.org/10.1186/s12912-019-0342-2 Zahn, C. (2017). Digital design and learning: Cognitive-constructivist perspectives. Springer eBooks, 147–170. https://doi.org/10.1007/978-3-319-49077-9_8 Zahn, C., Krauskopf, K., Hesse, F. W., & Pea, R. (2010). Digital video tools in the classroom: How to support meaningful collaboration and critical advanced thinking of students? 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(2016). based training (DBT) in the design of a video tutorial for software training. Instructional Science, 44(6), 527–542. https://doi.org/10.1007/s11251-016-9394-9 van der Meij, J., & de Jong, T. (2006). Supporting students' learning with multiple representations in a dynamic simulation-based learning environment. Learning and Instruction, 16(3), 199–212. https://doi.org/10.1016/j.learninstruc.2006.03.007 Van Gog, T. (2014). 11 - The signaling (or cueing) principle in multimedia learning. In R. Mayer (Ed.), The cambridge handbook of multimedia learning (pp. 263-278). Cambridge University Press. https://doi.org/10.1017/CBO9781139547369.014 Villanueva, A. M., Liu, Z., Kitaguchi, Y., Zhu, Z., Peppler, K., Redick, T. S., & Ramani, K. (2021). Towards modeling of human skilling for electrical circuitry using augmented reali­ ty applications. International Journal of Educational Technology in Higher Education, 18(1). https://doi.org/10.1186/s41239-021-00268-9 Voronina, M. V., Tretyakova, Z. O., Krivonozhkina, E. G., Buslaev, S. I., & Sidorenko, G. G. (2019). Augmented reality in teaching descriptive geometry, engineering and computer graphics – sy­ stematic review and results of the russian teachers' experience. Eurasia Journal of Mathematics, Science and Technology Education, 15(12). https://doi.org/10.29333/ejmste/113503 h Vural, Ö. F. (2013). The Impact of a question-embedded video-based learning tool on E-learning*. Kuram Ve Uygulamada Egitim Bilimleri, 13(2), 1315–1323. https://files.eric.ed.gov/fulltext/ EJ1017292.pdf Wang, X. F., Ong, S., & Nee, A. Y. C. (2016). A comprehensive survey of augmented reality assembly research. Advances in Manufacturing, 4(1), 1–22. https://doi.org/10.1007/s40436-015-0131-4 Wulandari, B., Pratama, G. N. I. P., Hasanah, N., & Yuniarti, N. (2019). Augmented reality as android based learning media for wood field laboratory work. Journal of Physics: Conference Series 1413. https://doi.org/10.1088/1742-6596/1413/1/012035 Candido, Raemy, Amenduni, Cattaneo 167 Wüller, H., Behrens, J., Garthaus, M., Marquard, S., & Remmers, H. (2019). A scoping review of aug­ mented reality in nursing. BMC Nursing, 18(1). https://doi.org/10.1186/s12912-019-0342-2 Zahn, C. (2017). Digital design and learning: Cognitive-constructivist perspectives. Springer eBooks, 147–170. https://doi.org/10.1007/978-3-319-49077-9_8 Zahn, C., Krauskopf, K., Hesse, F. W., & Pea, R. (2010). Digital video tools in the classroom: How to support meaningful collaboration and critical advanced thinking of students? Springer. h //d i /10 1007/978 1 4419 5716 0 25 Wüller, H., Behrens, J., Garthaus, M., Marquard, S., & Remmers, H. (2019). A scoping review of aug­ mented reality in nursing. BMC Nursing, 18(1). Biographical Notes Vito Candido, MD, is a junior researcher at the Swiss Federal University for Vocational Edu­ cation and Training (SFUVET). After receiving his master's degree in psychology from the University of Bari Aldo Moro, he started his collaboration with SFUVET and in parallel is pursuing his doctorate in educational science at the University of Zurich. Patric Raemy, PhD, University of Fribourg is a senior researcher and teaching associate at the Department of Communication and Media Research, University of Fribourg. He also worked as a visiting scholar at the University of Missouri School of Journalism, as a senior researcher at the Swiss Federal University for Vocational Education and Training and as a lecturer at the Zurich University of Teacher Education. His research interests focus on journalism studies, social media news logic, changing professional roles and identities, (vocational) education and training in face of digital transformation, and media literacy. Francesca Amenduni, PhD in Educational Sciences, is Senior Researcher in the Area Edu­ cational Technologies in VET programs at SFUVET and Senior Project Manager in Teacher Continuing Training. Her current research interests are related to the use of digital tech­ nologies as tools to support reflection and critical analysis on professional practices. She is currently investigating how 360-degree videos (360°V) could be adopted as a tool to support reflection on professional practices. Specifically, she is interested to explore under which con­ dition emotional arousal, activated though sense of presence elicited by immersive 360°V, could support or inhibit critical reflection during the analysis of professional practices. Alberto A. P. Cattaneo, PhD, is Professor and head of the research field "Educational Tech­ nologies in VET Programmes" at the Swiss Federal University for Vocational Education and Training (SFUVET), Switzerland. His actual main research fields concern the integration of educational technologies in teaching and learning processes, reflective learning in vocational education, instructional design, multimedia learning – especially when it comes to using hypervideos and immersive technologies –, teacher education and their professional deve­ lopment, in particular related to digital competence.
https://openalex.org/W2531570343
https://researchonline.ljmu.ac.uk/id/eprint/17491/1/Affective%20touch%20and%20attachment%20style%20modulate%20pain%20a%20laser-evoked%20potentials%20study.%20.pdf
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Affective touch and attachment style modulate pain: a laser-evoked potentials study
Philosophical transactions - Royal Society. Biological sciences
2,016
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LJMU Research Online Article Citation (please note it is advisable to refer to the publisher’s version if you intend to cite from this work) Krahé, C, Drabek, MM, Paloyelis, Y and Fotopoulou, A (2016) Affective touch and attachment style modulate pain: A laser-evoked potentials study. Philosophical Transactions of the Royal Society B: Biological Sciences, 371 (1708). ISSN 0962-8436 LJMU has developed LJMU Research Online for users to access the research output of the University more effectively. Copyright © and Moral Rights for the papers on this site are retained by the individual authors and/or other copyright owners. Users may download and/or print one copy of any article(s) in LJMU Research Online to facilitate their private study or for non-commercial research. You may not engage in further distribution of the material or use it for any profit-making activities or any commercial gain. The version presented here may differ from the published version or from the version of the record. Please see the repository URL above for details on accessing the published version and note that access may require a subscription. For more information please contact researchonline@ljmu.ac.uk http://researchonline.ljmu.ac.uk/ Keywords: Keywords: affective touch, pain, laser-evoked potentials, attachment style, interoception p g p pp This article is part of the themed issue ‘Interoception beyond homeostasis: affect, cognition and mental health’. Research 1Department of Neuroimaging, Institute of Psychiatry, Psychology and Neuroscience, King’s College London, London, UK 1Department of Neuroimaging, Institute of Psychiatry, Psychology and Neuroscience, King’s College London, London, UK Cite this article: Krahe´ C, Drabek MM, Paloyelis Y, Fotopoulou A. 2016 Affective touch and attachment style modulate pain: a laser-evoked potentials study. Phil. Trans. R. Soc. B 371: 20160009. http://dx.doi.org/10.1098/rstb.2016.0009 2Arthritis Research UK Pain Centre, University of Nottingham, Nottingham, UK 3Research Department of Clinical, Educational and Health Psychology, University College London, London, UK CK, 0000-0002-0620-1263 2Arthritis Research UK Pain Centre, University of Nottingham, Nottingham, UK 3Research Department of Clinical, Educational and Health Psychology, University College London, London, UK & 2016 The Authors. Published by the Royal Society under the terms of the Creative Commons Attribution License http://creativecommons.org/licenses/by/4.0/, which permits unrestricted use, provided the original author and source are credited. Accepted: 6 June 2016 One contribution of 16 to a theme issue ‘Interoception beyond homeostasis: affect, cognition and mental health’. rstb.royalsocietypublishing.org Research Cite this article: Krahe´ C, Drabek MM, Paloyelis Y, Fotopoulou A. 2016 Affective touch and attachment style modulate pain: a laser-evoked potentials study. Phil. Trans. R. Soc. B 371: 20160009. http://dx.doi.org/10.1098/rstb.2016.0009 Charlotte Krahe´1, Marianne M. Drabek2, Yannis Paloyelis1,† and Aikaterini Fotopoulou3,† CK, 0000-0002-0620-1263 Affective touch and cutaneous pain are two sub-modalities of interoception with contrasting affective qualities (pleasantness/unpleasantness) and social meanings (care/harm), yet their direct relationship has not been investigated. In 50 women, taking into account individual attachment styles, we assessed the role of affective touch and particularly the contribution of the C tactile (CT) system in subjective and electrophysiological responses to noxious skin stimulation, namely N1 and N2-P2 laser-evoked potentials. When pleasant, slow (versus fast) velocity touch was administered to the (non-CT-containing) palm of the hand, higher attachment anxiety predicted increased subjective pain ratings, in the same direction as changes in N2 amplitude. By contrast, when pleasant touch was administered to CT-containing skin of the arm, higher attachment anxiety predicted attenuated N1 and N2 amplitudes. Higher attachment avoidance predicted opposite results. Thus, CT-based affective touch can modulate pain in early and late processing stages (N1 and N2 components), with the direction of effects depending on attachment style. Affective touch not involving the CT system seems to affect predomi- nately the conscious perception of pain, possibly reflecting socio-cognitive factors further up the neurocognitive hierarchy. Affective touch may thus convey information about available social resources and gate pain responses depending on individual expectations of social support. Accepted: 6 June 2016 Accepted: 6 June 2016 1. Introduction Affective touch and cutaneous pain are two sub-modalities of interoception that have contrasting affective qualities (pleasantness/unpleasantness) and social meanings (care/harm). These modalities are of fundamental homeostatic importance, signalling physiological safety or threat to the organism [1], and are mediated by neurophysiological systems distinct from those serving non- affective tactile afferents [2]. As such, affective, pleasant touch and unpleasant, cutaneous pain have been classified as part of interoception [2], even when the source of the skin stimulation lies outside the body. At a peripheral level, unpleasant (painful) sensations are well characterized in terms of afferent sig- nalling by dedicated nociceptive afferents (C and Ad fibres). At least some affectively pleasant tactile sensations are also thought to be coded by specialized unmyelinated C tactile (CT) afferent fibres; these are found only in hairy skin (they are absent in non-hairy, i.e. glabrous skin [3]) and microneurography studies have shown that they selectively respond to innocuous tactile stimulation at slow velocities (1–10 cm s21), with their activation being highly correlated with perceived pleasantness [4]. Peripheral pathways coding unpleasant and †Joint senior authorship. †Joint senior authorship. Electronic supplementary material is available online at https://dx.doi.org/10.6084/m9. figshare.c.3464868. & 2016 The Authors. Published by the Royal Society under the terms of the Creative Commons Attribution License http://creativecommons.org/licenses/by/4.0/, which permits unrestricted use, provided the original author and source are credited. Accordingly, in this study, we considered the role of indi- vidual differences in attachment styles, while examining how subjective and neural responses to noxious stimuli may be modulated by low pressure, slow velocity dynamic touch by another individual, which is expected to evoke plea- sant sensations [4]. These investigations afford several methodological advantages compared to hand-holding or ‘massage-like’ manipulations. As aforementioned, this kind of dynamic touch has been associated with neurophysiological specificity at both peripheral and central levels (see [8] for a review). Thus, we can contrast pleasant (slow velocity) touch with fast velocity touch, which is judged to be neutral, i.e. neither pleasant nor unpleasant [33] and which does not opti- mally activate CT fibres [4]. Moreover, slow, dynamic touch administered to the hairy skin of the arm and to the glabrous (non-hairy) palm of the hand can be perceived as pleasant and communicate social support [34], but only touch to the hairy skin involves CT-afferent signalling [3]. 1. Introduction Moreover, direct interactions between such modalities during congruent multisensory stimulation may operate primarily at the spinal level [38] and not reflect the regulatory processes of social support targeted in this study, nor the everyday reality of socially supportive tactile interactions which may precede or follow a painful event. Thus, separating the two modalities in time and space is more compatible with the aims of this study. Accordingly, we administered dynamic touch before noxious stimuli and to the opposite side of the body. To the best of our knowledge, the potential role of affective, social touch on pain has not been systematically studied in humans. Clinical and developmental studies have long suggested that touch-based interventions such as mild or mod- erate pressure massage and ‘skin-to-skin’ contact can have positive analgesic effects in preterm infants and in adults diag- nosed with fibromyalgia and rheumatoid arthritis syndromes (for reviews, see [18,19]). However, such studies have meth- odological limitations: they cannot account for the mediating mechanisms of the reported effects and even the efficacy of such interventions remains contested [20,21]. Further, studies testing whether concurrent social touch (partner hand- holding) attenuated experimentally induced pain did not involve psychophysical control or measurements regarding touch parameters [22,23]. Despite this scarcityof systematic studies on the modulation of pain by social, affective touch, there are several relevant indi- cations from studies on neighbouring topics. Social support has well-established beneficial effects on a range of physical health outcomes [24]. In experimental studies, social support modu- lated psychological and neurophysiological responses to stress (e.g. [25]), as well as pain (see [26,27], for reviews). Moreover, in experimental and neuroimaging studies, we have shown that this pain modulation depends on particular ‘embodied’ social support variables (e.g. the presence of another individ- ual), as well as individual differences in the perception of social relationships themselves, namely attachment styles [28–30]. Insecure attachment styles in particular (characterized by negative expectations of social support; [31]), which may be linked with an impoverished oxytocin system [17], seem to moderate the relationship between social support and pain (see also [32]). Higher attachment anxiety (associated with seek- ing and craving signs of reassurance) led to reduced pain in the presence of a high versus low empathic stranger [30], while higher attachment avoidance (associated with distancing from others and preferring to cope alone) led to increased pain in the presence of a stranger [30] or romantic partner [29]. 1. Introduction By systemati- cally varying the speed and location of tactile stimulation, we thus tested the effects of pleasant (slow) versus neutral (fast) touch on pain, as well as the separate involvement of bottom-up physiological mechanisms (CT fibre activation in the forearm) from top-down, learned expectations of pleasantness and support in non-CT-containing skin. pleasant sensations project via thalamic pathways to brain regions implicated in interoceptive processing, notably pos- terior insular cortex, orbitofrontal cortex and anterior cingulate cortex ([1,5,6], see also [7], which distinguishes neural networks for unpleasant and pleasant sensations). More- over, some of these brain areas have been implicated in the top-down, cognitive modulation of pain and affective touch (for reviews, see [1,6,8]). 2 However, it is less clear whether these modalities can regulate each other and particularly whether affective touch can influence subjective and neural responses to noxious stimulation. In primates, pro-social, tactile stimulation, mostly licking and grooming behaviours by conspecifics, attenuates neuroendocrine and behavioural responses to stress, with beneficial long-term effects [9,10]. Further, such tactile contact byconspecifics can also activateendogenous analgesicprocesses mediated by opioid mechanisms [11] and oxytocinergic path- ways [12]. The involvement of these neurobiological pathways, implicated in pain regulation (e.g. [13]) as well as the formation and maintenance of close social bonds [14,15], highlights the potential role of social, affective touch for also regulating pain in humans. Indeed, we have recently shown that in humans, intranasal administration of oxytocin can attenuate subjective and neural responses to pain [16]. This is important as oxytocin is thought to be released in response to affective, social touch in mother–infant and adult interactions [17]. p pp g Further, a methodological consideration is whether to administer dynamic touch and noxious stimuli in a tem- porally and spatially synchronous way, or to separate the two modalities in time and body space. Concurrent tactile (non-nociceptive) stimulation can modulate the perception of noxious stimuli by spinal and supraspinal mechanisms (e.g. [35–38]). In such multisensory perception studies, tactile stimuli perceived as emotionally ‘neutral’ can attenuate pain when applied in temporal and spatial congruency (e.g. same dermatomes) with noxious stimuli. However, examining dynamic touch and noxious stimulationinsynchrony poses sev- eral difficulties: the stimuli and concomitant afferent signalling differ in their temporal properties, and the interplay between activation of C, Ad and CT fibres has not yet been characterized. 1. Introduction To examine the central neural mechanisms underlying the effects of affective touch on pain, we measured laser-evoked potentials (LEPs): deflections in the ongoing electroenceph- alogram (EEG), reflecting the activation of Ad fibres in response to transient, noxious, thermal stimulation (brief radiant heat pulses by an infrared laser selectively activating Ad- and C-fibre skin nociceptors) that can be used to dis- tinguish effects at different stages of nociception and pain processing [16,29,39]. The N1 component (a negative deflec- tion maximal at contralateral temporal electrodes, peaking at approximately 160 ms) mainly reflects very early stages of sensory processing occurring outside conscious awareness, while the later N2 and P2 components (maximal at the scalp vertex, peaking at 200–350 ms) reflect processes underlying the subjective experience of pain [39]. For example, we found that the presence of a romantic partner modulates only the N2–P2 complex [29], congruent with the view that social-cognitive factors modulate pain experience at higher levels of the neurocognitive hierarchy [1]. received laser stimuli to the dorsum of their left hand. Tactile and nociceptive stimulation therefore occurred in close sequence but were temporally and spatially distinct. After the second stroking velocity condition, participants were fully debriefed and paid for their time (120 min) in this single session study. 3 rstb.royalsocietypublishing.org Phil. Trans. R. Soc. B 371: 20160009 3 rstb.royalsocietypublishing.org Phil. Trans. R. S 3 In sum, we investigated whether different properties of affective, social touch, including bottom-up signals related to the CT afferent system, as well as top-down components related to learned affective and social meanings of touch, may modulate subjective and neural responses to pain in relation to individual differences in attachment anxiety and avoidance. In accordance with previous studies (e.g. [29]), we expected affectively pleasant touch to reduce pain in individ- uals with higher attachment anxiety and conversely increase it in individuals with higher attachment avoidance relative to neutral (fast velocity) touch. Moreover, we expected the acti- vation of the CT afferent system to modulate earlier stages of pain processing indexed by the N1 component, while pleasant touch not involving the CT system was expected to influence later N2 and P2 components and subjective pain ratings, and thus, at least partly, be linked to higher-order processing. (iii) Electroencephalogram recording and laser-evoked potential analysis As in Krahe´ et al. [29], EEG data were recorded using a 16-channel Guger Technologies Medical Engineering GmbH (g.tec; Austria) elasticized cap with an active electrode system and g.tec g.recorder software. Data were collected from 11 electrodes positioned along the midline (Fz, FCz, Cz, CPz, Pz) and temporal regions (T7, C5, C3, T8, C6, C4) according to the international 10–20 system. An electrode on the right earlobe was used as the recording reference, and electrodes on the nose and bilateral mastoids were included for offline re-referencing (see the electronic supplemen- tary materials for details). The local peak-to-baseline amplitude of N2 (most negative peak 0–350 ms from stimulus onset) and P2 (most positive peak 0–600 ms) components was measured at the Cz electrode (referenced to averaged bilateral mastoid electro- des), and that of the N1 component (most negative peak 0–270 ms) was measured at the C6 electrode (contralateral to the stimulated hand), using the Fz electrode as reference [16,29]. Data exclusion due to technical issues resulted in a final sample of N ¼ 43 for N1 and N ¼ 41 for N2/P2 analyses (see the electronic supplemen- tary materials). Missing data were not systematically associated (d) Materials and measures (i) Tactile stimulation Tactile stimulation was administered by an unfamiliar, trained experimenter, using a cosmetic make-up brush (Natural hair Blush Brush, No 7, The Boots Company). Participants rested their right arm on a table behind a screen (preventing them from seeing the experimenter during tactile stimulation) with their palm facing upwards (as in [41]). Two 9 cm long by 4 cm wide areas were marked contiguously along participants’ right volar forearm between wrist and elbow (CT group) or across their right palm (GL group). To ensure a constant pressure, the brush splayed no wider than a 4 cm window. In each stroking velocity condition, touch was administered in four 30-s mini-blocks in an elbow-to-wrist direction [40,43] at slow (3 cm s21—a single brush stoke) or fast (18 cm s21—6 strokes) velocities with 3-s pauses between strokes and alternating between skin areas on consecutive brush strokes to avoid habituation. After each mini-block, partici- pants rated the received touch from 25 (not at all) to 5 (extremely) pleasant/intense/comfortable. We used mean ratings across mini-blocks to test for differences in the affective quality of the touch across stroking velocity conditions. (a) Design W l d g We employed a 2  2 mixed design. Stroking velocity (slow: 3 cm s21, versus fast: 18 cm s21, order counter-balanced across participants) was a within-subjects factor, and touch location (CT group: hairy skin of forearm, versus GL group: glabrous skin of palm) was a between-subjects factor. Outcome measures were pain rating and N1, N2 and P2 local peak amplitudes. The moderating effect of attachment styles was examined using continuous scores on the anxiety and avoidance dimensions of a self-report questionnaire. (ii) Nociceptive stimulation As in Paloyelis et al. [16] and Krahe´ et al. [29], we used an infrared neodymium yttrium aluminium perovskite (Nd:YAP) laser (Elec- tronical Engineering, Italy) with a wavelength of 1340 nm to generate radiant heat pulses. Pulse duration was 4 ms and spot diameter 5 mm at the skin site (dorsal digits of the left hand). Each block contained 40 experimental and 20 distractor pulses, presented in pseudorandom order (see the electronic supplemen- tary materials for details). Participants’ self-reported pain was measured on an 11-point scale ranging from 0 (no pinprick sen- sation) to 10 (worst pinprick sensation imaginable); it is the ensuing pinprick (first pain) sensation that is generated from Ad-fibre activation and reflected in LEPs [39]. Mean pain ratings for the experimental pulses in each block (across the four mini-blocks) served as the measure of subjective pain report. (b) Participants d d ff Given gender differences in touch perception [40,41], 50 right- handed women participated in this study. Exclusion criteria were a depression severity score greater than 9 (PHQ-9 questionnaire; [42]), a history of chronic pain, psychiatric, medical or neurological conditions, or having a wound, scar, tattoo or skin irritation/ disease on the forearms or hands. One participant was excluded for not following experimental instructions correctly. Participants were randomly assigned to the CT group (n ¼ 24) or the GL group (n ¼ 25). Mean age was 23.76 (s.d. ¼ 3.76) years and did not significantly differ between groups. Mean body mass index (BMI) differed significantly between groups (CT group: M ¼ 22.70, s.d. ¼ 3.74; GL group: M ¼ 20.84, s.d. ¼ 2.59; t47 ¼ 22.03, p ¼ 0.049); thus, BMI was taken into account in the analyses. (iii) Electroencephalogram recording and laser-evoked potential analysis (iii) Electroencephalogram recording and laser-evoked potential analysis (b) Pain rating g Higher attachment anxiety predicted increased subjective pain rating in response to slow versus fast touch in the GL group (b ¼ 20.68, s.e. ¼ 0.23, p ¼ 0.004, 95% CIs [21.14; 20.22]) but not the CT group (b ¼ 0.10, s.e. ¼ 0.20, p ¼ 0.616, 95% CIs [20.29; 0.49]); p ¼ 0.011 for the parameter difference across groups (figure 1a). Conversely, higher attachment avoidance predicted attenuated pain rating in response to slow versus fast touch in the GL group (b ¼ 0.62, s.e. ¼ 0.28, p ¼ 0.027, 95% CIs [0.07; 1.17]) but not the CT group (b ¼ 20.17, s.e. ¼ 0.24, p ¼ 0.465, 95% CIs [20.64; 0.29]); p ¼ 0.031 for para- meter difference across groups (figure 1a). Effects were not due to an interaction between attachment dimensions in either touch location group (GL group: b ¼ 20.16, s.e. ¼ 0.14, p ¼ 0.256, 95% CIs [20.42; 0.11]; CT group: b ¼ 0.38, s.e. ¼ 0.27, p ¼ 0.163, 95% CIs [20.16; 0.92]). Thus, when pleasant, slow (versus fast) touch was administered to the palm of the hand, higher attachment anxiety predicted an increase and higher attachment avoidance predicted a decrease in pain ratings. (e) Statistical analyses y Statistical analyses were carried out in STATA 13 [46]. To test our hypotheses, we estimated multi-group models with maximum likelihood with missing values estimation using the ‘sem’ and ‘mlmv’ commands. The difference between touch velocities was considered by calculating difference scores (fast velocity minus slow velocity; as in e.g. [33]) for each outcome variable. In each analysis, the grouping variable was touch location (CT versus GL group) and predictors were attachment anxiety, attachment avoidance and their interaction. We controlled for baseline differ- ences in outcome variables, as well as demographic variables, by including them as covariates in the corresponding analyses. All continuous predictors were mean-centred [47]. We ran x2 (Wald) tests (‘estat ginvariant’ command) to examine which par- ameters differed significantly between touch location groups [48]. To visualize effects of attachment style, we plotted effects at +1 s.d. of the sample mean for attachment anxiety and avoidance, using unstandardized parameter estimates [47]. (c) Procedure After consenting and completing questionnaires, participants were familiarized with the laser equipment, and their individual experimental and distractor laser pulse intensities were deter- mined. We then recorded participants’ EEG while administering a baseline nociceptive stimulation block (no touch). Participants then received the two stroking velocity conditions, separated by a 10-min break to minimize carryover effects [43]. In order to reinforce the main stroking velocity manipula- tion, each stroking velocity condition consisted of four tactile stimulation mini-blocks (all same velocity) alternating with nociceptive mini-blocks, during which EEG was recorded. In each mini-block, participants received brush strokes to the right arm/palm of the hand (depending on touch location group), after which they rated the touch on dimensions of pleasantness, intensity and comfort (manipulation checks), and subsequently Table 1. Descriptive statistics (mean and s.d.) for attachment style dimensions and pain-related outcome measures. rstb.royalsocietypublishing.org Phil. Trans. R. Soc. B 371: 20160009 4 stimulation block touch location group CT (hairy skin of forearm) GL (glabrous palm of the hand) attachment anxiety (scale 1–7) n.a. 2.88 (0.94) 3.02 (1.10) attachment avoidance (scale 1–7) n.a. 2.91 (0.92) 3.08 (0.93) pain rating (scale 0–10) baseline 4.09 (1.34) 4.29 (1.53) slow velocity touch 4.15 (1.40) 4.19 (1.47) fast velocity touch 4.44 (1.36) 4.17 (1.68) N1 local peak amplitude (mV) baseline 29.12 (5.48) 29.28 (6.10) slow velocity touch 26.83 (3.74) 28.06 (4.69) fast velocity touch 25.75 (3.09) 27.23 (3.55) N2 local peak amplitude (mV) baseline 212.65 (8.25) 218.39 (11.59) slow velocity touch 211.76 (7.68) 214.26 (11.89) fast velocity touch 210.61 (7.43) 214.51 (9.88) P2 local peak amplitude (mV) baseline 21.16 (11.77) 25.56 (8.19) slow velocity touch 19.14 (9.77) 22.75 (8.29) fast velocity touch 19.41 (9.57) 22.53 (6.66) y yp g g supporting the predicted distinction in the affective quality between the two stroking velocities but not between touch locations. This pattern of results was similar for intensity and comfort ratings (see the electronic supplementary material, table S1 for descriptive and ANOVA results). supporting the predicted distinction in the affective quality between the two stroking velocities but not between touch locations. This pattern of results was similar for intensity and comfort ratings (see the electronic supplementary material, table S1 for descriptive and ANOVA results). supporting the predicted distinction in the affective quality between the two stroking velocities but not between touch locations. This pattern of results was similar for intensity and comfort ratings (see the electronic supplementary material, table S1 for descriptive and ANOVA results). with any condition and were estimated using a maximum likelihood with missing values procedure (see Statistical analyses). with any condition and were estimated using a maximum likelihood with missing values procedure (see Statistical analyses). (iv) Adult attachment style y We used the 36-item Experiences in Close Relationships Revised (ECR-R; [44]) questionnaire to measure the attachment anxiety and attachment avoidance dimensions. This questionnaire is well validated [45] and demonstrates excellent internal consist- ency; Cronbach’s a ¼ 0.92 (attachment anxiety) and a ¼ 0.91 (attachment avoidance) in the present sample. 3. Results In contrast to the pain rating findings, higher attachment anxiety predicted an attenuated N1 response to slow versus fast touch in the CT group (b ¼ 23.13, s.e. ¼ 1.07, p ¼ 0.004, 95% CIs [25.23; 21.03]) but not the GL group (b ¼ 0.24, s.e. ¼ 0.43, p ¼ 0.574, 95% CIs [20.60; 1.01]); p ¼ 0.004 for par- ameter difference across groups (figure 1b). Conversely to attachment anxiety, higher attachment avoidance predicted an augmented N1 response to slow versus fast touch in the Table 1 presents descriptive statistics. A mixed ANOVA with stroking velocity as repeated-measures variable and touch location group as between-subject variable confirmed that the slow stroking velocity was rated as more pleasant than the fast stroking velocity across touch locations groups, 1.5 difference score (fast minus slow velocity touch condition) difference score (fast minus slow velocity touch condition) difference score (fast minus slow velocity touch condition) 1.0 0.5 0 –0.5 –1.0 –1.5 6 4 2 0 –2 –4 –6 –1 s.d.(lower) –1 s.d.(lower) mean * * * * * * attachment anxiety attachment avoidance mean pain rating N1 local peak amplitude (mV) N2 local peak amplitude (mV) +1 s.d.(higher) glabrous (GL) hairy skin (CT) –1 s.d.(higher) –1 s.d.(lower) –1 s.d. anxiety / –1 s.d. avoidance +1 s.d. anxiety / –1 s.d. avoidance –1 s.d.(lower) mean attachment anxiety attachment avoidance attachment style mean +1 s.d. anxiety / + 1 s.d. avoidance –1 s.d. anxiety / + 1 s.d. avoidance +1 s.d.(higher) +1 s.d.(higher) 6 4 2 0 –2 –4 –6 (a) (b) (c) Figure 1. Effects of attachment anxiety and attachment avoidance on difference scores (fast minus slow velocity touch condition) for (a) pain rating (plotted at low (21 s.d.), mean and high (þ1 s.d.) attachment scores), (b) N1 local peak amplitude (plotted at low (21 s.d.), mean and high (þ1 s.d.) attachment scores) and (c) effects of attachment anxiety by attachment avoidance on N2 local peak amplitude (plotted at low (21 s.d.) and high (þ1 s.d.) attachment anxiety and attachment avoidance scores) for GL (glabrous skin) and CT (hairy skin) touch location groups. Error bars denote +1 s.e. from the mean. 3. Results Note: we oriented ourselves on the negative-going N1 and N2 components and subtracted the slow velocity from the fast velocity touch condition so that negative difference scores indicate attenuated neural responses to slow versus fast velocity touch for N1 and N2; for pain rating, greater pain is reflected in more positive values, and so a negative difference score denotes greater pain for slow versus fast velocity touch. 1.5 difference score (fast minus slow velocity touch condition) 1.0 0.5 0 –0.5 –1.0 –1.5 –1 s.d.(lower) mean * attachment anxiety pain ra –1 s.d.(higher) (a) pain rating (a) –1 s.d.(lower) * attachment avoidance mean +1 s.d.(higher) glabrous (GL) hairy skin (CT) glabrous (GL) hairy skin (CT) difference score (fast minus slow velocity touch condition) 6 4 2 0 –2 –4 –6 * N1 local peak a –1 s.d.(lower) mean attachment anxiety +1 s.d.(higher) (b) * amplitude (mV) –1 s.d.(lower) attachment avoidance mean +1 s.d.(higher) N1 local peak amplitude (mV) N1 local peak amplitude (mV) difference score (fast minus slow velocity touch condition) * * N2 local peak amplitude (mV) –1 s.d. anxiety / –1 s.d. avoidance +1 s.d. anxiety / –1 s.d. avoidance attachment style +1 s.d. anxiety / + 1 s.d. avoidance –1 s.d. anxiety / + 1 s.d. avoidance 6 4 2 0 –2 –4 –6 (c) N2 local peak amplitude (mV) N2 local peak amplitude (mV) Figure 1. Effects of attachment anxiety and attachment avoidance on difference scores (fast minus slow velocity touch condition) for (a) pain rating (plotted at low (21 s.d.), mean and high (þ1 s.d.) attachment scores), (b) N1 local peak amplitude (plotted at low (21 s.d.), mean and high (þ1 s.d.) attachment scores) and (c) effects of attachment anxiety by attachment avoidance on N2 local peak amplitude (plotted at low (21 s.d.) and high (þ1 s.d.) attachment anxiety and attachment avoidance scores) for GL (glabrous skin) and CT (hairy skin) touch location groups. Error bars denote +1 s.e. from the mean. Note: we oriented ourselves on the negative-going N1 and N2 components and subtracted the slow velocity from the fast velocity touch condition so that negative difference scores indicate attenuated neural responses to slow versus fast velocity touch for N1 and N2; for pain rating, greater pain is reflected in more positive values, and so a negative difference score denotes greater pain for slow versus fast velocity touch. CT group (b ¼ 3.48, s.e. 3. Results ¼ 1.05, p ¼ 0.001, 95% CIs [1.43; 5.54]) but not the GL group (b ¼ 0.49, s.e. ¼ 0.50, p ¼ 0.332, 95% CIs [20.50; 1.47]); p ¼ 0.001 for the parameter difference across groups (figure 1b). Effects were not due to an interaction between attachment dimensions in either touch location group (CT: b ¼ 21.77, s.e. ¼ 1.39, p ¼ 0.203, 95% CIs [0.20; 24.49]; GL: b ¼ 20.34, s.e. ¼ 0.25, p ¼ 0.164, 95% CIs [0.164; 20.82]). In brief, when pleasant, slow (versus fast) touch was administered to the CT-containing hairy skin of the arm, higher attachment anxiety predicted an attenuated N1 local peak amplitude, while higher attachment avoidance predicted an enhanced effect. CT group (b ¼ 3.48, s.e. ¼ 1.05, p ¼ 0.001, 95% CIs [1.43; 5.54]) but not the GL group (b ¼ 0.49, s.e. ¼ 0.50, p ¼ 0.332, 95% CIs [20.50; 1.47]); p ¼ 0.001 for the parameter difference across groups (figure 1b). Effects were not due to an interaction between attachment dimensions in either touch location group (CT: b ¼ 21.77, s.e. ¼ 1.39, p ¼ 0.203, 95% CIs [0.20; 24.49]; GL: b ¼ 20.34, s.e. ¼ 0.25, p ¼ 0.164, 95% CIs [0.164; 20.82]). In brief, when pleasant, slow (versus fast) touch was (ii) N2 local peak amplitude There was no effect of attachment anxiety (CT group: b ¼ 21.72, s.e. ¼ 1.15, p ¼ 0.135, 95% CIs [23.97; 0.53]; GL group: b ¼ 2.32, s.e. ¼ 1.37, p ¼ 0.090, 95% CIs [20.36; 5.00]) or attachment avoidance (CT group: b ¼ 21.33, s.e. ¼ 1.40, p ¼ 0.340, 95% CIs [21.40; 4.07]; GL group: b ¼ 22.25, s.e. ¼ 1.65, p ¼ 0.173, 95% CIs [25.48; 0.98]). However, the attachment anxiety by attachment avoidance interaction was significant in the CT group (b ¼ 23.29, s.e. ¼ 1.55, p ¼ 0.034, 95% CIs [26.32; 20.24]) but not the GL group (b ¼ 0.72, s.e. ¼ 0.77, p ¼ 0.352, 95% CIs [20.79; 2.23]); p ¼ 0.021 for the parameter difference across groups. 3. Results Thus, when plea- sant, slow (versus fast) touch was administered to the CT- containing hairy skin of the arm, higher attachment anxiety predicted an attenuated N2 response only when attachment avoidance was lower, while higher attachment avoidance pre- dicted an augmented N2 response only when attachment anxiety was lower; opposite (but non-significant) effects were observed when touch was applied to the palm of the hand (figure 1c). 6 here, touch may promote negative representations of the unavailability of others, maintaining perceived threat and enhancing early processing of noxious stimuli (see also [27]). Thus, as expected, the effects of affective touch on the earliest stage of pain-related neural processing depended on attach- ment style and appeared to be mediated by the CT afferent system, as effects on N1 were found only in the group that received touch to the CT-fibre-abundant hairy skin of the arm. y Although the N1 component can be modulated by both noxious stimulation and vicarious pain [49], theories of inter- oception have posited that social-cognitive factors are mostly integrated in areas, such as the anterior cingulate cortex and anterior insula, which are captured by the later N2–P2 com- plex [1,39]. Thus, we expected this complex to be influenced by the perceived pleasantness of slow (versus fast) touch in both touch locations. Indeed, stroking the palm of the hand (which does not contain CT fibres) at slow versus fast velocities can also give rise to feelings of pleasantness, poss- ibly due to alternative, not as yet understood, bottom-up mechanisms, as well as learned expectations of pleasantness [41,43]. This was supported by our manipulation checks, which showed that slow velocity touch was rated as more pleasant than fast velocity touch at both touch locations. Our N2 findings were broadly consistent with these hypoth- eses, although some particular effects were unexpected. Specifically, the N2 results mirrored our N1 findings in the group receiving touch to the hairy skin of the arm, with the additional qualification that effects of higher attachment anxiety were seen only when attachment avoidance was lower, and effects of higher attachment avoidance only when anxiety was lower. These results confirm that attach- ment styles influence how affective touch modulates pain- related responses at higher levels of the neurocognitive hier- archy where both CT-based, bottom-up signals and learned affective and social meanings of touch may be relevant. (d) Association between pleasantness ratings and pain modulation The degree to which participants perceived slow and fast vel- ocity touch to be pleasant was not associated with pain modulation in the corresponding conditions (see the electronic supplementary material, table S2). (iii) P2 local peak amplitude Neither attachment anxiety or avoidance, nor their interaction predicted P2 response to slow versus fast touch in either group (tests for GL versus CT group parameter differences: p ¼ 0.375 for attachment anxiety; p ¼ 0.489 for attachment avoidance; p ¼ 0.389 for the anxiety by avoidance interaction). (d) Association between pleasantness ratings and pain modulation 3. Results Nevertheless, it is noteworthy that in the group that received touch to CT-containing skin, these N2 results were not mir- rored by findings regarding subjective ratings. In addition, we did not find any moderating effects of attachment styles on the relationship between affective touch and P2 ampli- tude. We found a similar lack of P2 results in a styles examining the anti-nociceptive effects of oxytocin [16]. While LEPs in general have been conceptualized to reflect neural responses to salient bodily threats in the environment [50], the P2 component is specifically implicated in reflecting factors signalling stimulus salience (e.g. [51]). Thus, affective touch may not specifically modulate the salience of noxious stimuli in the context of individual differences in attachment style, although future research is needed in this regard. 4. Discussion This study investigated whether affective touch modulated sub- jective and neural responses to pain and whether the direction of effects depended on individual differences in attachment styles. In line with previous studies [29,30], we expected that affectively pleasant touch would reduce pain-related outcomes in individuals with higher attachment anxiety and conversely increase them in individuals with higher attachment avoidance. We further predicted that CT afferent signalling would drive modulation of early stages of pain-related processing (N1), but would not be critical for effects at later, higher-order stages of processing (N2–P2 and pain ratings). In line with our predictions, higher attachment anxiety was associated with an attenuating effect of slow (versus fast) touch on the N1 amplitude, while higher attachment avoidance pre- dicted an enhancing effect on the N1 amplitude. These results are similar to our previous findings that higher attachment anxiety was related to attenuation of pain-related outcomes when interactions signalled a socially supportive intent (e.g. high empathy), while social interactions per se (i.e. the mere presence of others) increased pain in individuals higher in attachment avoidance [29,30]. Higher attachment anxiety is linked to craving closeness and reassurance from others: affectively pleasant, slow velocity touch may promote rep- resentations of affiliation and bonding, enhancing perceived support and attenuating early processing of noxious stimuli (see also [27]). On the other hand, higher attachment avoidance is linked to avoiding closeness and preferring to cope alone; By contrast,pleasant,slow (versus fast) touch influenced sub- jective ratings in the group receiving touch to the palm of the hand, with higher attachment anxiety being associated with increased ratings, while higher attachment avoidance predicted decreased ratings. N2 responses showed the same direction of effects in this group but these effects were not significant. It is possible that the social ambiguity involved in slow, pleasant stroking of the palm drove these results, with individuals with higher attachment anxiety being particularly preoccupied by its unclear meaning, while individuals with higher avoidance preferred this less ‘intimate’ form of social support. This interpretation remains speculative, however, and future studies should further explore the perceived social intentions of various types of affective touch to different body parts [34]. 4. Discussion In addition, we investigated effects on pain which was experimentally induced in healthy volunteers, but examining the perception of affective touch and its effects on pain modulation in individuals with chronic pain is also an important avenue of research (see [57] for differences in the perception of slow versus fast velocity touch in healthy volun- teers versus fibromyalgia patients). We separated affective touch and pain in time and body space. Characterizing the interactive effects of C, Ad and CT fibres remains an important aim for studies into the multisensory integration of these two interoceptive modalities. Lastly, we focused on the receipt of affective, social touch, but evidence suggests that providing touch may also have beneficial effects [52], and thus the reci- procal nature of social interactions should be taken into account in future studies. 7 Taken together, our N2 and pain report findings suggest that CT pathways may contribute to the late processing of noxious stimuli, but unlike in the case of our N1 findings and early processing of noxious stimuli where CT afferent signalling appeared to drive our effects, the relationships between the CT afferent system, learned affective and social meanings of touch and conscious perception of pain remain unclear and require further investigation. In sum, we found that effects of affective touch on subjec- tive and neural responses to pain depend on individual differences in attachment style. As expected, the activation of the CT afferent system affected pain at earlier stages of pain processing (N1), while it did not appear to have an equally clear role at higher levels of pain processing as measured by the N2 and P2 components and subjective pain ratings. q g We have argued that the ability of affective slow dynamic touch to signal and promote a caring and socially supportive orientation from others [34] suggests that it may be conceptual- ized as a form of embodied social support. In carefully varying and controlling physiological parameters of touch and examin- ing specifically the contribution of CT fibres, we showed that effects of affectively pleasant touch on pain depend on individ- ual differences in attachment styles. 4. Discussion We selected 3 cm s21 as the slow stroking velocity and 18 cm s21 as the fast stroking velocity on the basis that 3 cm s21 lies within the optimal range for activating the CT system, and dynamic touch at this velocity is perceived as plea- sant [4], while 18 cm s21 is not within this optimal velocity range and is perceived as significantly less pleasant than CT-optimal touch [33]. Further, perceived pleasantness does not differ between 18 cm s21 and faster velocity touch at 27 cm s21 [52]; the latter is similar to 30 cm s21, a velocity which does not preferentially activate the CT system [4]. More- over, by using difference scores, we investigated effects on the relative difference between slow and fast stroking velocity: therefore, we could not explore whether effects were confined to slow velocity touch but rather saw that effects here were greater than for fast velocity touch. Here, it should also be noted that the degree to which participants perceived slow and fast velocity touch to be pleasant was not related to pain modulation in the corresponding conditions, although as reported, the two velocities differed in perceived pleasantness as intended. Therefore, it seems to be the distinction in plea- santness between the two touch velocities rather than the variations in pleasantness within these two touch velocity conditions that is important for our observed effects. alleles have been linked to a fearful attachment style, character- ized by high attachment anxiety and avoidance [55], indicating that variations in this gene may be associated with individual differences in attachment styles. Moreover, the social context of touch (whether administered by a romantic partner, a stran- ger or a machine) requires further study to tease apart possible social versus non-social elements in the effects of touch. Although we have not tested this factor directly, we believe that the key role of individual differences in attachment styles—a trait which is inextricably linked to social pro- cesses—in moderating the effects of affective touch on pain in this study warrants further research into the specific role of social touch in pain. Related to this, two studies contrasting social and non-social manipulations [22,56] found that social conditions reduced pain to a greater extent than did non- social conditions. 4. Discussion While affective, social touch as well as social support more generally have beneficial effects on a range of health outcomes [18,19,24], we can add that—as with other forms of social support [29]—embodied support in the form of pleasant, social touch is not unequivo- cally pain-attenuating, but rather its effects depend on individual differences in how social support from others and social relationships more generally are perceived. Thus, future studies should investigate further individual-difference variables such as gender (we only tested women in the current study) and genetic variations in the mu-opioid receptor gene. Animal studies have shown a relationship between the mu- opioid receptor gene and attachment behaviour [53], and different attachment behaviours are exhibited depending on different polymorphisms of the gene [54]. In humans, certain Ethics. Ethical approval was obtained from King’s College Research Ethics Committee (Ref: PNM/13/14-58). Informed consent was obtained from all participants. Data accessibility. The article’s supporting data have been uploaded as the electronic supplementary materials. Authors’ contributions. C.K., M.D., Y.P. and A.F. designed the study. C.K. ran the study and analysed the results. C.K., Y.P. and A.F. wrote the paper. Competing interests. We have no competing interests. Funding. This study was supported by a project grant no. 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Serious Games and Gamification for Mental Health: Current Status and Promising Directions
Frontiers in psychiatry
2,017
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7,329
S Theresa M. Fleming1,2*, Lynda Bavin1, Karolina Stasiak1, Eve Hermansson-Webb1, Sally N. Merry1, Colleen Cheek3, Mathijs Lucassen1,4, Ho Ming Lau5, Britta Pollmuller6 and Sarah Hetrick7 1 Department of Psychological Medicine, University of Auckland, Auckland, New Zealand, 2 Department of Paediatrics: Child and Youth Health, University of Auckland, Auckland, New Zealand, 3 University of Tasmania Rural Clinical School, Burnie, TAS, Australia, 4 Department of Health, Wellbeing and Social Care, The Open University, Milton Keynes, UK, 5 Department of Psychiatry, VU University Medical Center, Amsterdam, Netherlands, 6 School of Art and Design, Auckland University of Technology, Auckland, New Zealand, 7 Orygen Youth Health Research Centre, Centre for Youth Mental Health, University of Melbourne, Parkville, VIC, Australia Computer games are ubiquitous and can be utilized for serious purposes such as health and education. “Applied games” including serious games (in brief, computerized games for serious purposes) and gamification (gaming elements used outside of games) have the potential to increase the impact of mental health internet interventions via three processes. First, by extending the reach of online programs to those who might not otherwise use them. Second, by improving engagement through both game-based and “serious” motivational dynamics. Third, by utilizing varied mechanisms for change, including therapeutic processes and gaming features. In this scoping review, we aim to advance the field by exploring the potential and opportunities available in this area. We review engagement factors which may be exploited and demonstrate that there is prom- ising evidence of effectiveness for serious games for depression from contemporary systematic reviews. We illustrate six major categories of tested applied games for mental health (exergames, virtual reality, cognitive behavior therapy-based games, entertainment games, biofeedback, and cognitive training games) and demonstrate that it is feasible to translate traditional evidence-based interventions into computer gaming formats and to exploit features of computer games for therapeutic change. Applied games have considerable potential for increasing the impact of online interventions for mental health. However, there are few independent trials, and direct comparisons of game-based and non-game-based interventions are lacking. Further research, faster iterations, rapid testing, non-traditional collaborations, and user-centered approaches are needed to respond to diverse user needs and preferences in rapidly changing environments. Citation: Fleming TM, Bavin L, Stasiak K, Hermansson-Webb E, Merry SN, Cheek C, Lucassen M, Lau HM, Pollmuller B and Hetrick S (2017) Serious Games and Gamification for Mental Health: Current Status and Promising Directions. Front. Psychiatry 7:215. doi: 10.3389/fpsyt.2016.00215 Fleming TM, Bavin L, Stasiak K, Hermansson-Webb E, Merry SN, Cheek C, Lucassen M, Lau HM, Pollmuller B and Hetrick S (2017) Serious Games and Gamification for Mental Health: Current Status and Promising Directions. Front. Psychiatry 7:215. doi: 10.3389/fpsyt.2016.00215 Perspective published: 10 January 2017 doi: 10.3389/fpsyt.2016.00215 Perspective Keywords: serious gaming, games for health, gamification, computerized CBT, e-therapy, engagement Reviewed by: Craig Speelman Reviewed by: Craig Speelman, Edith Cowan University, Australia Anna Sort, Reviewed by: Craig Speelman, Edith Cowan University, Australia Anna Sort, University of Barcelona, Spain *Correspondence: Theresa M. Fleming t.fleming@auckland.ac.nz University of Barcelona, Spain *Correspondence: Theresa M. Fleming t.fleming@auckland.ac.nz Specialty section: This article was submitted to Public Mental Health, a section of the journal Frontiers in Psychiatry Received: 21 September 2016 Accepted: 28 December 2016 Received: 21 September 2016 Accepted: 28 December 2016 Published: 10 January 2017 Published: 10 January 2017 Edited by: Edited by: Fotios C. Papadopoulos, Uppsala University, Sweden ENGAGEMENT Games exploit varied processes for engagement. Hamari and Tuunanen (28) carried out a meta-synthesis of 12 studies and identified key motivational orientations that support engagement. These were achievement, exploration, sociability, domination, and immersion (for examples, see Table 2). A further motivation of escape (where a user plays to escape real-life problems) has also been reported (29). A user may have several or all of these motivations for playing a game, and predominant motivations may vary across demographic groups, contexts, and types of game (28). This model could be extended to reflect the proposition that users of applied games might also have a further dimension along which their motivation varies, that of the serious purpose itself, in the present case, interest in improving mental health. For users who are motivated in this way, it may be that just a few gaming elements might enhance engagement or even that gaming ele- ments are off-putting (30). For those less motivated to improve their mental health, stronger and more extensive gaming features may be critical. Games exploit varied processes for engagement. Hamari and Tuunanen (28) carried out a meta-synthesis of 12 studies and identified key motivational orientations that support engagement. These were achievement, exploration, sociability, domination, and immersion (for examples, see Table 2). A further motivation of escape (where a user plays to escape real-life problems) has also been reported (29). A user may have several or all of these motivations for playing a game, and predominant motivations may vary across demographic groups, contexts, and types of game (28). This model could be extended to reflect the proposition that users of applied games might also have a further dimension along which their motivation varies, that of the serious purpose itself, in the present case, interest in improving mental health. For users who are motivated in this way, it may be that just a few gaming elements might enhance engagement or even that gaming ele- ments are off-putting (30). For those less motivated to improve their mental health, stronger and more extensive gaming features may be critical. Game-based approaches for mental health are in their infancy. However, initial studies, mainly of serious games, suggest potential benefits for psychological and behavioral changes, or symptom relief (11–17). Alongside these scientific developments, there has been significant growth in smartphone apps for mental health (18–20). EXISTING RESEARCH: A SCOPING REVIEW In order to provide an overview of evidence for applied games, we carried out a review of systematic reviews. Our inclusion criteria were systematic review of serious games and/or gamified inter- ventions for mental health (treatment or prevention), published in the peer-reviewed literature from 2010 to June 2016 (reflecting the recent development of the field), and available in English. We searched PsycINFO and Medline using the terms (systematic review) AND (mental health OR mental illness OR depression OR anxiety) AND (treatment OR prevention) AND (computer OR internet OR digital OR online) AND (game OR gaming OR gamification OR play). After duplicates were removed, a total of 18 papers were identified. A Google search and check of citations yielded no further papers for inclusion. Titles and abstracts were independently scanned by two authors (TF and LB). From these, three systematic reviews, two of which also included meta- analyses, fitted the inclusion criteria (see Table 1).i ENGAGEMENT Some of these use gaming or gamification, but most have not been scientifically tested (18).i To date, the potential of serious games and gamification (together “applied games” or “applied gaming”) in mental health has been understudied. Where applied games have been researched, interventions are often poorly described, and diverse approaches are treated as homogeneous. In this perspective paper, we aim to advance the field by highlighting the scope of applied games for mental health. We consider the potential for applied gaming and motivational features that may be utilized. We exam- ine evidence of effectiveness from systematic reviews and dem- onstrate major types of tested applied games for mental health. Finally, we highlight promising directions for development. INTRODUCTION Computer games are played by millions of adolescents (1) and adults (2) around the world, with over 40% of the United States population playing computer games for 3 or more hours per week in 2015 (2). Computer games vary enormously along dimensions such goals, interaction, and involved technologies. They include fast mini-games, as simple as lining up dots in a row, through January 2017  |  Volume 7  |  Article 215 Frontiers in Psychiatry  |  www.frontiersin.org 1 Fleming et al. Applied Games for Mental Health to augmented reality (AR), and intricate shared worlds. Quality computer games have been shown to enhance concentration (3), improve retention of information (4), facilitate deep learning (5), and bring about behavior change (6). Over recent decades, computerized game-based approaches, both “serious games” and “gamification” have been developed for “serious” purposes: to educate, motivate, and/or persuade users, in educational, health, and other settings (7, 8). “Serious games” and “gamification” can be defined variously. However, both seek to employ games (or substantial game elements) in an effort to educate and change pat- terns of experience and/or behavior. Serious games utilize gaming as a central and primary medium (9). In contrast, gamification refers to the addition of game elements to non-game contexts (10). A gamified intervention may not operate as a full game experience but contains gaming elements, such as the scoring of points, in-game rewards, or engaging in quests. and social learning, allow users to try new skills in a safe yet reactive environment, and facilitate repeated rehearsal of new behavior (9, 25–27). Frontiers in Psychiatry  |  www.frontiersin.org Most studies reported promising results, although one universal program (ReachOutCentral) had mixed results. Interventions show promise, but the evidence is currently very limited Included programs (brief description) Nine studies, eight using Wii Sports, Wii Fit or Wii Fit Plus, or other commercial exergames and one purpose-built rehabilitation game. Each tested for impact on depression or depressive symptoms among at-risk groups (mainly among elderly) Nine studies related to six programs: Think Feel Do: 6 module computerized cognitive behavior therapy (cCBT) program aimed at children/ adolescents with depression or emotional distress, delivered on a personal computer (PC), includes game-like elements SPARX: 7 module cCBT program for adolescents with depression. Delivered on a PC. Utilizes a virtual therapist and fantasy world setting with overarching narrative and play-based learning. Rainbow SPARX: modified version of SPARX for sexual minority youth with depression The Journey: 7 module cCBT program for adolescents with depression. Delivered on a PC. Utilizes 2D fantasy setting, mini-games, and puzzles with overarching narrative gNAT island: cognitive behavior therapy (CBT)-based program delivered over 2–4 sessions with a therapist Journey to the Wild Divine: a “Freeze-Framer” game-based biofeedback in fantasy setting ReachOutCentral: a non-modular program involving interpersonal problem solving and role-playing, with the story of being new in town. Utilizes principles of CBT SPARX: 7 module cCBT program for adolescents with depression. Delivered on a PC. Utilizes a virtual therapist and fantasy world setting with overarching narrative and play-based learning. Rainbow SPARX: modified version of SPARX for sexual minority youth with depression The Journey: 7 module cCBT program for adolescents with depression. Delivered on a PC. Utilizes 2D fantasy setting, mini-games, and puzzles with overarching narrative gNAT island: cognitive behavior therapy (CBT)-based program delivered over 2–4 sessions with a therapist Journey to the Wild Divine: a “Freeze-Framer” game-based biofeedback in fantasy setting ReachOutCentral: a non-modular program involving interpersonal problem solving and role-playing, with the story of being new in town. Utilizes principles of CBT Programs that are not described as games or gamified by the original authors such as Beating the Blues conclusions would be premature. In the more narrowly focused review (31), only three Randomised Controlled Trials (RCTs) were identified; however, the authors reported a significant effect of exergames on depressive symptoms. As noted in each review, there was a lack of direct comparison of game-based to non- gaming interventions, and most studies were not independent of the developers. The research is at an early stage. exergames for depressive symptoms, primarily among older adults (31). Included programs (brief description) Eight studies used “repurposed games,” games developed for entertainment or commercial purposes and now tested for mental health. One was purpose-built. Li et al. (31) reported a significant effect of exergames on depressive symp- toms, with this being higher among more playful games, over those that included less game elements. However, these results should be interpreted with caution, given that only three of the studies were RCTs, and the sample sizes were small. Findings support effectiveness, but further research is needed Virtual Reality Games The three systematic reviews included six main types of applied games. Each of these categories is outlined below. An example of each, and potential mechanisms for therapeutic change and engagement, is given in Table 2. Virtual Reality (VR) and Augmented Reality (AR) can offer immersive interactivity in a virtual or augmented world, with visual, audio, and sometimes other sensory stimuli, to increase user engagement and possibly therapeutic impact (38, 39). Li et  al. (32) identified six studies of VR gaming interventions. They reported that these had positive results. However, only 2 had over 10 participants, and most of the original papers provide Li et al. (32) Systematic review and meta-analysis of game- based digital interventions for depression Studies of game-based digital applications for depression. Search terms not specified and inclusion criteria are not detailed; however, they must include reliable and valid measures of depression symptoms. Surveys, non-RCTs, and single case studies were included Identified 19 studies including: Exercise games for depression among older adults, using Nintendo Wii [as included in Ref. (31)] SPARX, ReachOutCentral, and Journey to the Wild Divine [as included in Ref. (9)] Virtual reality interventions for PTSD, phobia, or depression Entertainment games tested for impact on psychological symptomsi Studies of game-based digital applications for depression. Search terms not specified and inclusion criteria are not detailed; however, they must include reliable and valid measures of depression symptoms. Surveys, non-RCTs, and single case studies were included Identified 19 studies including: Exercise games for depression among older adults, using Nintendo Wii [as included in Ref. (31)] SPARX, ReachOutCentral, and Journey to the Wild Divine [as included in Ref. (9)] Virtual reality interventions for PTSD, phobia, or depression Entertainment games tested for impact on psychological symptoms Li et al. (32) Systematic review and meta-analysis of game- based digital interventions for depression THE POTENTIAL OF APPLIED GAMES Each tested for impact on depression or depressive symptoms among at-risk groups (mainly among elderly) Small, but significant effect of exergames on depressive symptoms. Larger scale robust studies needed THE POTENTIAL OF APPLIED GAMES Applied games are intriguing for mental health for three reasons: First, applied gaming offers “appealing potential,” as suggested by the popularity of computer games (21). Applied gaming approaches might increase the reach of mental health inter- ventions to some who might not otherwise access help. This is important given the large numbers of people who experience mental distress and yet receive no treatment (the mental health treatment gap) (22). i Each of the included papers was focused specifically on depression. Two reviews (9, 32) examined serious games for depression, while Li et al. (31) focused specifically on a subset of serious games, exergames. Fleming et al. (9) identified nine studies of six computerized interventions that utilized gaming as a major or primary component to treat or prevent depression. Li et al. (32) identified a higher number of studies, although exactly how many studies of how many interventions was not clearly reported and the search terms and inclusion criteria were not specified. As shown in Table 1, both Li et al. (32) and Fleming et al. (9) conclude that the utilization of serious games for depres- sion is promising, but that further research is needed. Given the heterogeneity of included studies and the nature of many of these being small trials, some not randomized or controlled, stronger Second, applied gaming has “engaging potential.” Users might experience gaming approaches as enjoyable, want to “win” the game, or see how the story unfolds. Such dynamics may contribute to reducing high attrition rates in naturalistically implemented internet-based interventions (23, 24).hf Third, applied gaming has “effectiveness potential,” because it provides opportunities for both conventional and non- traditional processes for behavior change and learning. For instance, applied gaming can offer immersive experiences where a state of “flow” can be achieved, provide rich sensory environments to support learning, allow behavioral modeling January 2017  |  Volume 7  |  Article 215 Frontiers in Psychiatry  |  www.frontiersin.org 2 Applied Games for Mental Health Fleming et al. Table 1 | Systematic reviews of applied games for mental health. Reference Scope Inclusion criteria Included programs (brief description) Conclusions Li et al. (31) Systematic review and meta-analysis of exergames for depression Studies of exergames to treat or prevent depression. Search terms and detailed inclusion criteria specified. Inclusion criteria include published in peer-reviewed literature and reliable and valid measures of depression symptoms at pre- and post-intervention. Li et al. (32) Systematic review and meta-analysis of game- based digital interventions for depression Studies of game-based digital applications for depression. Search terms not specified and inclusion criteria are not detailed; however, they must include reliable and valid measures of depression symptoms. Surveys, non-RCTs, and single case studies were included THE POTENTIAL OF APPLIED GAMES Non-RCTs included Nine studies, eight using Wii Sports, Wii Fit or Wii Fit Plus, or other commercial exergames and one purpose-built rehabilitation game. Each tested for impact on depression or depressive symptoms among at-risk groups (mainly among elderly) Small, but significant effect of exergames on depressive symptoms. Larger scale robust studies needed Fleming et al. (9) Systematic review of serious games for the treatment or prevention of depression Studies of computer games/serious games to treat or prevent depression. Search terms and detailed inclusion criteria specified. Inclusion criteria include published in peer-reviewed literature and reliable and valid measures of depression symptoms at pre- and post-intervention. Non-RCTs included Nine studies related to six programs: Think Feel Do: 6 module computerized cognitive behavior therapy (cCBT) program aimed at children/ adolescents with depression or emotional distress, delivered on a personal computer (PC), includes game-like elements SPARX: 7 module cCBT program for adolescents with depression. Delivered on a PC. Utilizes a virtual th i t d f t ld tti ith hi Most studies reported promising results, although one universal program (ReachOutCentral) had mixed results. Interventions show promise, but the evidence is currently very limited Table 1 | Systematic reviews of applied games for mental health. Reference Scope Inclusion criteria Li et al. (31) Systematic review and meta-analysis of exergames for depression Studies of exergames to treat or prevent depression. Search terms and detailed inclusion criteria specified. Inclusion criteria include published in peer-reviewed literature and reliable and valid measures of depression symptoms at pre- and post-intervention. Non-RCTs included Fleming et al. (9) Systematic review of serious games for the treatment or prevention of depression Studies of computer games/serious games to treat or prevent depression. Search terms and detailed inclusion criteria specified. Inclusion criteria include published in peer-reviewed literature and reliable and valid measures of depression symptoms at pre- and post-intervention. Non-RCTs included Table 1 | Systematic reviews of applied games for mental health. Included programs (brief description) Conclusions Nine studies, eight using Wii Sports, Wii Fit or Wii Fit Plus, or other commercial exergames and one purpose-built rehabilitation game. Each tested for impact on depression or depressive symptoms among at-risk groups (mainly among elderly) Small, but significant effect of exergames on depressive symptoms. Larger scale robust studies needed Included programs (brief description) Conclusions Nine studies, eight using Wii Sports, Wii Fit or Wii Fit Plus, or other commercial exergames and one purpose-built rehabilitation game. Exergames Exergames are sport or movement-based games. Nine of the included studies (across the three reviews) tested the use of January 2017  |  Volume 7  |  Article 215 Frontiers in Psychiatry  |  www.frontiersin.org 3 Applied Games for Mental Health Fleming et al. Table 2 | Examples of major types of tested applied games for mental health. Types of game Example Main therapeutic modality Increasing engagement Examples of game-focused engagement features (facilitating engagement via user game-related motivations) Serious purpose engagement features Achievement Exploration Sociability Domination Immersion Exergames Nintendo Wii Sports (33) Exercise, perhaps behavioral activation, social activity Improve performance on sports games to increase the avatar’s skill level and to turn “pro.” Features fitness test Explore different virtual sports settings Can play with others Compete against others to win tournaments Requires real-time movement to play the game. Real-time performance feedback Not described Virtual reality Virtual Iraq (34) Exposure therapy Habituate to progressively more provocative elements to progress through the recreated virtual environment User navigates through virtual 3D simulation of combat environments N/A Confront provocative elements in the traumatic scenario to gain control over emotional responses Immersive sensory 3D experience (rich 3D graphics and audio, olfactory, and vibrotactile stimuli) Clinician provides rationale Cognitive behavior therapy (CBT)-based serious games SPARX (16) CBT Complete quizzes, shoot gNats (gloomy negative automatic thoughts), and find gems to ultimately restore balance to the virtual world Explore virtual world Player interacts with virtual guide/ therapist and other in-game characters Defeat gNats Interactive narrative (“a hero to save the world”). Rich graphics Virtual guide explains how the game is helpful for difficulties and can be applied in real-life CBT-based gamification SuperBetter (35) CBT and positive psychology Gain points and “level-up.” Complete quests and power- ups. Defeat “bad guys” N/A Facebook integration and online forums. Encourages connections with allies Defeat “bad guys” (by overcoming specific obstacles) Fun bite-sized activities. Can create own power-ups and quests Program explicitly provides rationale for why intervention helps with resilience and mood Biofeedback Journey to the Wild Divine (36) Psychoeducation and relaxation- based exercises paired with biofeedback See progress over time via high-score tracking. Control physiology in order to successfully perform virtual activities, such as building a bridge or shooting a bow and arrow Explore serene virtual worlds/ environments Encounter various guides and mentors in the virtual environment N/A Controlling physiology to play the game. Exergames Rich graphics and immersive sound In-game explanation about how program works to prevent or relieve stress and enhance well-being Entertainment computer games for mental health Tetris (37) Redirection of cognitive resources Clear lines to successfully level-up N/A Can play against others and watch tournaments. Online forums Defeat other players in multi-level modes and competitions. Leaderboards Playing against the clock (time pressure) Therapist may provide explanation little detail regarding the game. Hence an alternative example, that of Virtual Iraq for PTSD (34) is given in Table 2. Promising findings from VR interventions, including non-game-based VR interventions (40) along with the popularity of commercial AR games suggest promise in this area Cognitive Behavior Therapy (CBT)-Based Serious Games and Gamification Five of the interventions identified in the systematic reviews were multilevel CBT-based programs, often utilizing a fan- d d d b l d f Table 2 | Examples of major types of tested applied games for mental health. Cognitive Behavior Therapy (CBT)-Based Serious Games and Gamificationi Cognitive Training Gamesh The reviews included one study using cognitive training games. Alvarez et al. (45) tested number and letter sequence training games to reduce cognitive impairment in 31 depressed students. In this study, the game had positive results on cognitive impair- ment, but direct effects on mood were not tested. A further example, SuperBetter, has been tested since the publication of the systematic reviews; however, it is included here (Table 2), as it illustrates new opportunities for applied games. SuperBetter is a positive psychology program in which players earn points and “level-up,” as they progress through activities. Rather than being a narrative-based serious game, SuperBetter offers a more gamified approach, with scoring and rewards. In another point of difference, SuperBetter allows “snacktivity,” frequent, brief activities that can be done a few minutes at a time, every day or more often (therefore like “snacking” behavior). This pattern of use is common in contemporary online apps but is not common in tested online mental health tools to date, many of which follow traditional clinical therapeutic models (e.g., weekly sessions of 30 minutes or more). In a recent RCT, participants who were asked to play SuperBetter for 10 minutes daily over 30 days experienced significantly greater reductions in depres- sive symptoms and anxiety compared to a waitlist control group; however, attrition was high (35). Cognitive Behavior Therapy (CBT)-Based Serious Games and Gamificationi little detail regarding the game. Hence an alternative example, that of Virtual Iraq for PTSD (34) is given in Table 2. Promising findings from VR interventions, including non-game-based VR interventions (40) along with the popularity of commercial AR games, suggest promise in this area. little detail regarding the game. Hence an alternative example, that of Virtual Iraq for PTSD (34) is given in Table 2. Promising findings from VR interventions, including non-game-based VR interventions (40) along with the popularity of commercial AR games, suggest promise in this area. Serious Games and Gamificationi Five of the interventions identified in the systematic reviews were multilevel CBT-based programs, often utilizing a fan- tasy environment, and designed to be completed at a rate of January 2017  |  Volume 7  |  Article 215 Frontiers in Psychiatry  |  www.frontiersin.org 4 Fleming et al. Applied Games for Mental Health post-intervention levels of depression and anxiety compared to those in a waitlist control group (36). approximately one level per week on a personal computer. Each of these programs was aimed at children or young peo- ple. Each reported positive or promising results, except for ReachOutCentral, which had mixed findings and has since been retired. Of these, SPARX is described in the greatest depth and is outlined in Table 2. Entertainment Computer Gameshf p This category of interventions is quite different from those that translate an evidence-based mental health therapy (such as CBT or exposure therapy) into a game format. In this grouping, entertainment video games were tested for effects on mood. Several studies of this nature were included in Li et al. (32). In the first of these, students were given a “frustrating task” and then 45 minutes of violent video game play or a control condi- tion. Those playing the violent game reported lower symptoms of depression immediately following the intervention in one study (41). However, in a second study, no effect for depression was reported (42). In a further study, Rossoniello et al. (43) reported subjects had improved mood immediately following playing a casual video game Bejeweled II. These entertainment games were proposed to affect mood via emotional regulation, stress release, or social support pathways.f We have highlighted that applied gaming interventions vary widely, in terms of types of games and in terms of features that might be appealing and motivating. It would be valuable to explore popular engaging game types for target groups and compare features in those games with those used in games for mental health. For example, highly accessed games currently include smart phone-based mini-games, massive multiplayer games where millions of players interact, games that allow user- generated content, and games that are linked to popular social media platforms (2, 46, 47). These approaches did not feature strongly in the included interventions. A different form of using commercial games for mental health is the use of the puzzle game Tetris for therapeutic purposes. In Tetris, players strategically move, rotate, and drop “Tertriminos” to complete horizontal lines. Engaging in this visuospatial cognitive activity when memories are activated is proposed to help impede traumatic flashbacks in PTSD by inter- fering with memory consolidation (37). Preliminary findings have also shown promise for using Tetris to reduce cravings (44). Despite the potential for applied gaming, there are challenges in proposing such approaches, including costs, speed of imple- mentation, issues of face validity, and user preferences. Many gamers will be familiar with commercially produced games, which often involve development budgets in the tens of mil- lions of dollars (48, 49). Even simple mini-games undergo rapid advances, with new versions regularly released. Funding limita- tions make it challenging to develop and maintain comparable scientific initiatives. FUTURE DIRECTIONS It is demonstrably feasible to translate traditional evidence-based interventions, such as CBT and exposure therapies, to computer gaming formats. Included interventions have shown that it is also possible to exploit features of computer games for therapeutic change using mechanisms that are not traditionally salient in psychological therapies, such as in the example of Tetris for PTSD. Further, the potential for positive mental health outcomes from casual play of entertainment games is worthy of explora- tion, as this might offer opportunities to reach large numbers of people. Each of these approaches appears to be promising. However, this evidence is at an early stage, and independent, larger robust studies are needed. Further, there is a lack of data regarding whether gaming-based approaches might be more appealing than non-gaming mental health interventions for users with different motivations, including both those who do and those who do not want to access help for distress. This is a question for future research. Similarly, findings from trials and user reviews of some commercially available programs suggest that applied gaming approaches can be engaging; however, many analyses do not report engagement or ongoing use. The assertion that quality gaming dynamics will increase engagement, at least for some users, should also be tested in future research. Biofeedback-Based Gamesh The included reviews described two biofeedback-based games: the Journey to the Wild Divine and Freeze-Framer 2.0. In each of these, users rehearse relaxation skills while receiving visual feedback on physiological indicators (measured using a sensor attached to the ear lobe or the fingertips). In a small trial, youth receiving the intervention had significantly lower i Speed of implementation is also critical (49). Traditional scientific methods of sequential development, piloting, refine- ment, testing in a RCT, followed by publication, and independent January 2017  |  Volume 7  |  Article 215 Frontiers in Psychiatry  |  www.frontiersin.org 5 Applied Games for Mental Health Fleming et al. uptake are diverse and go beyond many science or clinically focused teams. Further, the costs of developing interventions may be more easily borne across sectors and jurisdictions. – Rapid testing and implementation. User expectations in technology-driven approaches and gaming evolve rapidly. Innovative, rapid research designs and planning for imple- mentation are needed to ensure that interventions are still appealing when they are ready for implementation. replication, prior to real-world implementation, will ensure that evidence-based applied gaming lags behind the rapidly shifting commercial hardware and software environments. Newer meth- odological approaches are available (24).f uptake are diverse and go beyond many science or clinically focused teams. Further, the costs of developing interventions may be more easily borne across sectors and jurisdictions. – Rapid testing and implementation. User expectations in technology-driven approaches and gaming evolve rapidly. Innovative, rapid research designs and planning for imple- mentation are needed to ensure that interventions are still appealing when they are ready for implementation. – Rapid testing and implementation. User expectations in technology-driven approaches and gaming evolve rapidly. Innovative, rapid research designs and planning for imple- mentation are needed to ensure that interventions are still appealing when they are ready for implementation. Rather different challenges include those of face validity and diverse user motivations. People often do not seek help for mental health issues until these are relatively serious (22), in which case a game may be perceived as trivializing or inappropriate (Fleming et  al., manuscript in preparation). Conversely, those who do not want therapeutic help might be irked that their game has a mental health agenda as suggested by the gamergate phenomena (50). These factors should be investigated in future research. The diversity of gaming approaches and user motivations also pose challenges. Not all games are successful. FUNDING No specific funds were received for the preparation of this paper. All authors are staff or PhD candidates, and the manuscript was prepared as part of these roles. – Intersectorial and international collaborations. The skills required to develop engaging and effective games with high CONCLUSION In this perspective paper, we have illustrated the potential of serious games and gamification for mental health and high- lighted that there is serious work still to be done. The field is ready for further development, as the feasibility and range of possible approaches has been shown, and as there is an urgent need for engaging, appealing effective mental health interven- tions which reach large numbers of people. Future research should include independent trials and direct comparisons of game-based and non-game-based options for varied user groups. We have previously proposed four key ways of maximizing the impact of E-therapies and serious games in mental health. Utilizing this framework, as identified by the Collaboration on Maximizing the impact of E-therapy and Serious Gaming (COMETS) (24), we believe that to achieve significant mental health benefits, the field requires: AUTHOR CONTRIBUTIONS – User-centered approaches. This necessitates exploring the motivations and preferences of user groups for addressing their mental health needs. The field of game development has illustrated that this is unlikely to be through one approach or single engagement factor for all users.ff TF drafted the paper, coordinated the input from other authors, and was responsible for the full submission. LB assisted with drafting and completing all aspects of the paper. All other authors contributed substantially to the draft and approved final submission. – Engaging, as well as effective interventions. Even very effective interventions will have limited population impact if they are not engaging. 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Cyberpsychol Behav Soc Netw (2016) 19(1):34–42. doi:10.1089/cyber.2015.0366 h Conflict of Interest Statement: The intellectual property for SPARX is held by Conflict of Interest Statement: The intellectual property for SPARX is held by UniServices at the University of Auckland. Any proceeds from licensing or selling SPARX outside of New Zealand will be shared in part with UniServices and SM, KS, TF, M. Shepherd, and ML. Conflict of Interest Statement: The intellectual property for SPARX is held by UniServices at the University of Auckland. Any proceeds from licensing or selling lh p p y y UniServices at the University of Auckland. REFERENCES Any proceeds from licensing or selling 32. Li J, Theng YL, Foo S. Game-based digital interventions for depression therapy: a systematic review and meta-analysis. Cyberpsychol Behav Soc Netw (2014) 17(8):519–27. doi:10.1089/cyber.2013.0481 SPARX outside of New Zealand will be shared in part with UniServices and SM, KS, TF, M. Shepherd, and ML. SPARX outside of New Zealand will be shared in part with UniServices and SM, KS, TF, M. Shepherd, and ML. 33. Rosenberg D, Depp CA, Vahia IV, Reichstadt J, Palmer BW, Kerr J, et  al. Exergames for subsyndromal depression in older adults: a pilot study of a novel intervention. Am J Geriatr Psychiatry (2010) 18(3):221–6. doi:10.1097/ JGP.0b013e3181c534b5 Copyright © 2017 Fleming, Bavin, Stasiak, Hermansson-Webb, Merry, Cheek, Lucassen, Lau, Pollmuller and Hetrick. 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. 34. Rizzo A, Difede J, Rothbaum BO, Daughtry JM, Reger G. Virtual reality as a tool for delivering PTSD exposure therapy. In: Safir MP, Wallach HS, Rizzo A, editors. Post-Traumatic Stress Disorder: Future Directions in Prevention, Diagnosis, and Treatment. New York: Springer (2013). January 2017  |  Volume 7  |  Article 215 Frontiers in Psychiatry  |  www.frontiersin.org
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©2023 Jørgen Jensehaugen. This is an Open Access article distributed under the terms of the Creative Commons Attribution 4.0 International License (https://creativecommons.org/licenses/BY/4.0/), allowing third parties to copy and redistribute the material in any medium or format and to remix, transform, and build upon the material for any purpose, even commercially, provided the original work is properly cited and states its license. Citation: Jensehaugen,  J. (2023). Kartet og terrenget: Israel, Palestina og norsk utenrikspolitikk. Internasjonal Politikk, 81(2), 205–210. http://dx.doi.org/10.23865/intpol.v81.5670 Kontaktinformasjon: Jørgen Jensehaugen, e-post: jorjen@prio.org Kartet og terrenget: Israel, Palestina og norsk utenrikspolitikk Jørgen Jensehaugen Fredsforskningsinstituttet PRIO, Norge Replikk Replikk Replikk rgang 81, Nummer 2, side 205–210, 2023, ISSN 1891-1757, www.tidsskriftet-ip.no, Publisert juni 2023 Kontaktinformasjon: Jørgen Jensehaugen, e-post: jorjen@prio.org Jørgen Jensehaugen Jørgen Jensehaugen Hanssen-Bauers tekst bør forstås både som en faglig kritikk av min analyse og som en primærkilde på hvordan norske utenrikspolitiske aktører tenker og handler. På mange måter er Jon Hanssen-Bauers artikkel som et internt notat å regne. Han deler interne vurderinger som vi forskere ettersøker, men som vi ofte ikke får tak i grunnet arkivenes graderingsregler. Kjernen i Hanssen-Bauers kritikk er fordelt på flere områder. Jeg har strenge plassbegrensninger, så jeg skal kun ta for meg et utvalg. Når det gjelder de temaene jeg ikke får dekket, så stoler jeg på at leserne av Internasjonal Politikk gjør en egenvurdering ved å kombinere min artikkel, Hanssen- Bauers kritikk og videre undersøkelser av saksforholdene. Sammendrag Jon Hanssen-Bauer argumenterer for at tostatsløsning lever og at kritikken av norsk politikk rammer feil. I denne replikken argumenterer jeg for at vi analy- serer den samme virkeligheten, men at vi har veldig forskjellig forståelse av hva denne politiske virkeligheten betyr for situasjonen på bakken i Israel/Palestina. Det finnes ikke noe godt alternativ til tostatsløsningen, men verdenssamfun- net (inkludert Norge) må jobbe med den realiteten som finnes. Den realiteten innebærer dessverre at israelsk ekspansasjon og amerikansk aksept for denne har umuliggjort den løsningen. Nøkkelord: Israel • Palestina • AHLC • Sikkerhetsrådet • tostatsløsning • Norge Nøkkelord: Israel • Palestina • AHLC • Sikkerhetsrådet • tostatsløsning • Norg I sitt lange svar til min artikkel (Jensehaugen, 2023) om Norges Israel–Palestina- politikk under utenriksminister Ine Eriksen Søreide uttrykker den tidligere norske diplomaten Jon Hanssen-Bauer (2023) en dyp skepsis til min analyse. Det ønsker jeg velkommen. Han har spilt en meget sentral rolle i å utforme den politkken jeg ana- lyserer, og en dialog mellom forskere og praktikere er et fundament for at begge skal kunne gå gjennom en læringsprosess. Det at både tidligere utenriksminister Søreide, nåværende utenriksminister Anniken Huitfeldt (Fransson, 2023) og nå Hanssen- Bauer har tatt seg tid til å kommentere min artikkel er sjelden kost for en forsker, og det er en debatt jeg både verdsetter og tar alvorlig. 205 Kløften i realitetsbeskrivelse Vi beskriver begge to en begredelig utvikling, men der hvor jeg ser Norge som et hardtarbeidende vitne til at tostatsprosjektet rakner, ser Jon Hanssen-Bauer en hero- isk norsk redningsinnsats som holder håpet i live. Jeg håper selvfølgelig at han har rett, men situasjonen på bakken peker på det motsatte. Det er ikke Norges feil, men det er virkeligheten. Den store utfordringen forblir at tostatsløsningen er den beste, og i praksis den eneste vi har. Hvis den er død, hva da? Jeg har ikke et godt svar, og etter min mening er det ingen som har det. Men i en søken etter gode svar er det viktig at kartet passer terrenget. De siste årene har det åpnet seg en analytisk kløft mellom hvordan diploma- ter, i det minste offentlig, og analytikere beskriver situasjonen på bakken. En lang rekke politiske analytikere, forskere og menneskerettighetsorganisasjoner bruker varianter av begrep som «apartheid» (Al-Haq, 2022; Amnesty International, 2022; B’Tselem, 2021; Human Rights Watch, 2021) eller énstats-realitet (Barnett et al., 2023a, 2023b; Beinart, 2020). De anerkjente statsviterne Marc Lynch og Shibley Telhami (2021) har i flere runder utført meningsmålinger blant Midtøsten-forskere om temaet. I 2021 fant de at 65 prosent mente at situasjonen kunne beskrives som en «énstats-realitet som kan sammenlignes med apartheid», mens 57 prosent mente at tostatsløsningen ikke lenger var mulig. Da undersøkelsen ble gjentatt i 2023 var andelen steget til 68 og 63 prosent (Lynch & Telhami, 2023). Dette er ikke et samlet fagmiljø, men det er en bemerkelsesverdig dreining i retning av slike konklusjoner blant faglige tungvektere. Slike vurderinger, når det kommer fra så tunge faglige miljøer, kan ikke avfeies som rent politiske standpunkt, slik både Søreide (Fransson, 2023) og Hanssen-Bauer (2023, s. 202–203) forsøker å gjøre. Selv Hanssen-Bauers hovedkilde (Makovsky, 2022, s. viii) i kritikken mot mitt postulat om at tostatsløsningen døde i disse årene, gjør det tydelig at «it is not politically possible to resolve the Israeli-Palestinian conflict through the nego- tiated establishment of a Palestinian state in the immediate or even the medium term». Forskjellen dreier seg om hva slags konklusjon vi trekker på lang sikt. Her hevder Makovsky at selv om befolkningsveksen i de israelske bosettingene har vært på omtrent seksti prosent siden 2009, er ikke befolkningsmengden som bor i disse bosettingen det som står i veien for en løsning. Det som er relevant, mener han, er størrelsen på det geografiske fotavtrykket til bosetterne øst for muren. Empiri Et av Hanssen-Bauers (2023, s. 189) sentrale faglige ankepunkter er at min tekst base- rer seg på lite empiri. Jeg har ikke, påpeker han, intervjuet noen norske diplomater eller andre «med kjennskap til norsk politikk». Han har rett i at jeg ikke siterer noen slike intervjuer i teksten, men det er feil at jeg ikke har utført dem. Jeg har jobbet med dette feltet i omtrent femten år, og i flere sammenheng er i disse årene, også under Søreides tid som utenriksminister, har jeg hatt lengre samtaler og møter med norske diplomater i Israel, Palestina og i Norge. Det inkluderer med Jon Hanssen-Bauer selv ved flere anledninger. Slike samtaler er bakgrunnsmateriale for min forståelse og, nett- opp fordi disse har vært uformelle, kan de ikke refereres til direkte. Dette vet Hanssen- Bauer godt. Samtidig er det akkurat derfor teksten til Hanssen-Bauer blir verdifull som primærkilde. Det er to hovedgrunner til at kildene jeg gjengir er de offentlige talene (i AHLC, FNs sikkerhetsråd og diverse andre fora). Den første er at disse gir uttrykk for den politikken Norge offisielt førte. Jeg er klar over at det skjer mye på bakrommet og at det der (forhåpentligvis) var runder med kritisk selvgranskning. En slik selv- granskning får ikke noe stort spillerom i politikken med mindre den også frontes offentlig. Jeg skulle veldig gjerne hatt dypere innsikt i disse selvgranskningene. Det er en luksus jeg vanligvis har som historiker når jeg kan vurdere arkivmateriale, men det har jeg altså ikke hatt i dette tilfellet. Det får man vanligvis ikke tilgang til før etter et par tiår. Den andre grunnen til at jeg primært lener meg på de dokumentene jeg gjør, er at få tjenestefolk er villige til å gå ut «on the record» med en dyptgripende kri- tisk tilnærming til egen politikk. Hanssen-Bauers tekst blottstiller en del av denne tenkningen på en måte jeg ikke kunne fått til med de kildene jeg har. Det er her den er nyttig som en primærkilde. Det er selvfølgelig umulig å vite hvor representativ Hanssen-Bauer er i Utenriksdepartementet, men han har lang fartstid på dette feltet, og han har innehatt flere viktige posisjoner, blant annet som Norges ambassadør til Israel i perioden 2015–2020. Hans vurderinger må tas på alvor som tungtveiende. Detaljnivået i hans fremstilling av arbeidet i AHLC er spesielt verdifullt og kompli- menterer fint min analyse. 206 Kartet og terrenget: Israel, Palestina og norsk utenrikspolitikk Jørgen Jensehaugen Et annet omstridt poeng her, er størrelsen på dette fotavtrykket. Allerede i 2007 estimerte Verdensbanken at det totale settet av israelske restriksjoner gjør at palestinere kun har tilgang til femti prosent av Vestbredden (World Bank, 2007). Det som skjer på bakken er ikke bare økende israelsk kontroll, men en palestinsk territoriell fraksjonering. En uavhengig palestinsk stat er betinget av at territoriet kan henge sammen. Dette er et typisk eksempel på hvordan samme empiri kan føre til motsatte slutninger. Hanssen-Bauer (2023, s. 200) vil ha det til at norsk politikk er at «prioritet gis til å løse spørsmålene om territoriet og grensene før det er for sent». Det er en fin målsetting, men min konklusjon er dessverre at vi har passert det punktet. Det er teoretisk mulig å reversere, men det er ikke i den retning poli- tikken beveger seg. Kløften i realitetsbeskrivelse Det er flere problematiske aspekter her. Det første er implikasjonen om at boset- terne vest for muren ikke er et hinder for tostatsløsningen. Forhandlingene mellom PA og Israel har pekt i retning av at de store bosettingsblokkene vest for muren kan bli del av Israel gjennom gjensidig anerkjente landbytter, men jo mer de vokser, jo vanskeligere er dette å få til. Også de er ulovlige i henhold til internasjonal lov, så det er uheldig å ha som utgangspunkt at deres vekst ikke er problematisk. At en tidligere norsk diplomat er så tydelig på at han tenker det, gir oss en innsikt vi ikke får gjen- nom de offentlige kildene jeg har brukt. 207 Trump og tostatspillarene Trump-planen, kombinert med andre konkrete amerikanske politiske skifter som skjedde under Trump-administrasjonen, var ødeleggende for at en tostatsløs- ning er realiserbar i overskuelig framtid. Hanssen-Bauer beskriver mange av de samme politiske hendelsene som meg, men trekker andre konklusjoner. Han viser at Trump åpnet for at Israel kunne annektere sytti prosent av område C. For å sette dette i en territoriell kontekst, utgjør område C seksti prosent av Vestbredden (B’Tselem, u.å.). Trumps fredsplan la opp til at Israel kunne beholde alle sine bosettinger, også utpostene, og støttet den fullstendige annekteringen av hele Stor- Jerusalem. Hanssen-Bauer presenterer dette som en forhandlingsposisjon. Men utenriksminister Mike Pompeo skiftet faktisk USAs standpunkt om de israelske bosettingene til at de ikke var et brudd på internasjonal lov, helt uavhengig av fremgang i forhandlinger (BBC, 2019). Når Hanssen-Bauer (2023, s. 190) insis- terer på at «amerikanerne fastholdt [...] den politiske støtten til tostatsløsningen», leser vi implikasjonene av slik politikk helt forskjellig. Vi er også helt uenige om returrettsprinsippet, som er både nedfelt i FN-resolusjon 194 og i generell interna- sjonal flyktninglovgivning (Albanese & Takkenberg, 2020, s. 345–375). Som norsk diplomat kan man ikke fornekte internasjonal lov utelukkende fordi Israel mener den ikke er gjeldende. Som et avsluttende poeng vil jeg fremheve at teksten til Hanssen-Bauer anty- der at mitt bruk av begrepet «vitne» er vanskelig å svelge fordi det har den uheldige implikasjon at man bare stod og så på. Det var ikke min intensjon, men jeg skjøn- ner at det kan tolkes slik. Mitt syn er at norske diplomater jobber hardt, målrettet og at de jobber for en viktig sak. De spiller også en relativt stor rolle, spesielt som leder for AHLC, men de siste (ti)årene har de jobbet i så sterk motvind at de strukturene og aktørene som ikke har ønsket tostatsløsningen har vunnet til slutt. Min kritikk er ikke primært mot Norge som aktør eller mot konkrete ting Norge har gjort (eller ikke gjort), men det reflekterer et ønske om at debatten om veien 208 Kartet og terrenget: Israel, Palestina og norsk utenrikspolitikk videre må føres basert på en felles realitetsorientering. Det nytter ikke å bare si at alle egentlig ønsker tostatsløsningen, når sentrale aktører daglig jobber aktivt mot en slik løsning. Om forfatteren Jørgen Jensehaugen er seniorforsker ved Fredsforskningsinstituttet PRIO. Han har en doktorgrad i moderne i historie fra NTNU. Han har jobbet med Israel/Palestina- konflikten i en årrekke, og har publisert to bøker om temaet: Arab-Israeli Diplomacy under Carter: The U.S., Israel and the Palestinians (I. B. Tauris, 2018) og En kort introduksjon til Israel–Palestina-konflikten (Cappelen Damm Akademisk, 2022). Referanser Al-Haq. (2022, 29. november). Israeli apartheid: Tool of Zionist settler colonialism. https://www.alhaq.org/ advocacy/20931.html Albanese, F. P. & Takkenberg, L. (2020). Palestinian refugees in international law. (2. utg.). Oxford University Press. Amnesty International. (2022). Israel’s apartheid against Palestinians. https://www.amnesty.org/en/do mde15/5141/2022/en/ B’Tselem. (2021). A regime of Jewish supremacy from the Jordan River to the Mediterranean Sea: This is apartheid. https://www.btselem.org/publications/fulltext/202101_this_is_apartheid B’Tselem. (u.å.). Area C. https://www.btselem.org/topic/area_c B’Tselem. (u.å.). Area C. https://www.btselem.org/topic/area_c B’Tselem. (u.å.). Area C. https://www.btselem.org/ . (u.å.). Area C. https://www.btselem.org/topic/area_ BBC. (2019, 18. november). US says Israeli settlements are no longer illegal. https://www.bbc.com/news/world- middle-east-50468025 Barnett, M., Brown, N., Lynch, M. & Telhami, S. (2023a, 14. april). Israel’s one-state reality: It’s time to give up on the two-state solution. Foreign Affairs, 120–135. https://www.foreignaffairs.com/middle-east/israel- palestine-one-state-solution p Barnett, M., Brown, N., Lynch, M. & Telhami, S. (Red.). (2023b). The one state reality: What is Israel/Palestine? Cornell University Press. Beinart, P. (2020). Yavne: A Jewish case for equality in Israel-Palestine. Jewish Currents. https://jewishcurrents. org/yavne-a-jewish-case-for-equality-in-israel-palestine Fransson, L. (2023, 11. februar). Ekspert om Israel og Palestina: Norge mislyktes totalt. Dagblade www.dagbladet.no/nyheter/norge-mislyktes-totalt/78356308 Hanssen-Bauer, J. (2023). Eleganse og empiri: Et innsideperspektiv på Ine Eriksen Søreide og konflikten mellom Israel og palestinerne. Internasjonal Politikk, 81(2), 188–204. Human Rights Watch. (2021). A threshold crossed: Israeli authorities and the crimes of apartheid and persecution. https://www.hrw.org/report/2021/04/27/threshold-crossed/israeli-authorities-and-crimes-apartheid-and- persecution p haugen, J. (2023). Et godt posisjonert vitne til en varslet tragedie: Ine Eriksen Søreide og konflikt mellom Israel og palestinerne. Internasjonal Politikk, 81(1), 14–25. Lynch, M. & Telhami, S. (2021, 17. september). Academic experts believe that Middle East politics are actually getting worse. Washington Post. https://www.washingtonpost.com/politics/2021/09/17/academic-experts- believe-that-middle-east-politics-are-actually-getting-worse/ Lynch, M. & Telhami, S. (2023). Middle East scholar barometer. https://criticalissues.umd.edu/sites/criticalissues. umd.edu/files/March-April%202023%20MESB%20Results.pdf i p p vsky, D. (2022). Beyond the blocs: Jewish settlement east of Israel’s security barrier and how to avert the slide a one-state outcome The Washington Institute for Near East Policy i p p y, D. (2022). Beyond the blocs: Jewish settlement east of Israel’s security barrier and how to avert the slide to i Makovsky, D. (2022). Beyond the blocs: Jewish settlement east of Israel’s security barrier and how a one-state outcome. The Washington Institute for Near East Policy. World Bank Technical Team. (2007, 9. mai). Movement and access restrictions in the West Bank: Uncertainty and inefficiency in the Palestinian economy. World Bank Technical Team. https://www.un.org/unispal/document/ auto-insert-209464/ 209 Jørgen Jensehaugen Keywords: Israel • Palestine • AHLC • Security Council • two-state solution • N Keywords: Israel • Palestine • AHLC • Security Council • two-state solution Norway Abstract in English g The Map and the Territory: Israel, Palestine and Norwegian Foreign Policy Jon Hanssen-Bauer argues that the two-state solution is alive and that my critique of Norwegian foreign policy falls short. In this reply I argue that we analyse the same reality, but that we draw very different conclusions about the implications of this political reality for the situation in Israel/Palestine. While there is no good alternative to the two-state solution, the international com- munity (including Norway) must accept the existing reality. Unfortunately, that is one where Israeli expansion and the US acceptance of this has made that solution impossible. Keywords: Israel • Palestine • AHLC • Security Council • two-state solution • y Norway 210
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Food Supplements for Skin Health: In Vitro Efficacy of a Combination of Rhodiola rosea, Tribulus terrestris, Moringa oleifera and Undaria pinnatifida on UV-Induced Damage
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Citation: Paganelli, A.; Pisciotta, A.; Bertani, G.; Di Tinco, R.; Tagliaferri, N.; Orlandi, G.; Azzoni, P.; Bertoni, L. Food Supplements for Skin Health: In Vitro Efficacy of a Combination of Rhodiola rosea, Tribulus terrestris, Moringa oleifera and Undaria pinnatifida on UV-Induced Damage. Cosmetics 2023, 10, 83. https:// doi.org/10.3390/cosmetics10030083 Keywords: nutraceuticals; oral supplements; Rhodiola; Tribulus; Moringa; skin aging; photoaging; inflammation; senescence; UV damage Academic Editors: Sophia Letsiou, Patrícia Rijo and André Rolim Baby cosmetics cosmetics cosmetics cosmetics Food Supplements for Skin Health: In Vitro Efficacy of a Combination of Rhodiola rosea, Tribulus terrestris, Moringa oleifera and Undaria pinnatifida on UV-Induced Damage Alessia Paganelli 1,2,†, Alessandra Pisciotta 3,† , Giulia Bertani 2,3, Rosanna Di Tinco 3, Nadia Tagliaferri 3, Giulia Orlandi 3 , Paola Azzoni 3 and Laura Bertoni 3,* 1 Dermatologic Surgery Unit, Modena University Hospital, Via del Pozzo 71, 41124 Modena, Italy; alessia.paganelli@gmail.com 2 PhD Course in Clinical and Experimental Medicine, University of Modena and Reggio Emilia, 41121 Modena, Italy; giulia.bertani@unimore.it 3 Department of Surgery, Medicine, Dentistry and Morphological Sciences with Interest in Transplant, Oncology and Regenerative Medicine, University of Modena and Reggio Emilia, 41124 Modena, Italy; alessandra.pisciotta@unimore.it (A.P.); rditinco@unimore.it (R.D.T.); nadia.tagliaferri@unimore.it (N.T.); giulia.orlandi@unimore.it (G.O.); paola.azzoni@unimore.it (P.A.) * Correspondence: laura.bertoni@unimore.it † These authors contributed equally to this work. Abstract: An increasing number of people seek treatment for aging-related conditions. Plant-derived nutraceuticals are currently of great interest in the setting of dermo-cosmetic studies for their preven- tive role in photoaging. We conducted an in vitro study on the possible preventive properties against photoaging of a commercially available product (Venerinase®). A mixture of Rhodiola rosea, Tribulus terrestris, Moringa oleifera, Undaria pinnatifida, folic acid and vitamin B12 (Venerinase®) was tested for its potential anti-aging effects on the skin in vitro. Conventional histology, immunofluorescence and real time PCR were employed in the research protocol. The tested product was proven to prevent UV-induced morphological changes both in keratinocytes and fibroblasts. Moreover, senescence- related and proinflammatory pathways commonly triggered by UV exposure were demonstrated to be inhibited by Venerinase® pretreatment. Our results support the potential clinical benefits of oral supplements for the treatment and/or prevention of cutaneous photodamage. Article Article Food Supplements for Skin Health: In Vitro Efficacy of a Combination of Rhodiola rosea, Tribulus terrestris, Moringa oleifera and Undaria pinnatifida on UV-Induced Damage 1. Introduction Skin aging is a complex biological process characterized by progressive skin changes, commonly further classified as intrinsic or extrinsic aging. Intrinsic skin aging, also known as chronological cutaneous aging, is due to the passing of time. Chrono-aging can be influenced by several factors including the skin phototype, ethnic- ity, telomere length and hormonal and genetic factors [1–3]. With regard to cutaneous pigmentation, for example, not only are non-melanoma skin cancers (NMSCs) far rarer in dark-skinned individuals, but a lower variability in terms of skin quality is also observed between sun-exposed and non-exposed areas. Taken together, these data emphasize the close relationship between intrinsic and extrinsic factors in cutaneous aging [1,2]. On the other hand, external factors play a pivotal role in extrinsic aging, with chronic sun exposure and ultraviolet (UV) irradiation determining progressive damage to the skin [4]. While UVB rays cause inflammatory changes and DNA damage in the epidermis and papillary dermis, UVA rays induce dermal elastosis through an oxidative-stress-mediated mechanism [5]. However, UVB and UVA rays often share common biological effects and frequent overlaps in terms of the clinical consequences Received: 21 April 2023 Revised: 10 May 2023 Accepted: 18 May 2023 Published: 19 May 2023 Copyright: © 2023 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/cosmetics Cosmetics 2023, 10, 83. https://doi.org/10.3390/cosmetics10030083 Cosmetics 2023, 10, 83 2 of 12 of chronic exposure. Clinical manifestations of cutaneous aging include seborrheic ker- atoses, solar lentigo, wrinkles, yellowing of the skin, Favre–Racouchot disease, actinic keratoses and skin cancers [6,7]. From a more microscopic point of view, cutaneous aging is characterized by epidermal and dermal thinning, reduced cutaneous vascularization, loss and/or fragmentation of collagen, elastic fibres and proteoglycans [8]. Due to the recent increase in lifespan, not only do more and more patients seek treatment for cutaneous malignancies, but they also return to aesthetic procedures, cos- metic products and oral supplements to prevent and/or treat aging-related dermatological changes [9,10]. Oxidative stress has been demonstrated to play a key role in both skin photo- and chrono-aging; therefore, antioxidants are nowadays considered valid therapeutic tools in the field of skincare [11,12]. Ascorbic acid (commonly referred to as vitamin C) is probably the most renowned antioxidant worldwide and exerts a protective role on the skin from sun damage [13,14]. Vitamin C is present both in oral and topical formulations used for antiaging purposes. An increasing body of evidence points at nutraceuticals for the prevention of aging- associated skin changes [15–17] and natural extracts are currently being investigated for their potential inhibiting action on aging [18,19]. Several natural leaves—including moringa, curry, guava, ginko biloba, olive, grape, green tea, Tribulus terrestris, wakame and roseroot leaves—have been widely studied for their benefits in the setting of aging science [20,21]. Their protective role against aging and age-related comorbidities is due to a large variety of bioactive components, the most well-known being quercetin, catechins, flavonoids, polyphenols, anthocyanins, terpenoids, tannins, glutathione, melatonin and other glyco- sides [12,21]. Various types of in vitro and animal models have already been employed so far with the aim of exploring the possible mechanisms of action of these substances [22,23]. However, current evidence is often limited to the study of a single anti-aging molecule and/or natural extract. The reduced bioavailability of vitamin B12 and folic acid metabolism impairment have also been demonstrated in aging [24–26] and supplementation with folates and B12 has been demonstrated to possess anti-aging effects in experimental models [27–29]. Other proposed treatments for treating aging-associated manifestations include metformin, stem cells and hyaluronic acid (either injected or topically applied), as well as other cosmetic and aesthetic procedures [30–33]. The aim of the present study was to assess the in vitro effects of a commercially available over-the-counter dietary supplement containing a combination of four natural leaf extracts, vitamin B12 and folic acid on skin aging (Venerinase®; Cristalfarma srl, Milan, Italy). The ingredients of Venerinase® on their own have already been proposed as possible preventive tools against photoaging and the recent literature points at Moringa oleifera, Rhodiola rosea, Undaria pinnatifida and Tribulus terrestris as useful therapeutic tools based on in vitro evidence of their antiaging action [22,34–37]. However, similar scientific data are currently lacking for combinations of these products. 2.1. Experimental Device A mixture of Rhodiola rosea, Tribulus terrestris, Moringa oleifera, Undaria pinnatifida, folic acid and vitamin B12 as an analogue to the commercially available Venerinase® (Cristalfarma srl, Milan, Italy; for final composition see Table 1) was prepared and tested for its potential anti-aging effects in vitro. Cosmetics 2023, 10, 83 3 of 12 Table 1. Venerinase® composition corresponding to the reference daily intake. Each component was dissolved in its solvent as indicated. Table 1. Venerinase® composition corresponding to the reference daily intake. Each component was dissolved in its solvent as indicated. Table 1. Venerinase® composition corresponding to the reference daily intake. Each component was dissolved in its solvent as indicated. Components mg Solvent Rhodiola rosea 400 EtOH 50% Tribulus terrestris 350 H2O Moringa oleifera 150 H2O Undaria pinnatifida 50 H2O Folic acid 0.2 NaOH 0.1 N Vitamin B12 0.0025 EtOH 50% 2.2. Fibroblast Culture and UV Irradiation Treatment with Venerinase® Human fibroblasts (C0135C, Thermo Fisher Scientific, Waltham, MA, USA) were expanded up to passage 3, then culture medium was added with Venerinase® at different concentrations for 24 h to subsequently determine a suitable working dose without affecting cell viability and proliferation. To this purpose, human fibroblasts underwent a 3-(4,5- dimethylthiazol-2-yl)-2,5-diphenyltetrazolium bromide (MTT) colorimetric test [38]. With regard to this, cells were incubated for 3 h with MTT reagent at 37 ◦C. After incubation, the purple formazan crystals were dissolved in DMSO at room temperature, then the absorbance was measured at OD = 590 nm by using a multi-well plate reader (Thermo Scientific Appliskan, Thermo Fisher Scientific). The determined working concentration was applied for 24 h to fibroblast cultures, then cells underwent UV irradiation at a dose of UVB of 50 mJ/cm2 (Philips—TL 20W/12RS, 270–420 nm) [39,40]. 2.4. Epidermal Aging Assay Commercially available epidermis (EpiDerm™, Mattek, Ashland, MA, USA) was pre-treated with single (at t0) and double (at t0 and after 24 h, t24) doses of Venerinase® before UVB exposure, according to the aforementioned protocol. After 24 h, UVB-irradiated EpiDerm™samples were processed for paraffin embedding. Briefly, samples were fixed in 4% paraformaldehyde in PBS, washed with PBS and dehydrated with graded ethanol, cleared and embedded in paraffin. Five-micrometre-thick serial cross-sections of the speci- mens from each experimental group were obtained. Routine haematoxylin/eosin staining was performed in order to analyse the morphological details of the EpiDerm samples from each group, i.e., epidermal stratification and differentiation. g p p Histological images were obtained using a Nikon Labophot-2 light microscope with a DS-5Mc CCD camera. IF staining was performed by labelling epidermis sections with mouse anti-PCNA (Millipore, Burlington, MA, USA), rabbit anti-CK-1 (Abcam) and rabbit anti-Beclin-1 (Stress- Marq Biosciences) to assess proliferation, cytoskeleton integrity and cell damage, as de- scribed above. In order to evaluate the nuclear damage, the total RNA content was also measured for DNA transcription assessment. Finally, real-time PCR analyses of IL-6 and TNF-α expressions were repeated on epidermis samples after UV exposure to investigate the potential anti-inflammatory effects of Venerinase® (for PCR primer sequences see Table 2). 3.1. Cell Viability The MTT test showed good tolerability of the Venerinase® product, with only a slight (non-statistically significant) reduction in cell viability at high dose concentrations (1:50/2%). After evaluating different concentrations, 0.1% Venerinase® was proven to be the most suitable for the subsequent assays (Figure 1). 2.3. Evaluation of Fibroblast Aging and Photodamage In order to evaluate the effects of UV exposure on human fibroblasts, real time PCR (rt-PCR) analyses were performed to assess the mRNA levels of ACTA2, HDAC4, SPARC, p21, IL-6 and TNF-α, as previously described [41]. Cells were homogenized and the total RNA was extracted and purified using PureLink RNA columns (Thermo Fisher Scientific). The RNA integrity and quantification were analyzed via a spectrophotometric method by using a NanoDrop 2000 device (Thermo Fisher Scientific, Waltham, MA, USA). Total RNA (1 µg) was reverse transcribed to cDNA using a QuantiTect Reverse Transcription Kit (Qiagen, Hilden, Germany) according to manufacturer’s instructions. The levels of mRNA were quantitatively determined (for PCR primer sequences see Table 2) on a QuantStudio 3 Real Time PCR system (Applied Biosystems, Thermo Fisher Scientific, Waltham, MA, USA) using a QuantiFast SYBR Green PCR Kit according to the manufacturer’s instructions (Qiagen, Hilden, Germany). Furthermore, immunofluorescence (IF) staining for specific photodamage markers, such as p27, α-SMA and COX-1, was also performed. Cells were fixed with 4% para-formaldehyde at 4 ◦C for 15 min and then permeabilized with 0.3% Triton X-100 for 5 min. After blocking with 3% bovine serum albumin (BSA) in pH 7.4 phosphate-buffered saline (PBS) for 1 h, the cells were incubated at 4 ◦C overnight with the primary antibodies: rabbit anti-p27 (1:50; Abcam), mouse anti-α-SMA (1:100; Invitrogen, Waltham, MA, USA) and rabbit anti-COX-1 (1:50; StressMarq Biosciences, Victoria, BC, Canada). Then, after washing in BSA 1% in PBS, cells were subsequently incubated for 1 h at room temperature with the following secondary antibodies: goat anti-rabbit Alexa488 and goat anti-mouse Alexa546 (all diluted 1:200; Thermo Fisher Scientific). Nuclei were counterstained with 1 µM 4,6-diamidino- 2-phenylindole (DAPI) (Sigma-Aldrich, St. Louis, MO, USA). In parallel, the cell morphology was evaluated by immunolabeling with TRITC- conjugated anti-phalloidin antibody (Abcam, Cambridge, UK). Samples were observed with a Nikon A1 confocal laser scanning microscope (Nikon, Minato, Tokyo, Japan) and image rendering was performed using ImageJ 2.9.0 and Adobe Photoshop Software 7.0 [42]. 4 of 12 Cosmetics 2023, 10, 83 Table 2. List of PCR primers sequences used. Table 2. List of PCR primers sequences used. Table 2. List of PCR primers sequences used. Target Gene Forward Sequence Reverse Sequence ACTA2 AATGCAGAAGGAGATCACGG TCCTGTTTGCTGATCCACATC HDAC4 ACAAGGAGAAGGGCAAAGAG GCGTTTTCCCGTACCAGTAG SPARC CAAGAAGCCCTGCCTGATGA TGGGAGAGGTACCCGTCAAT p21 AGGTGGACCTGGAGACTCTCAG TCCTCTTGGAGAAGATCAGCCG IL-6 AGACAGCCACTCACCTCTTCAG TTCTGCCAGTGCCTCTTTGCTG TNF-α CTCTTCTGCCTGCTGCACTTTG ATGGGCTACAGGCTTGTCACTC 2.5. Statistical Analysis Experiments were performed in triplicate and the results were expressed as means ± SD. A student’s t test was carried out to evaluate differences between two groups. Conversely, differences among three or more groups were analysed through an ANOVA, followed by a Newman–Keuls post hoc test. A p-value < 0.05 was considered statistically significant. g g p y g Newman–Keuls post hoc test. A p-value < 0.05 was considered statistically sig 3. Results 3.1. Cell Viability 3.2. Venerinase®-Induced Changes in the Dermal Compartment As shown in Figure 2A, UV exposure induced a shift in cell morphology of cultured fibroblasts, which became more dendritic and/or flattened (myofibroblast shape). Notably, 0.1% Venerinase® was able to revert UV-induced morphological changes and to restore the normal spindle shape fibroblasts. Pre-treatment of fibroblasts with the Venerinase® reference daily intake (see Table 1) also determined a statistically significant reduction in the expression of early fibrotic markers such as HDAC4 and SPARC when compared to the UV-treated group (◦p < 0.05 vs. UV), as demonstrated by real-time PCR analyses, whereas Cosmetics 2023, 10, 83 5 of 12 no statistically significant changes were observed in the mRNA expression levels of ACTA2 (Figure 2B). With regard to inflammatory markers, real time PCR data confirmed statistically significant fold-change reductions in the mRNA levels of TNF-α and IL-6 (Figure 3A). In parallel, IF also showed a reduced expression of COX-1, thus confirming the possible anti-inflammatory role of Venerinase® (Figure 3B). Moreover, Venerinase®-pretreated fibroblasts displayed a reduced α-SMA expression, with a parallel increase in P27 compared to non-treated UV-exposed cells, therefore suggest- ing Venerinase® possibly prevents the acquisition of a pro-fibrotic phenotype (Figure 2C). ing Venerinase® possibly prevents the acquisition of a pro-fibrotic phenotype (Figure 2C). At the same time, the expression of the senescence marker p21 assessed by a real-time PCR analysis was reduced by Venerinase® pretreatment (◦◦p < 0.01 vs. UV; Figure 2D). g p y p q p p yp g At the same time, the expression of the senescence marker p21 assessed by a real-time PCR analysis was reduced by Venerinase® pretreatment (◦◦p < 0.01 vs. UV; Figure 2D). y y p p g With regard to inflammatory markers, real time PCR data confirmed statistically significant fold-change reductions in the mRNA levels of TNF-α and IL-6 (Figure 3A). In parallel, IF also showed a reduced expression of COX-1, thus confirming the possible anti-inflammatory role of Venerinase® (Figure 3B). Figure 3. Inflammatory cytokines and oxidative stress in human fibroblasts after Venerinase® pre- treatment and UV exposure. (A) Real-time PCR analyses of inflammatory cytokines TNFα and IL-6 in human fibroblasts. Histograms report the percentage fold change in mean values of mRNA levels ± standard deviation (SD). One-way analysis of variance (ANOVA) followed by Newman– Keuls post hoc test. ◦◦p < 0.01, ◦◦◦p < 0.001 vs. UV; ** p < 0.01 vs. ctrl. (B) Confocal immunofluores- cence analysis of COX-1. Nuclei were counterstained with DAPI (blue). Scale bar: 10 µm. Figure 3. Inflammatory cytokines and oxidative stress in human fibroblasts after Venerinase® pre- treatment and UV exposure. (A) Real-time PCR analyses of inflammatory cytokines TNFα and IL-6 in human fibroblasts. Histograms report the percentage fold change in mean values of mRNA levels ± standard deviation (SD). One-way analysis of variance (ANOVA) followed by Newman– Keuls post hoc test. ◦◦p < 0.01, ◦◦◦p < 0.001 vs. UV; ** p < 0.01 vs. ctrl. (B) Confocal immunofluores- cence analysis of COX-1. Nuclei were counterstained with DAPI (blue). Scale bar: 10 µm. no statistically significant changes were observed in the mRNA expression levels of ACTA2 (Figure 2B). no statistically significant changes were observed in the mRNA expression levels of ACTA2 (Figure 2B). Figure 1. Evaluation of cell viability in fibroblasts. Cell viability (expressed as % of viable cells) in fibroblasts treated with different concentrations of Venerinase® (2%, 1%, 0.1%, 0.01%, 0.005%) was investigated to define the working concentration to be used for the subsequent experimental evaluations. Data are expressed as means ± standard deviation (SD) and analysed by a one-way analysis of variance (ANOVA) followed by a Newman–Keuls post hoc test. Statistically significant differences were set at p < 0.05. Figure 1. Evaluation of cell viability in fibroblasts. Cell viability (expressed as % of viable cells) in fibroblasts treated with different concentrations of Venerinase® (2%, 1%, 0.1%, 0.01%, 0.005%) was investigated to define the working concentration to be used for the subsequent experimental evaluations. Data are expressed as means ± standard deviation (SD) and analysed by a one-way analysis of variance (ANOVA) followed by a Newman–Keuls post hoc test. Statistically significant differences were set at p < 0.05. Figure 2. Evaluation of Venerinase® pre-treatment effects on UV-exposed human fibroblasts. (A) A cell morphology analysis was carried out through phalloidin staining. Nuclei were counterstained with Figure 2. Evaluation of Venerinase® pre-treatment effects on UV-exposed human fibroblasts. (A) A cell morphology analysis was carried out through phalloidin staining. Nuclei were counterstained with Cosmetics 2023, 10, 83 6 of 12 DAPI (blue). Scale bar: 10 µm. (B) Real time PCR analyses of fibrosis-associated markers ACTA2, HDAC4 and SPARC. Histograms report the percentage fold change in the mean values of mRNA levels ± standard deviation (SD). One-way analysis of variance (ANOVA) followed by Newman– Keuls post hoc test. ◦p < 0.05 vs. UV. (C) Confocal immunofluorescence analysis for p27 and α-SMA. Scale bar: 10 µm. (D) Real time PCR analysis of mRNA levels of p21. Histograms represent mean values ± standard deviation (SD). One-way ANOVA followed by Newman–Keuls post hoc test. ◦◦p < 0.01 vs. UV. Moreover, Venerinase®-pretreated fibroblasts displayed a reduced α-SMA expression, with a parallel increase in P27 compared to non-treated UV-exposed cells, therefore suggest- ing Venerinase® possibly prevents the acquisition of a pro-fibrotic phenotype (Figure 2C). At the same time, the expression of the senescence marker p21 assessed by a real-time PCR analysis was reduced by Venerinase® pretreatment (◦◦p < 0.01 vs. UV; Figure 2D). 3.3. Venerinase®-Induced Changes in the Epidermis The haematoxylin and eosin staining in Figure 4A shows that UV exposure induced cornification of the epidermis, with a significant reduction in the number of nuclei in the lower epidermal layers 24 h after UV irradiation. Normal stratification of the epidermis was restored by pre-treatment with Venerinase® at either a single or double dose (Figure 4A). 7 of 12 Cosmetics 2023, 10, 83 Figure 4. Protective effects of Venerinase® pre-treatment on UV-exposed epidermis. (A) Histological analysis of EpiDerm samples from each experimental group. H&E staining showing the effects of Venerinase® pre-treatments (Venerinase® 1, corresponding to t0 administration and Venerinase® 2 corresponding to t0 and t24 h administration) on UV-irradiated EpiDerm stratification. Scale bar: 50 µm. (B) Confocal analysis of CK1, PCNA and beclin-1. Nuclei were counterstained with DAPI (blue). Scale bar: 20 µm. (C) Real-time PCR analyses of IL-6 and TNFα in UV-exposed EpiDerm previously treated with a double dose of Venerinase®. Histograms report the fold change in mRNA levels indicated as means ± standard deviation (SD). One-way analysis of variance (ANOVA) followed by Newman–Keuls post hoc test. ** p < 0.01 vs. ctrl. Figure 4. Protective effects of Venerinase® pre-treatment on UV-exposed epidermis. (A) Histological analysis of EpiDerm samples from each experimental group. H&E staining showing the effects of Venerinase® pre-treatments (Venerinase® 1, corresponding to t0 administration and Venerinase® 2 corresponding to t0 and t24 h administration) on UV-irradiated EpiDerm stratification. Scale bar: 50 µm. (B) Confocal analysis of CK1, PCNA and beclin-1. Nuclei were counterstained with DAPI (blue). Scale bar: 20 µm. (C) Real-time PCR analyses of IL-6 and TNFα in UV-exposed EpiDerm previously treated with a double dose of Venerinase®. Histograms report the fold change in mRNA levels indicated as means ± standard deviation (SD). One-way analysis of variance (ANOVA) followed by Newman–Keuls post hoc test. ** p < 0.01 vs. ctrl. Cosmetics 2023, 10, 83 8 of 12 The IF analyses in Figure 4B show that CK1, normally expressed in epidermal suprabasal layers, is lost secondary to UV exposure, indicating a loss of normal cell morphology. Inter- estingly, a single dose of Venerinase® promoted an early reversion of UV-induced changes, which was more appreciable when a double dose was administered. PCNA, expressed by basal keratinocytes in control samples, was absent in UV-damaged skin. 3.3. Venerinase®-Induced Changes in the Epidermis Epidermal exposure to Venerinase® before irradiation caused a significant enhancement in the PCNA expression in the basal layer both after single and double dose treatments (Figure 4B). Beclin-1, normally detected in the cytosol of healthy keratinocytes, reduced its expression following UVB exposure. Following Venerinase® pre-treatment with a double dose, beclin-1 nuclear translocation was observed in the epidermis. p As for DNA transcription, the total RNA concentration was higher in all Venerinase®- treated samples compared to non-treated UV-exposed skin (Table 3), suggesting the protec- tive role of Venerinase® pre-treatment in terms of photodamage prevention at the nuclear level. Such evidence was also accompanied by statistically significant reductions in proin- flammatory cytokine levels, including both IL6 and TNF-α (** p < 0.01 vs. ctrl; Figure 4C). Table 3. Extraction and quantification of RNA from EpiDerm samples. CTRL: untreated EpiDerm; UV: UV-exposed EpiDerm; UV + Venerinase® 1: UV-exposed EpiDerm pre-treated with a single dose of Venerinase®; UV + Venerinase® 2: UV-exposed EpiDerm pre-treated with a double dose of Venerinase®. Tissue Weight (mg) RNA Concentration (ng/µL) CTRL 3 136 UV 3.1 2.4 UV + Venerinase® 1 4.5 39.1 UV + Venerinase® 2 4.7 133.2 4. Discussion Beclin-1 is a key activator in the initiation of autophagy and also seems to be involved in the regulation of skin pigmentation through melanosome degradation in both keratinocytes and melanocytes [50,51]. Not surprisingly, changes in the beclin-1 expression are observed after UV exposure. p All the aforementioned changes in the epidermal compartment are at least partially restored by pretreatment of keratinocyte sheets with Venerinase®. Some evidence already exists on the efficacy of the single ingredients of the afore- mentioned formulation as antiaging therapeutic tools, the most studied certainly being Moringa oleifera. g f A metabolomic analysis of Moringa oleifera leaves identified eight main groups of key metabolites, possibly explaining the moringa-mediated antiaging and anti-inflammatory action [52]. These include carotenoids, kaempferol, quercetin, glucosinolates, sulfolipids, fatty acyl amides and apigenin-O/C-glycosides. Another recent publication revealed that M. oleifera leaf extracts possess good activ- ities against skin-aging-related enzymes [53]. Elastase and collagenase inhibition was demonstrated through spectrophotometric and fluorometric assays, followed by ultra- filtration coupled to multi-target bio-affinity ultrafiltration and high-performance liquid chromatography–mass spectrometry for the identification of possible specific bioactive components with anti-aging properties. Several authors have also tried to enhance Moringa’s bioavailability in order to boost its efficacy. With regard to this, flexible nanoliposome entrapment of isothiocyanates from the moringa tree demonstrated enhanced skin permeation and significant reductions in the expression of UVB-induced reactive oxygen species and matrix metalloproteinases [54]. p yg p p The anti-aging effects of Moringa oleifera seem not to be limited to the skin. In a rat model, oral administration of an aqueous extract of M. oleifera leaves (200 mg/kg) for 30 days determined significant reductions in lipid peroxidation and lipofuscin pigmenta- tion along with elevated serotonin and antioxidant enzymes in the brain tissue [55]. Other studies confirmed that Moringa alleviates stress and has a neuroprotective function in murine models [56]. These results suggest a beneficial role of oral supplementation with potential positive consequences far beyond the skin. As for the other components of the Venerinase® product, the literature on natural remedies for preventing cutaneous aging also presents some evidence for this effect in Rhodiola and Undaria, while little is known with regard to Tribulus terrestris’ effects on the skin [22,36,37]. Plant extracts containing Rhodiola rosea have been demonstrated to extend lifespan in lower model organisms through IGF (insulin growth factor) signalling and have an antioxi- dant action [57–59]. 4. Discussion The present study clearly demonstrates the beneficial effect in vitro on skin photoaging of pretreatment with a mixture of Rhodiola rosea, Tribulus terrestris, Moringa oleifera, Undaria pinnatifida, folic acid and vitamin B12. p fi Notably, UV exposure determines direct cell injury to keratinocytes and fibroblasts, mostly mediated by DNA damage. In line with this, our preliminary results on cell viability showed that UVB doses higher than 50 mJ/cm2 on cell monolayers determine cell damage and apoptosis after 24 h from exposure. p p p We then took into consideration the results collected after preventive treatment with Venerinase®. Interestingly, Venerinase® was able to reduce the pathological expressions of pro-fibrotic markers in fibroblasts induced by UV exposure, such as HDAC4 and SPARC, which are commonly produced upon pro-inflammatory stimuli and are therefore possi- bly associated with the so-called “inflammaging” [43,44]. The cytoprotective effects of Venerinase® were also confirmed by reduced myofibroblast phenotype acquisition by dermal fibroblasts, as shown by the decreased expression and cytoskeletal arrangement of α-SMA. Interestingly, Venerinase® pretreatment before UV exposure also reduced the expression of P21 in fibroblasts. It is well known that P21 is a powerful inhibitor of cyclin- dependent kinases, and is therefore considered a marker for cell senescence [45]. P21 also interacts with PCNA, a processivity factor for DNA polymerase with a regulatory function in DNA repair and replication during cell cycle; its enhanced expression is therefore possibly associated with DNA damage [46]. Even more importantly, pretreatment with Venerinase® determined significant reductions in the production of inflammaging-associated cytokines, such as TNFα and IL-6, compared to the non-treated controls after UV exposure both in the dermal and epidermal compartments [47]. A reduced COX-1 expression in the treatment group confirmed these results and indicated a reduced oxidative stress induction, thus highlighting the significant antioxidant action of this product [48]. In normal conditions, Cosmetics 2023, 10, 83 9 of 12 9 of 12 COX-1 displays mitochondrial expression, whereas a signal cytosolic translocation was observed after UV exposure [49]. Such a phenomenon was at least partially prevented by the use of Venerinase®. When we looked more into detail at UV-induced changes in the epidermis, we noticed altered stratification and cell morphology, with cytoskeleton rearrangement possibly being a major contributing factor. A key role in the epidermal UV response is also played by beclin-1. 4. Discussion Rhodiola-mediated antagonistic action on oxidative stress induced by UV has also been confirmed by in vitro studies on fibroblasts [35,36,60]. Last but not least, Undaria pinnatifida is a source of fucoidan, which has been shown to exert protective action against UV-induced photodamage in vitro due to inhibition of mitochondrial dysfunction mediated by the SIRT-1/PGC-1α signalling pathway [22,61]. References Rossi, E.; Paganelli, A.; Mandel, V.D.; Pellacani, G. Favre-Racouchot Syndrome: Report of a Case Treated by Plasma Exeresis. J. Eur. Acad. Dermatol. Venereol. 2018, 32, e411–e413. [CrossRef] nelli, A.; Mandel, V.D.; Pellacani, G.; Rossi, E. Synergic Effect of Plasma Exeresis and Non-Cross-Linked L 10. Paganelli, A.; Mandel, V.D.; Pellacani, G.; Rossi, E. Synergic Effect of Plasma Exeresis and Non-Cros Molecular Weight Hyaluronic Acid to Improve Neck Skin Laxities J Cosmet Dermatol 2020 19 55–60 10. Paganelli, A.; Mandel, V.D.; Pellacani, G.; Rossi, E. Synergic Effect of Plasma Exeresis and Non Cros Molecular Weight Hyaluronic Acid to Improve Neck Skin Laxities. J. Cosmet. Dermatol. 2020, 19, 55–60 cular Weight Hyaluronic Acid to Improve Neck Skin Laxities. J. Cosmet. Dermatol. 2020, 19, 55–60. [CrossRe g y p 11. Ngoc, L.T.N.; Moon, J.-Y.; Lee, Y.-C. Antioxidants for Improved Skin Appearance: Intracellular Mechanism, Challenges, and Future Strategies. Int. J. Cosmet. Sci. 2023. online version of record before inclusion in an issue. [CrossRef] L.T.N.; Moon, J.-Y.; Lee, Y.-C. Antioxidants for Improved Skin Appearance: Intracellular Mechanism, C 11. Ngoc, L.T.N.; Moon, J.-Y.; Lee, Y.-C. Antioxidants for Improved Skin Appearance: Intracellular Mec Future Strategies. Int. J. Cosmet. Sci. 2023. online version of record before inclusion in an issue. [CrossRef] Ngoc, L.T.N.; Moon, J.-Y.; Lee, Y.-C. Antioxidants for Improved Skin Appearance: Intracellular Mechan F t St t i I t J C t S i 2023 li i f d b f i l i i i [C R f] e Strategies. Int. J. Cosmet. Sci. 2023. online version of record before inclusion in an issue. [CrossRef] 12. 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[CrossRef] .M.; Gerberick, G.F.; Veres, D.; Irwin, C.J.; Kaidbey, K.H. Cumulative Effects from Repeated Exposures to Sub UVB d UVA i H Ski J A A d D t l 1995 32 53 62 [C R f] 5. Lavker, R.M.; Gerberick, G.F.; Veres, D.; Irwin, C.J.; Kaidbey, K.H. Cumulative Effects from Repeated 5. Lavker, R.M.; Gerberick, G.F.; Veres, D.; Irwin, C.J.; Kaidbey, K.H. Cumulative Effects from Repe Doses of UVB and UVA in Human Skin. J. Am. Acad. Dermatol. 1995, 32, 53–62. [CrossRef] .M.; Gerberick, G.F.; Veres, D.; Irwin, C.J.; Kaidbey, K.H. Cumulative Effects from Repeated Exposures to Su UVB and UVA in Human Skin. J. Am. Acad. Dermatol. 1995, 32, 53–62. [CrossRef] Doses of UVB and UVA in Human Skin. J. Am. Acad. Dermatol. 1995, 32, 53–62. [CrossRef] 6. Paganelli, A.; Mandel, V.D.; Kaleci, S.; Pellacani, G.; Rossi, E. Favre–Racouchot Disease: Systematic Review and Possible Therapeutic Strategies. J. Eur. Acad. Dermatol. Venereol. 2019, 33, 32–41. [CrossRef] p g 7. Pezzini, C.; Ciardo, S.; Guida, S.; Kaleci, S.; Chester, J.; Casari, A.; Manfredini, M.; Longo, C.; Farnetani, F.; Brugués, A.O.; et al. Skin Ageing: Clinical Aspects and In Vivo Microscopic Patterns Observed with Reflectance Confocal Microscopy and Optical Coherence Tomography. Exp. Dermatol. 2022, 32, 348–358. [CrossRef] g p y p 8. Kang, S. (Ed.) Fitzpatrick’s Dermatology, 9th ed.; McGraw-Hill Education: New York, NY, USA, 2019; ISBN 978-0-07-183779-8. 9. 5. Conclusions The combination of Rhodiola rosea, Tribulus terrestris, Moringa oleifera, Undaria pinnatifida, vitamin B12 and folic acid was effective in the prevention of UV-mediated damage in vitro, thus supporting the potential clinical benefits of oral supplementation. Such extracts gave excellent results in vitro on cutaneous aging in terms of UV damage prevention both in the dermal and epidermal compartments. Further studies are needed to weigh the contribution Cosmetics 2023, 10, 83 10 of 12 10 of 12 of the single components in the global anti-aging effect and to possibly optimize and improve the efficacy of plant-based dietary supplements in this field. Author Contributions: Methodology, investigation and data curation: A.P. (Alessia Paganelli), A.P. (Alessandra Pisciotta), G.B., R.D.T., N.T., G.O. and P.A.; data curation, A.P. (Alessia Paganelli), P.A. and L.B.; writing—original draft preparation, A.P. (Alessia Paganelli) and A.P. (Alessandra Pisciotta); writing—review and editing, P.A. and L.B.; supervision, project administration and funding acquisition, L.B. All authors have read and agreed to the published version of the manuscript. Funding: This research and the APC were funded by Cristalfarma srl. Funding: This research and the APC were funded by Cristalfarma srl. Institutional Review Board Statement: Not applicable. Institutional Review Board Statement: Not applicable. Institutional Review Board Statement: Not applicable. Informed Consent Statement: Not applicable. Informed Consent Statement: Not applicable. Data Availability Statement: Data are available from the authors upon reasonable request. Data Availability Statement: Data are available from the authors upon reasonable request. Conflicts of Interest: This research and the APC were funded by Cristalfarma srl. The authors declare no other conflicts of interest. References Folic Acid Inhibits A d d b [C f] y 29. Li, Z.; Zhou, D.; Zhang, D.; Zhao, J.; Li, W.; Sun, Y.; Chen, Y.; Liu, H.; Wilson, J.X.; Qian, Z.; et al. Folic Aci Telomere Attrition and Apoptosis in Astrocytes In Vivo and In Vitro. Cereb. Cortex 2022, 32, 286–297. [C p p y [ ] 30. Yusharyahya, S.N.; Japranata, V.V.; Sitohang, I.B.S.; Legiawati, L.; Novianto, E.; Suseno, L.S.; Rachmani, K. 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Nme Gene Family Evolutionary History Reveals Pre-Metazoan Origins and High Conservation between Humans and the Sea Anemone, Nematostella vectensis
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Nme Gene Family Evolutionary History Reveals Pre-Metazoan Origins and High Conservation between Humans and the Sea Anemone, Nematostella vectensis Thomas Desvignes, Pierre Pontarotti, Julien Bobe Nme Gene Family Evolutionary History Reveals Pre-Metazoan Origins and High Conservation between Humans and the Sea Anemone, Nematostella vectensis Thomas Desvignes, Pierre Pontarotti, Julien Bobe To cite this version: Thomas Desvignes, Pierre Pontarotti, Julien Bobe. Nme Gene Family Evolutionary History Reveals Pre-Metazoan Origins and High Conservation between Humans and the Sea Anemone, Nematostella vectensis. PLoS ONE, 2010, 5:11 (e15506), pp.1-12. ￿10.1371/journal.pone.0015506￿. ￿hal-01204995￿ Distributed under a Creative Commons Attribution 4.0 International License Introduction Nme-related genes have been sporadically reported in Archaea [5], Eubacteria [6,7], and in several eukaryotic lineages including fungi [8], plants [9], and bilaterians [10,11]. However, the evolutionary history of the family that has led to a repertoire of 5 Nme genes in the chordate ancestor remains poorly understood. Indeed, the complexity of the Nme gene repertoire outside the chordate lineage was previously uncharacterized and existing literature suggested that the complexity of the Nme gene family was much more limited in non-chordate species. In Dictyostelium discoideum, two Nme-related proteins, named NdkC-2 and NdkM, and expressed in the cytosol and in the mitochondria, respectively, were used for biochemical and structural studies [12–14]. In Drosophila melanogaster, only one Nme-related gene, named awd, had been reported and intensively studied for its role in aberrant development [10]. In Caenorhabditis elegans, one Nme-related gene had been shown to be associated with severe developmental Nme-related genes have been sporadically reported in Archaea [5], Eubacteria [6,7], and in several eukaryotic lineages including fungi [8], plants [9], and bilaterians [10,11]. However, the evolutionary history of the family that has led to a repertoire of 5 Nme genes in the chordate ancestor remains poorly understood. Indeed, the complexity of the Nme gene repertoire outside the chordate lineage was previously uncharacterized and existing literature suggested that the complexity of the Nme gene family was much more limited in non-chordate species. In Dictyostelium discoideum, two Nme-related proteins, named NdkC-2 and NdkM, and expressed in the cytosol and in the mitochondria, respectively, were used for biochemical and structural studies [12–14]. In Drosophila melanogaster, only one Nme-related gene, named awd, had been reported and intensively studied for its role in aberrant development [10]. In Caenorhabditis elegans, one Nme-related gene had been shown to be associated with severe developmental The Nme family, initially called NDPK or Nm23, was named after the identification of a novel gene associated with low metastatic potential [1]. In humans, NME genes are involved in a wide variety of physiological or pathological cellular processes including development, metastatic potential, ciliary functions, and cell differentiation and proliferation at various tissular and subcellular localization (see [2] for recent review). Despite their critical role in key developmental and pathological processes, the molecular functions of Nme genes remain poorly documented [3]. 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. Funding: This work was supported by an INRA - IFREMER PhD fellowship to TD. The research leading to these results has received funding from the European Community’s Seventh Framework Programme (FP7/2007-2013) under grant agreement no. 222719 - LIFECYCLE. The funders had no role in study design, data collection and analysis, decision to publish, or preparation of the manuscript. ooooo Competing Interests: The authors have declared that no competing interests exist. Competing Interests: The authors have declared that no competing interests exist. Competing Interests: The authors have declared that no competing interests exist. * E-mail: Julien.Bobe@rennes.inra.fr * E-mail: Julien.Bobe@rennes.inra.fr Abstract Background: The Nme gene family is involved in multiple physiological and pathological processes such as cellular differentiation, development, metastatic dissemination, and cilia functions. Despite the known importance of Nme genes and their use as clinical markers of tumor aggressiveness, the associated cellular mechanisms remain poorly understood. Over the last 20 years, several non-vertebrate model species have been used to investigate Nme functions. However, the evolutionary history of the family remains poorly understood outside the vertebrate lineage. The aim of the study was thus to elucidate the evolutionary history of the Nme gene family in Metazoans. Methodology/Principal Findings: Using a total of 21 eukaryote species including 14 metazoans, the evolutionary history of Nme genes was reconstructed in the metazoan lineage. We demonstrated that the complexity of the Nme gene family, initially thought to be restricted to chordates, was also shared by the metazoan ancestor. We also provide evidence suggesting that the complexity of the family is mainly a eukaryotic innovation, with the exception of Nme8 that is likely to be a choanoflagellate/metazoan innovation. Highly conserved gene structure, genomic linkage, and protein domains were identified among metazoans, some features being also conserved in eukaryotes. When considering the entire Nme family, the starlet sea anemone is the studied metazoan species exhibiting the most conserved gene and protein sequence features with humans. In addition, we were able to show that most of the proteins known to interact with human NME proteins were also found in starlet sea anemone. Conclusion/Significance: Together, our observations further support the association of Nme genes with key cellular functions that have been conserved throughout metazoan evolution. Future investigations of evolutionarily conserved Nme gene functions using the starlet sea anemone could shed new light on a wide variety of key developmental and cellular processes. Citation: Desvignes T, Pontarotti P, Bobe J (2010) Nme Gene Family Evolutionary History Reveals Pre-Metazoan Origins and High Conservation between Humans and the Sea Anemone, Nematostella vectensis. PLoS ONE 5(11): e15506. doi:10.1371/journal.pone.0015506 Citation: Desvignes T, Pontarotti P, Bobe J (2010) Nme Gene Family Evolutionary History Reveals Pre-Metazo and the Sea Anemone, Nematostella vectensis. PLoS ONE 5(11): e15506. doi:10.1371/journal.pone.0015506 Editor: Sergios-Orestis Kolokotronis, American Museum of Natural History, United States of America Received July 27, 2010; Accepted October 5, 2010; Published November 11, 2010 Copyright:  2010 Desvignes et al. Nme Gene Family Evolutionary History Reveals Pre- Metazoan Origins and High Conservation between Humans and the Sea Anemone, Nematostella vectensis Thomas Desvignes1,2, Pierre Pontarotti3, Julien Bobe1* Thomas Desvignes , Pierre Pontarotti , Julien Bobe 1 UMR 6632/IFR48, Universite´ de Provence Aix Marseille 1/CNRS, F-13000, Marseille, France, 2 IFREMER, LALR, F-34250, Palavas les flots, France, 3 UMR 6632/IFR48, Universite´ de Provence Aix Marseille 1/CNRS, F-13000, Marseille, France R48, Universite´ de Provence Aix Marseille 1/CNRS, F-13000, Marseille, France, 2 IFREMER, LALR, F-34250, Palavas les flots, France, Provence Aix Marseille 1/CNRS, F-13000, Marseille, France HAL Id: hal-01204995 https://hal.science/hal-01204995v1 Submitted on 4 Oct 2018 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 PLoS ONE | www.plosone.org Results/Discussion y All studied metazoan species displayed a full set of group II Nme genes with the exception of the 4 ecdysozoan species and T. adhaerens (Figures 2–5). The 2 other group II Nme genes, Nme9 and Nme10, that have been shown to be eutherian and vertebrate innovations, respectively [4], will not be discussed here. No Nme7 homolog could be identified in the C. elegans genome thus indicating a possible gene loss after the nematode radiation. In M. brevicollis the Nme7 protein is structurally highly divergent as shown but the topology of the phylogenetic tree (Figure 4A) and displays a unique and incomplete domain (Figure 4B). In insects, Nme7 proteins also displayed specific domain structure (Figure 4B) resulting in a divergent position of the corresponding group in the phylogenetic tree (Figure 4A). As for all phylogenetic analyses reported here, the tree topology remained unchanged whether we used the full length protein sequence or only domains for the phylogenetic reconstruction. Similarly, very divergent Nme8- related sequences were identified in insects and T. adhaerens (Figure 5). In these 4 species, the Nme8-related proteins have lost the 3 NDPK_TX domains that are found in all other metazoan species, including the starlet sea anemone (Figure 5). In M. brevicollis, the Nme8 protein does not display typical Nme8 NDPK_TX domains but 2 different domains of the NDPk superfamily. It is also noteworthy that the exon/intron structure corresponding to the Thioredoxin TRX_NDPK domain is very well conserved among all studied choanoflagellate and metazoan species. In contrast, the exon/intron structure corresponding to the NDPK domains is highly divergent in insects, placozoans and choanoflagellates (Figure S2). Together, our data demonstrate that Nme5, Nme6, Nme7, and Nme8 genes were already present in the genome of the common ancestor of choanoflagellates and metazoans. In non-choanoflagellate/metazoan species, all Nme proteins of the group II were found in low branching eukaryotic lineages such as heteroloboseans, green plants, amoebozoans, alveolates, and fungi (Figures 2–4, Table 2) with the exception of Nme8. In contrast, we failed to identify Nme genes of the group II outside the eukaryotic lineage. Together, our results strongly suggest that Nme5, Nme6, and Nme7 emerged around Eukaryote radiation. Interestingly, none of the studied non-choanoflagel- late/metazoan species display all 3 proteins suggesting lineage specific loss of Nme 5, Nme6, and Nme7 genes. The Nme8 protein typically displays 1 Thioredoxin (TRX) domain followed by 2 or 3 complete NDPk domains. Nme gene family complexity predates Metazoan radiation Using available sequenced genomes of 21 eukaryote species ranging from amoebozoans to humans, we were able to reconstruct, in opisthokonts – the metazoan/choanoflagellate/ fungi phylum – the evolutionary history of the Nme genes that had previously been identified in the chordate ancestor [4]. We were able to show that the metazoan and chordate ancestors share a similar Nme gene repertoire. A similar repertoire was also found in Monosiga brevicollis, a choanoflagellate, but not in fungi (Figures 1–5). Monosiga brevicollis, a choanoflagellate, but not in fungi (Figures 1–5). All non-vertebrate metazoans species displayed 2 Nme genes of the group I with the exception of Trichoplax adhaerens, Drosophila melanogaster, Aedes aegypti, Tribolium castaneum, and Lottia gigantea, in which a single gene could be identified (Figure 1A–B). In all studied non-metazoan eukaryotes, two Nme genes of the group I could also be identified with the exception of Saccharomyces cerevisiae and Tetrahymena thermophila. In starlet sea anemone Nematostella vectensis, Caenorhabditis elegans and Branchiostoma floridae, the two genes are located tandemly and thus originate from a cis-duplication of an ancestral gene (Table 1). In addition, a surprisingly well conserved gene synteny of group I Nme sequences was found between sea anemone and humans (Figure 1C). The location of the Sox8/9 ancestor gene in the vicinity of Nme genes in the sea anemone and the location of SOX8 and SOX9 on human chromosomes 17 and 16, respectively, are consistent with the first round of whole genome duplication (1R) that gave rise to Nme2 and Nme3/4 in vertebrates [4]. In Ciona intestinalis, we have obtained evidence suggesting a duplication of a large portion of genomic DNA resulting in duplicated genes on two different chromosomes (Table 1, Figure S1). Two duplicated Nme genes of the group I originating from a common group I ancestral gene were found on chromosomes 2q and 8q (Figure S1). In all studied non-metazoan eukaryotes, Capitela teleta, and Strongylocentrotus purpuratus, two Nme genes of the group I can be found on different scaffolds. Because of the limited size of these scaffolds and the level of assembly of corresponding draft genomes, it is not currently possible to speculate on the nature of the duplication event that has led to 2 genes. In Dictyostelium discoideum, 2 Nme genes of the group I could be identified on different chromosomes. Results/Discussion In non-choanoflagellates/metazoan species investigated, very few sequences displaying one thior- edoxin domain could be identified but were never associated with an NDPk domain. We thus hypothesize that Thioredoxin domains already existed in the opisthokont ancestor and that Nme8 emerged in the choanoflagellate/metazoan ancestor by domain shuffling of 2 or 3 NDPk domains. This would, however, require further analysis. Pre-Metazoan origins of the Nme family Pre-Metazoan origins of the Nme family brevicollis, and C. elegans one sequence is highly divergent in comparison to the other one. Altogether, this strongly suggests independent and lineage specific gene duplications. It was previously shown that a single Nme gene of the group I was present in the vertebrate ancestor [4]. This ancestor gene subsequently duplicated differently in the different vertebrates lineages and resulted in 2 to 5 genes, depending on the species [4]. Together, our data indicate that a single Nme gene of the group I was present in the opisthokont ancestor. Our observations also suggest that a single Nme gene of the group I was present in the eukaryote ancestor. Understanding the selective factors that have led to multiple independent duplications events in the Nme family and the role of these proteins in non-vertebrate species would provide major insights into the evolution and functions of the family. defects [15]. As recently stressed, the use of model species to decipher Nme gene functions is extremely beneficial and needs to be further supported [16]. However, a better understanding of the evolutionary links between the Nme genes that are found in non- vertebrate model species and their mammalian counterparts is required to allow this comparative biology approach. In order to gain insight into putatively conserved key functions of Nme genes that would have been retained throughout evolution, the aim of the present study was thus to characterize gene family complexity and protein features among metazoans. We were able to show that the complexity of the Nme family predates the metazoan radiation. We also provided evidence supporting the association of Nme genes with key cellular functions that have been conserved throughout metazoan evolution. Introduction In vertebrates, Nme genes can be separated in 2 groups – group I and group II – based on their evolutionary history and protein domains [4]. Nme genes of the group I (Nme1-4) originate from a unique gene of the chordate ancestor while Nme genes of the group II (Nme 5-8) are present throughout chordate evolution [4]. PLoS ONE | www.plosone.org November 2010 | Volume 5 | Issue 11 | e15506 1 Nme gene family complexity predates Metazoan radiation The topology of the phylogenetic tree displaying – for Chlamydomonas reinhardtii, Nematostella vectensis, Capitela teleta, Strongylocentrotus purpur- atus, Branchiostoma floridae, and Ciona intestinalis – the group I Nme sequences more closely related within a species than between species strongly suggests that corresponding duplication events are independent and lineage-specific. It is noteworthy that for the above species, duplicated sequences remained closely related, whereas in other species, Naegleria gruberi, Ustilago maydis, M. PLoS ONE | www.plosone.org November 2010 | Volume 5 | Issue 11 | e15506 PLoS ONE | www.plosone.org 2 Pre-Metazoan origins of the Nme family PLoS ONE | www.plosone.org 3 November 2010 | Volume 5 | Issue 11 | e15506 November 2010 | Volume 5 | Issue 11 | e15506 PLoS ONE | www.plosone.org PLoS ONE | www.plosone.org PLoS ONE | www.plosone.org 3 Pre-Metazoan origins of the Nme family Pre-Metazoan origins of the Nme family Figure 1. Phylogenetic tree and exon-intron structure of Group I Nme in Eukaryotes and synteny conservation between human and starlet sea anemone Group I Nme. A. The phylogenetic tree was constructed from a single multiple sequence alignment. Bootstrap values for neighbor joining, maximum parsimony, and maximum likelihood methods, respectively, are indicated for each node. Asterisks (*) indicate that the node was not recovered by the corresponding phylogenetic method. The consensus midpoint-rooted tree was calculated using the FIGENIX automated phylogenomic annotation pipeline [41]. For each sequence, species and corresponding name are shown. B. Corresponding exon/intron structures of genes coding for the proteins used for the phylogenetic tree estimation. Exon/intron structure was obtained through Ensembl, NCBI or JGI databases. When exon boundaries correspond to identical amino acid positions, the exons are displayed in color. Otherwise, exons are displayed in black. Non-coding exons are shown in grey. Exon size (in nucleotides) is indicated above each box. C. Synteny analysis between Nematostella vectensis NmeGp1 genes and human group I NME genes. Nematostella vectensis gene names are NCBI Entrez gene symbols. For clarity reasons ‘‘NEMVEDRAFT_’’ was removed from all gene symbols. Duplication time estimations are from TimeTree [46]. doi:10.1371/journal.pone.0015506.g001 be consistent with their known involvement in key biological processes such as cell proliferation and development. Here, we have shown that the Nme gene repertoire of the metazoan ancestor was similar to that of the vertebrate ancestor (Figure 6). Nme gene family complexity predates Metazoan radiation In agreement with prior studies reporting major gene losses and genomic rearrangement experienced by ecdysozoans [17–20] we show that Nme genes have highly diverged in this phylogenetic group, resulting in the loss of either functional NDPK domains or entire genes. Furthermore, we demonstrate that the complexity of the family predates metazoan radiation. We also provide evidence suggesting that the complexity of the family is mainly a eukaryotic innovation, with the exception of Nme8 that is likely to be a choanoflagellate/metazoan innovation. This unexpectedly ancient complexity of the eukaryotic Nme gene family is in striking contrast with the existing hypothesis associating the emergence of Nme family complexity with the differentiation of Bilateralian [21] lineage. It should be stressed that this burst of complexity in the Nme family is much more ancient than what has been reported for many genes in which the expansion of the family is thought to have occurred around the metazoan radiation [18,19,22,23]. This would be in favor of the participation of Nme genes in ancestral functions and would also Highly conserved Nme sequence features exist among Metazoans and Eukaryotes The topology of the phylogenetic tree (Figure 1A) obtained using group I Nme proteins does not match the topology of the tree of life. Indeed, N. vectensis sequences appear, along with B. floridae and C. teleta sequences, as a sister group of the vertebrate and insect sequences, in contrast to T. adhaerens, S. purpuratus, and C. intestinalis sequences that appear much more divergent. The topology of the tree is, however, consistent with the genomic structure of group I Nme genes reported on Figure 1B. A highly conserved exon/intron structure is observed between T. adhaerens, N. vectensis, L. gigantea, and vertebrates, while ecdysozoans, C. teleta, C. intestinalis, and S. purpuratus exhibit a totally different genomic organization that reflects the high gene divergence observed in these species. Interestingly, the D. discoideum mitochondrial NdkM shows gene and protein features that are similar (Figure 1B) to its cytosolic paralog NdkC-2, but displays a longer N-terminus Figure 2. Phylogenetic tree, protein domains, and exon-intron structure of Nme5 in Eukaryotes. A. The phylogenetic midpoint-rooted tree was constructed as described in Figure 1A. B. Corresponding protein domain structure of Nme proteins. Protein domain information was obtained using Genbank Conserved Domain Database [40]. Parentheses indicate that the domain type is the best hit given by NCBI CDD but is not a specific hit according to CDD default parameters. C. Exon/intron gene structure was obtained as described in Figure 1B. doi:10.1371/journal.pone.0015506.g002 Figure 2. Phylogenetic tree, protein domains, and exon-intron structure of Nme5 in Eukaryotes. A. The phylogenetic midpoint-rooted tree was constructed as described in Figure 1A. B. Corresponding protein domain structure of Nme proteins. Protein domain information was obtained using Genbank Conserved Domain Database [40]. Parentheses indicate that the domain type is the best hit given by NCBI CDD but is not a specific hit according to CDD default parameters. C. Exon/intron gene structure was obtained as described in Figure 1B. doi:10.1371/journal.pone.0015506.g002 November 2010 | Volume 5 | Issue 11 | e15506 PLoS ONE | www.plosone.org 4 Pre-Metazoan origins of the Nme family Figure 3. Phylogenetic tree, protein domains, and exon-intron structure of Nme6 in Eukaryotes. A. The phylogenetic midpoint-rooted tree was constructed as described in Figure 1A. B. Corresponding protein domain structure was obtained as described in Figure 2A. C. Exon/intron gene structure was obtained as described in Figure 1B. doi:10.1371/journal.pone.0015506.g003 Figure 3. Phylogenetic tree, protein domains, and exon-intron structure of Nme6 in Eukaryotes. A. Highly conserved Nme sequence features exist among Metazoans and Eukaryotes The phylogenetic midpoint-rooted tree was constructed as described in Figure 1A. B. Corresponding protein domain structure was obtained as described in Figure 2A. C. Exon/intron gene structure was obtained as described in Figure 1B. doi:10.1371/journal.pone.0015506.g003 Figure 4. Phylogenetic tree and protein domains of Nme7 in Eukaryotes. A. The phylogenetic midpoint-rooted tree was constructed as described in Figure 1A. B. Corresponding protein domain structure was obtained as described in Figure 2A. doi:10.1371/journal.pone.0015506.g004 Figure 4. Phylogenetic tree and protein domains of Nme7 in Eukaryotes. A. The phylogenetic midpoint-rooted tree was constructed as described in Figure 1A. B. Corresponding protein domain structure was obtained as described in Figure 2A. doi:10.1371/journal.pone.0015506.g004 November 2010 | Volume 5 | Issue 11 | e15506 November 2010 | Volume 5 | Issue 11 | e15506 PLoS ONE | www.plosone.org 5 Pre-Metazoan origins of the Nme family Figure 5. Phylogenetic tree and protein domains of Nme8 in Metazoans. A. The phylogenetic midpoint-rooted tree was constructed as described in Figure 1A. B. Corresponding protein domain structure was obtained as described in Figure 2A. C. Synteny analysis between Nematostella vectensis Nme8 genes and human TXNDC3 (NME8) genes. Nematostella vectensis gene names correspond to the NCBI Entrez Gene identification. For clarity reasons the unchanged part ‘‘NEMVEDRAFT_’’ was removed. doi:10.1371/journal.pone.0015506.g005 Figure 5. Phylogenetic tree and protein domains of Nme8 in Metazoans. A. The phylogenetic midpoint-rooted tree was constructed as described in Figure 1A. B. Corresponding protein domain structure was obtained as described in Figure 2A. C. Synteny analysis between Nematostella vectensis Nme8 genes and human TXNDC3 (NME8) genes. Nematostella vectensis gene names correspond to the NCBI Entrez Gene identification. For clarity reasons the unchanged part ‘‘NEMVEDRAFT_’’ was removed. doi:10.1371/journal.pone.0015506.g005 in terms of genomic exon/intron structure, protein size, and functional domains (Figures 4B and S4). No synteny analysis could be performed between starlet sea anemone and humans for Nme5, Nme6, and Nme7 genes due to the limited number of genes present on corresponding sea anemone scaffolds (Table 2). Similarly to Nme7, no Nme8 ortholog was identified in C. elegans. In insects and T. adhaerens, the Nme8-related sequences that could be identified were extremely divergent (Figure 5A, Figure S2) and lacked the 3 NDPK_TX domains found in all eumetazoan Nme8 proteins, including the starlet sea anemone (Figure 5B). A conserved synteny was also identified between human and sea anemone (Figure 5C). Highly conserved Nme sequence features exist among Metazoans and Eukaryotes Together our data suggest that, in contrast to Nme5 and Nme6 that have been identified in all investigated metazoan species, Nme7 and Nme8 have been lost in C. elegans. In insects, very divergent Nme7 and Nme8 genes remain. For Nme8, the high divergence associated with the loss of the 3 NDPK_TX domains in insects and T. adhaerens suggests a fast evolution of the gene possibly associated with a loss of ancestral metazoan Nme8 function. sequence containing a mitochondrial assignation signal. In vertebrates, the Nme4 protein also displays a mitochondrial assignation signal in N-terminus sequence and was shown to be a gnathostome innovation [4]. In contrast, no mitochondrial assignation signal is found in any other Nme protein. This feature is thus likely to be a functional convergence between amoebozoan NdkM and vertebrate Nme4. As indicated above, orthologs of Human Nme5, Nme6, Nme7, and Nme8 are found in metazoans (Figure S3). The topology of the phylogenetic tree (Figure 2A) obtained using Nme5 proteins showed that ecdysozoan sequences are highly divergent. Ecdy- sozoan Nme5 proteins appear to be even more divergent than the early diverging eukaryotes N. gruberi and M. pusilla. Similarly to group I, gene exon/intron structure and protein domains of N. vectensis, B. floridae, S. purpuratus, C. teleta, and L. gigantea Nme 5 proteins (Figures 2B and 2C) were highly similar to their human counterpart, while ecdysozoan sequences exhibited different protein length and/or domains. In agreement with these observations was the remarkably conserved exon/intron structure observed between humans and sea anemone Nme5 genomic sequences (Figure 2C). Similar observations on tree topology, protein domains, and genomic structure were made for Nme6 (Figure 3). For Nme7, no ortholog could be identified in C. elegans, while very divergent Nme7 sequences were identified in non- metazoan eukaryote species, M. brevicollis, and insects as shown by the topology of the phylogenetic tree (Figure 4A). In contrast to all other studied species, no NDPk7A domain was found (Figure 4B) in M. brevicollis and insects sequences whereas they could be identified in several non-opisthokont eukaryote species, thus suggesting a high divergence of ecdysozoan genes within the metazoan lineage. In addition, an incomplete NDPk7B domain was found in A. aegypti (Figure 4B). It should be stressed that, in contrast to insects, the Nme7 sequences of T. adhaerens, N. vectensis, and B. Highly conserved Nme sequence features exist among Metazoans and Eukaryotes floridae were remarkably similar to their human counterpart We have shown that, in addition to the complexity of the Nme family, several highly conserved gene structures and protein domains are also conserved throughout metazoan evolution, some features being also conserved throughout the eukaryotic lineage. When considering the entire Nme family, the starlet sea anemone is the metazoan species exhibiting the most conserved gene and protein sequence features with humans. Starlet sea anemone as a model to investigate evolutionarily conserved Nme functions Several non vertebrate model species, mainly C. elegans and D. melanogaster, have been used to investigate Nme functions. This fruitful approach has shed light on evolutionary conserved mechanisms involved in Alzheimer’s disease [15], ciliary function [24], or epithelial integrity [25]. Nevertheless, the need for studies of November 2010 | Volume 5 | Issue 11 | e15506 PLoS ONE | www.plosone.org 6 Pre-Metazoan origins of the Nme family Table 1. GroupI Nme proteins: names and symbols by species, accession numbers and corresponding chromosomal location. Table 1. GroupI Nme proteins: names and symbols by species, accession numbers and corresponding chromosomal location. Species Name GenBank Acc. no. Ensembl or JGI Acc. no. Localisation Position N. gruberi NmeGp1NgA XP_002672581 72250 Scaffold_52 70,213–70,711 N. gruberi NmeGp1NgB XP_002678151 60551 Scaffold_19 18,232–18,965 T. thermophila NmeGp1 XP_001018488 Scaffold_8254597 472,318–473,033 D. discoideum NdkC-2 XP_644519 DDB0238334 Chr 2 3,427,961–3,428,694 D. discoideum NdkM XP_641417 DDB0214817 Chr 3 2,740,248–2,741,470 C. reinhardtii NmeGp1CrA XP_001698246 58944 Chr 16 365,385–367,897 C. reinhardtii NmeGp1CrB XP_001702884 292075 Scaffold_26 140,833–142,142 U. maydis NmeGp1UmA XP_759114 2967 Contig_1_101 162,394–163,065 U. maydis NmeGp1UmB XP_758923 2776 Contig_1_94 34,001–34,701 S. cerevisiae Ynk1 NP_012856 YKL067W Chromosome XI 314,456–314,917 M. brevicollis NmeGp1MbA XP_001742597 19073 Scaffold_2 878,808–880,474 M. brevicollis NmeGp1MbB XP_001749207 28652 Scaffold_28 66,018–71,920 T. adhaerens NmeGp1 XP_002115688 49508 Scaffold_11 2,334,568–2,336,179 N. vectensis NmeGp1NvA XP_001630018 169568 Scaffold_129 58,094–60,224 N. vectensis NmeGp1NvB XP_001630017 115087 Scaffold_129 51,034–52,881 C. elegans NmeGp1CeA NP_492761 F25H2.5.1 Chr I 10,553,902–10,553,101 C. elegans NmeGp1CeB NP_492819 F55A3.6 Chr I 10,784,780–10,783,989 T. castaneum Awd XP_967503 Linkage Group 3 32,141,388–32,142,070 Group1 D. melanogaster Awd NP_476761 FBpp0085223 Chr 3R 27,570,894–27,571,706 Nme A. aegypti Awd XP_001662512 AAEL012359-PA SuperContig1.684 87,333–88,186 L. gigantea NmeGp1 205662 Scaffold_3 3,942,249–3,946,053 C. teleta NmeGp1CtA 21725 Scaffold_758 80,222–84,888 C. teleta NmeGp1CtB 116635 Scaffold_527 188,815–189,048 S. purpuratus NmeGp1SpA XP_799145 Scaffold71291 17,770–21,754 S. purpuratus NmeGp1SpB XP_785384 Scaffold42444 298,840–301,211 C. intestinalis NmeGp1CiA XP_002123476 ENSCINP00000011619 Chr 8q 5,908,347–5,908,808 C. intestinalis NmeGp1CiB XP_002121438 ENSCINP00000002194 Chr 2q 7,888,026–7,888,562 B. floridae NmeGp1BfA XP_002598285 57540 Scaffold_24 2,074,549–2,076,844 B. floridae NmeGp1BfB XP_002598283 69640 Scaffold_24 2,064,578–2,066,435 H. sapiens NME1 NP_937818 ENSP00000337060 Chr 17 49,230,937–49,239,422 H. sapiens NME2 NP_001018149 ENSP00000376888 Chr 17 49,243,639–49,249,108 X. tropicalis Nme2 NP_001005140 ENSXETP00000024764 Scaffold_673 77,640–81,451 Nme2 D. rerio Nme2a NP_956264 ENSDARP00000064338 Scaffold Zv8_scaffold3117 528,950–537,135 D. rerio Nme2b1 NP_571001 ENSDARP00000099319 Chr 19 48,501,402–48,504,320 D. rerio Nme2b2 NP_571002 ENSDARP00000098065 Chr 19 48,507,488–48,510,647 H. sapiens NME3 NP_002504 ENSP00000219302 Chr 16 1,820,321–1,821,710 Nme3 X. tropicalis Nme3 NP_001005115 ENSXETP00000022770 Scaffold_27 933,363–937,018 D. rerio Nme3 NP_571003 ENSDARP00000075112 Chr 3 11,995,596–12,045,134 H. PLoS ONE | www.plosone.org November 2010 | Volume 5 | Issue 11 | e15506 Starlet sea anemone as a model to investigate evolutionarily conserved Nme functions sapiens NME4 NP_005000 ENSP00000219479 Chr 16 447,209–450,759 Nme4 X. tropicalis Nme4 NP_001039239 ENSXETP00000022726 Scaffold_27 1,305,654–1,312,714 D. rerio Nme4 NP_957489 ENSDARP00000103207 Chr 3 10,909,410–10,922,804 Protein names were retrieved from Ensembl and NCBI or proposed according to the evolutionary history of the genes. Chromosomal/genomic location was obtained using Ensembl genome browser, JGI databases, or NCBI Entrez Gene when not available on Ensembl or JGI. Protein names were retrieved from Ensembl and NCBI or proposed according to the evolutionary history of the genes. Chromosomal/genomic location was obtained using Ensembl genome browser, JGI databases, or NCBI Entrez Gene when not available on Ensembl or JGI. doi:10.1371/journal.pone.0015506.t001 as separate sexes, inducible spawning, flagellated sperm, and external fertilization. This model species thus offers significant opportunities to investigate Nme gene functions and thus shed new light on Nme functions that remain poorly understood [16]. Nme functions in non-vertebrate model species was recently stressed by the scientific community [16]. Here, we show that the starlet sea anemone exhibits a full set of metazoan Nme genes and shares remarkably conserved gene and protein sequence features with humans that were lost in flies and C. elegans. The starlet sea anemone is an emerging model [26] offering several biological features such Nme functions in non-vertebrate model species was recently stressed by the scientific community [16]. Here, we show that the starlet sea anemone exhibits a full set of metazoan Nme genes and shares remarkably conserved gene and protein sequence features with humans that were lost in flies and C. elegans. The starlet sea anemone is an emerging model [26] offering several biological features such Nme proteins of the group I are involved in a wide variety of cellular and physiological processes including tumor metastatic PLoS ONE | www.plosone.org November 2010 | Volume 5 | Issue 11 | e15506 7 Pre-Metazoan origins of the Nme family Table 2. GroupII Nme proteins: names and symbols by species, accession numbers and corresponding chromosomal location. Species Name GenBank Acc. no. Ensembl or JGI Acc. no. Localisation Position Nme5 N. gruberi Nme5 XP_002682323 29950 Scaffold_3 679,761–680,378 M. pusilla Nme5 XP_003056664 15249 Scaffold_3 169,341–169,943 M. brevicollis Nme5 XP_001749876 38924 Scaffold_34 201,106–202,764 T. adhaerens Nme5 XP_002112439 50304 Scaffold_5 3,451,699–3,452,497 N. vectensis Nme5 XP_001631264 244029 Scaffold_105 447,049–449,367 C. elegans Nme5 NP_501212 R05G6.5 Chr IV 7,508,567–7,509,459 T. castaneum Nme5 XP_001811234 Linkage Group 2 13,741,320–13,742,593 D. melanogaster Nme5 NP_651833 FBpp0085077 Chr 3R 26,707,514–26,709,225 A. aegypti Nme5 XP_001662993 AAEL003030-PA SuperContig1.75 2,400,537–2,515,468 L. November 2010 | Volume 5 | Issue 11 | e15506 Starlet sea anemone as a model to investigate evolutionarily conserved Nme functions gigantea Nme5 226200 Scaffold_168 228,601–233,346 C. teleta Nme5 177417 Scaffold_116 97,523–98,941 S. purpuratus Nme5 XP_790390 Scaffold25557 320,279–323,900 C. intestinalis Nme5 NP_001154961 ENSCINP00000008954 Chr 7q 1,031,987–1,036,756 B. floridae Nme5 XP_002596479 61845 Scaffold_430 334,501–336,787 H. sapiens NME5 NP_003542 ENSP00000265191 Chr 5 137,450,866–137,475,104 X. tropicalis Nme5 NP_001072619 ENSXETP00000008322 Scaffold_65 2,613–8,494 D. rerio Nme5 NP_001002516 ENSDARP00000060997 Chr 14 6,455,589–6,462,855 Nme6 D. discoideum Nme6 XP_629447 DDB0191701 Chr 6 2,282,811–2,283,293 C. reinhardtii Nme6 XP_001698136 139197 Chr 16 825,573–828,346 U. maydis Nme6 XP_760135 3988 Contig_1_139 15,223–16,271 M. brevicollis Nme6 XP_001744091 15435 Scaffold_5 413,751–414,530 T. adhaerens Nme6 XP_002114036 58087 Scaffold_7 2,675,108–2,676,755 N. vectensis Nme6 XP_001622626 140474 Scaffold_525 60,519–64,497 C. elegans Nme6 NP_001021779 Y48G8AL.15 Chr I 1,254,771–1,258,597 D. melanogaster Nme6 NP_572965 FBpp0073750 Chr X 14,477,710–14,478,649 T. castaneum Nme6 XP_972639 Linkage Group 8 6,083,034–6,083,586 A. aegypti Nme6 XP_001648448 AAEL004107-PA SuperContig1.107 2,016,668–2,033,334 L. gigantea Nme6 112601 Scaffold_15 3,040,725–3,042,846 C. teleta Nme6 91319 Scaffold_32 665,868–668,578 S. purpuratus Nme6 XP_001200902 Scaffold35436 11,834–18,064 C. intestinalis Nme6 XP_002129729 ENSCINP00000027945 Scaffold_1779 5,509–6,021 B. floridae Nme6 XP_002589414 279926 Scaffold_243 2,320,842–2,322,329 H. sapiens NME6 NP_005784 ENSP00000416658 Chr 3 48,334,754–48,342,848 X. tropicalis Nme6 NP_001123709 ENSXETP00000034257 Scaffold_857 287,305–293,502 D. rerio Nme6 NP_571672 ENSDARP00000094574 Chr 20 18,803,906–18,812,975 Nme7 N. gruberi Nme7 XP_002677897 33146 Scaffold_20 272,036–273,256 C. reinhardtii Nme7 XP_001702841 180221 Chr 12 8,939,035–8,941,564 T. thermophila Nme7 XP_001015884 Scaffold_8254649 122,957–124,735 M. brevicollis Nme7 XP_001749106 11267 Scaffold_27 519,462–520,004 T. adhaerens Nme7 XP_002108466 51403 Scaffold_1 1,598,731–1,601,855 N. vectensis Nme7 XP_001626602 125694 Scaffold_222 17,379–24,092 T. castaneum Nme7 XP_974333 Linkage Group 7 18,619,008–18,620,171 D. melanogaster Nme7 NP_649926 FBpp0081561 Chr 3R 5,505,663–5,507,224 A. aegypti Nme7 XP_001661412 AAEL011098-PA SuperContig1.541 206,988–220,408 L. gigantea Nme7 187020 Scaffold_18 1,179,880–1,185,739 C. teleta Nme7 160391 Scaffold_422 28,192–33,650 S. purpuratus Nme7 XP_795051 Scaffold9766 108,673–117,014 C. intestinalis Nme7 NP_001155162 ENSCINP00000025129 Chr 1p 3,423,461–3,424,231 B. floridae Nme7 XP_002588622 287848 Scaffold_254 342,459–356,708 H. sapiens NME7 NP_037462 ENSP00000356785 Chr 1 169,101,769–169,337,205 PLoS ONE | www.plosone.org 8 November 2010 | Volume 5 | Issue 11 | e15506 PLoS ONE | www.plosone.org 8 Pre-Metazoan origins of the Nme family Table 2. Cont. Species Name GenBank Acc. no. Ensembl or JGI Acc. no. Localisation Position X. tropicalis Nme7 NP_988903 ENSXETP00000005150 Scaffold_169 1,646,165–1,680,298 D. rerio Nme7 NP_571004 ENSDARP00000073091 Chr 6 31,135,867–31,196,533 Nme8 M. brevicollis Nme8 XP_001746342 32671 Scaffold_12 606,463–609,773 T. adhaerens Nme8 XP_002110931 22954 Scaffold_3 3,392,460–3,393,060 N. vectensis Nme8 XP_001634297 101462 Scaffold_61 602,301–615,863 T. castaneum TRX-Nme8 XP_972627 Linkage Group 5 12,145,420–12,148,468 D. melanogaster TRX-Nme8 NP_572772 FBpp0073425 Chr X 11,884,151–11,886,801 A. aegypti TRX-Nme8 XP_001652618 AAEL007253-PA SuperContig1.245 180,440–198,050 L. Starlet sea anemone as a model to investigate evolutionarily conserved Nme functions Interestingly, c-MYC and p53 homologs could also be identified in the starlet sea anemone genome thus suggesting that at least some down-stream targets of Nme proteins are also present in this species (Table S1). Interestingly, the importance of p53 in sea anemone development was recently stressed and found to be similar to its known function in vertebrate development [32]. the starlet sea anemone we were able to show that most proteins known to interact with human NME were also found in the eumetazoan ancestor. Together, these observations suggest a participation of Nme genes in key cellular functions that have been conserved throughout evolution. In this context, the starlet sea anemone that exhibits a full set of highly conserved Metazoan group II Nme genes and appropriate biological features - such as separate sex, flagellated sperm, and asymmetrical expression patterns during development -offers major opportunities to investigate Nme functions. Materials and Methods As indicated above, functional evidence exist demonstrating the importance of Nme gene for key biological processes, including development, cell proliferation, ciliary function, and cancer. We have shown here that the complexity of the Nme family predates metazoan radiation and that all Nme proteins display functional domains that have been conserved throughout evolution. Using Conclusion In summary, we demonstrated that the complexity of the Nme gene family initially thought to be restricted to chordates was also shared by the Metazoan ancestor. We also provide evidence suggesting that the complexity of the family is mainly a eukaryotic innovation, with the exception of Nme8 that is likely to be a choanoflagellate/metazoan innovation. Remarkably conserved gene structures, genomic linkage, and protein domains were identified among metazoans, some features being also conserved in eukaryotes. When considering the entire Nme family, the starlet sea anemone is the studied metazoan species exhibiting the most conserved gene and protein sequence features with humans. In addition, we were able to show that most of the proteins known to interact with human NME proteins were also found in the starlet sea anemone. Together, our observations further support the association of Nme genes with key cellular functions that have been conserved throughout metazoan evolution. As previously documented, most Nme proteins of the group II, with the exception of Nme6, have been associated with ciliary functions. They have been shown to play critical roles in spermatogenesis [33–35], sperm motility [2], development [36], and human conditions associated with primary ciliary dyskinesia [37]. The existence of orthologs in non-metazoan species was however unsuspected with the exception of the report of Nme7 in C. reinhardtii and T. thermophila [24]. In the present study, we have demonstrated that Nme5, Nme6, Nme7, and Nme8 genes were present in the metazoan ancestor, while Nme5, Nme6, and Nme7 were most likely present in the eukaryote ancestor. To date, only 7 proteins are known to interact with NME proteins of the group II. We were however able to identify homologs for 6 of these interacting partners in starlet sea anemone (Table S1). PLoS ONE | www.plosone.org Starlet sea anemone as a model to investigate evolutionarily conserved Nme functions gigantea Nme8 107502 Scaffold_7 645,416–655,143 C. teleta Nme8 96991 Scaffold_940 8,079–11,527 S. purpuratus Nme8 XP_001181827 Scaffold66657 21,472–41,768 C. intestinalis Nme8 NP_001027618 ENSCINP00000013583 Chr 9q 3,694,058–3,703,935 B. floridae Nme8 XP_002597926 280761 Scaffold_152 66,164–77,826 H. sapiens NME8 NP_057700 ENSP00000199447 Chr 7 37,888,199–37,940,003 X. tropicalis Nme8 NP_001121456 ENSXETP00000002355 Scaffold_664 444,670–467,036 D. rerio Nme8 NP_001082944 ENSDARP00000103107 Chr9 51,493,472–51,569,898 Protein names were retrieved from Ensembl and NCBI or proposed according to the evolutionary history of the genes. Chromosomal/genomic location was obtained using Ensembl genome browser, JGI databases, or NCBI Entrez Gene when not available on Ensembl or JGI. doi:10.1371/journal.pone.0015506.t002 Protein names were retrieved from Ensembl and NCBI or proposed according to the evolutionary history of the genes. Chromosomal/genomic location was obtained using Ensembl genome browser, JGI databases, or NCBI Entrez Gene when not available on Ensembl or JGI. doi:10.1371/journal.pone.0015506.t002 potential. Using a reciprocal BLASTP strategy, the starlet sea anemone genome was searched for homologs of human proteins known to interact with group I NME proteins. Among the 48 human proteins known to interact with NME1, NME2, NME3, or NME4, 44 had a homolog in sea anemone (Table S1). For instance, homologs of proteins involved in cancer and cell cycle control, such as MIF [27] and Rac1 [28], were clearly identified in sea anemone (Table S1). In addition, NME1 and NME2 have been demonstrated to regulate the expression of specific genes such as c-MYC [29,30] and p53 [31]. Interestingly, c-MYC and p53 homologs could also be identified in the starlet sea anemone genome thus suggesting that at least some down-stream targets of Nme proteins are also present in this species (Table S1). Interestingly, the importance of p53 in sea anemone development was recently stressed and found to be similar to its known function in vertebrate development [32]. potential. Using a reciprocal BLASTP strategy, the starlet sea anemone genome was searched for homologs of human proteins known to interact with group I NME proteins. Among the 48 human proteins known to interact with NME1, NME2, NME3, or NME4, 44 had a homolog in sea anemone (Table S1). For instance, homologs of proteins involved in cancer and cell cycle control, such as MIF [27] and Rac1 [28], were clearly identified in sea anemone (Table S1). In addition, NME1 and NME2 have been demonstrated to regulate the expression of specific genes such as c-MYC [29,30] and p53 [31]. Sequence analysis All Nme sequences were identified using the following genome assemblies: human (Homo sapiens, Assembly GRCh37), xenopus (Xenopus tropicalis, Assembly V.4.1), zebrafish (Danio rerio, Assembly ZV8), tunicate (Ciona intestinalis, Assembly V.2.0), florida lancelet PLoS ONE | www.plosone.org November 2010 | Volume 5 | Issue 11 | e15506 9 Pre-Metazoan origins of the Nme family Figure 6. Schematic depiction of Nme genes evolution in Opisthokonts. The gene repertoire opisthokont ancestor. For all lineages, duplication events are shown and cis-duplications (CD) indicated. Fo genome duplications events are shown and duplication events of group I Nme genes redrawn from [4]. Nm be vertebrate innovations [4] are not displayed here for clarity reasons. The gene repertoire is given for complete name of the gene is not given and only the gene number is given and the color kept consis opisthokont ancestor. doi:10 1371/journal pone 0015506 g006 Figure 6. Schematic depiction of Nme genes evolution in Opisthokonts. The gene repertoire is shown at the root of the tree for the opisthokont ancestor. For all lineages, duplication events are shown and cis-duplications (CD) indicated. For the vertebrate lineage, 1R and 3R whole genome duplications events are shown and duplication events of group I Nme genes redrawn from [4]. Nme 9 and Nme10 that have been shown to be vertebrate innovations [4] are not displayed here for clarity reasons. The gene repertoire is given for all studied species. For clarity reasons, the complete name of the gene is not given and only the gene number is given and the color kept consistent with the corresponding gene in the opisthokont ancestor. doi:10.1371/journal.pone.0015506.g006 Figure 6. Schematic depiction of Nme genes evolution in Opisthokonts. The gene repertoire is shown at the root of the tree for the opisthokont ancestor. For all lineages, duplication events are shown and cis-duplications (CD) indicated. For the vertebrate lineage, 1R and 3R whole genome duplications events are shown and duplication events of group I Nme genes redrawn from [4]. Nme 9 and Nme10 that have been shown to be vertebrate innovations [4] are not displayed here for clarity reasons. The gene repertoire is given for all studied species. For clarity reasons, the complete name of the gene is not given and only the gene number is given and the color kept consistent with the corresponding gene in the opisthokont ancestor. Sequence analysis doi:10 1371/journal pone 0015506 g006 doi:10.1371/journal.pone.0015506.g006 (Branchiostoma floridae, Assembly V.2.0), purple sea urchin (Strongy- locentrotus purpuratus, Assembly NCBI V.2.1), fruit fly (Drosophila melanogaster, Assembly BDGP5), yellow fever mosquito (Aedes aegypti, Assembly AaegL1), red flour beetle (Tribolium castaneum, Assembly Tcas 3.0), nematode (Caenorhabditis elegans, Assembly WS214), polychaete worm (Capitella teleta, Assembly V1.0), owl limpet (Lottia gigantea, Assembly V.1.0), starlet sea anemone (Nematostella vectensis, Assembly V.1.0), placozoan (Trichoplax adhaerens, Assembly Grell- BS-1999 V.1.0), marine choanoflagellate (Monosiga brevicollis, Assembly V1.0), fungi (Saccharomyces cerevisiae, Assembly EF 2; and Ustilago maydis, Assembly 1), amoebozoa (Dictyostelium dis- coideum, Assembly V.2.1), alveolate (Tetrahymena thermophila, Assembly 1.1), green plants (Micromonas pusilla, Assembly V.2.0; and Chlamydomonas reinhardtii, Assembly V.4.0) and heterolobosean (Naegleria gruberi, Assembly V.1.0). A large number of sequences were obtained from the NCBI NR database using human or zebrafish protein sequences as a query. When more than one sequence was obtained, the RefSeq one was preferentially selected. When no RefSeq sequence was available, the longest sequence was used. When no sequences were available in the NR database, BLASTP was used on the Ensembl [38] and DoE Joint Genome Institute databases. The chromosomal localization of Nme genes was established using the Ensembl genome browser or JGI gene information, or when not available, using the UCSC Genome Bioinformatics BLAT [39] and the NCBI Sequence Viewer. Exon/intron structure was obtained from the Ensembl, NCBI, or JGI databases. The protein domain structure of Nme proteins was obtained from the GenBank Conserved Domain Database [40]. (Branchiostoma floridae, Assembly V.2.0), purple sea urchin (Strongy- locentrotus purpuratus, Assembly NCBI V.2.1), fruit fly (Drosophila melanogaster, Assembly BDGP5), yellow fever mosquito (Aedes aegypti, Assembly AaegL1), red flour beetle (Tribolium castaneum, Assembly Tcas 3.0), nematode (Caenorhabditis elegans, Assembly WS214), polychaete worm (Capitella teleta, Assembly V1.0), owl limpet (Lottia gigantea, Assembly V.1.0), starlet sea anemone (Nematostella vectensis, Assembly V.1.0), placozoan (Trichoplax adhaerens, Assembly Grell- BS-1999 V.1.0), marine choanoflagellate (Monosiga brevicollis, Assembly V1.0), fungi (Saccharomyces cerevisiae, Assembly EF 2; and Ustilago maydis, Assembly 1), amoebozoa (Dictyostelium dis- coideum, Assembly V.2.1), alveolate (Tetrahymena thermophila, Assembly 1.1), green plants (Micromonas pusilla, Assembly V.2.0; and Chlamydomonas reinhardtii, Assembly V.4.0) and heterolobosean (Naegleria gruberi, Assembly V.1.0). A large number of sequences were obtained from the NCBI NR database using human or zebrafish protein sequences as a query. When more than one sequence was obtained, the RefSeq one was preferentially selected. References 1. Steeg PS, Bevilacqua G, Kopper L, Thorgeirsson UP, Talmadge JE, et al. (1988) Evidence for a novel gene associated with low tumor metastatic potential. J Natl Cancer Inst 80: 200–204. 12. Troll H, Winckler T, Lascu I, Muller N, Saurin W, et al. (1993) Separate nuclear genes encode cytosolic and mitochondrial nucleoside diphosphate kinase in Dictyostelium discoideum. J Biol Chem 268: 25469–25475. 1. Steeg PS, Bevilacqua G, Kopper L, Thorgeirsson UP, Talmadge JE, et al. (1988) Evidence for a novel gene associated with low tumor metastatic potential. J Natl Cancer Inst 80: 200–204. 2. Boissan M, Dabernat S, Peuchant E, Schlattner U, Lascu I, et al. (2009) The mammalian Nm23/NDPK family: from metastasis control to cilia movement. Mol Cell Biochem 329: 51–62. 13. Cherfils J, Morera S, Lascu I, Veron M, Janin J (1994) X-ray structure of nucleoside diphosphate kinase complexed with thymidine diphosphate and Mg2+ at 2-A resolution. Biochemistry (Mosc) 33: 9062–9069. 3. Postel EH (2003) Multiple biochemical activities of NM23/NDP kinase in gene regulation. J Bioenerg Biomembr 35: 31–40. g y ( ) 14. Lascu L, Giartosio A, Ransac S, Erent M (2000) Quaternary structure of nucleoside diphosphate kinases. J Bioenerg Biomembr 32: 227–236. nucleoside diphosphate kinases. J Bioenerg Biomembr 32: 227–2 4. Desvignes T, Pontarotti P, Fauvel C, Bobe J (2009) Nme protein family evolutionary history, a vertebrate perspective. BMC Evol Biol 9: 256. 15. Napolitano F, D’Angelo F, Bimonte M, Perrina V, D’Ambrosio C, et al. (2008) A differential proteomic approach reveals an evolutionary conserved regulation of Nme proteins by Fe65 in C. elegans and mouse. Neurochem Res 33: 2547–2555. 5. Polosina YY, Jarrell KF, Fedorov OV, Kostyukova AS (1998) Nucleoside diphosphate kinase from haloalkaliphilic archaeon Natronobacterium magadii: purification and characterization. Extremophiles 2: 333–338. 16. Mehta A, Orchard S (2009) Nucleoside diphosphate kinase (NDPK, NM23, AWD): recent regulatory advances in endocytosis, metastasis, psoriasis, insulin release, fetal erythroid lineage and heart failure; translational medicine exemplified. Mol Cell Biochem 329: 3–15. 6. Hama H, Almaula N, Lerner CG, Inouye S, Inouye M (1991) Nucleoside diphosphate kinase from Escherichia coli; its overproduction and sequence comparison with eukaryotic enzymes. Gene 105: 31–36. 17. Takahashi T, McDougall C, Troscianko J, Chen WC, Jayaraman-Nagarajan A, et al. (2009) An EST screen from the annelid Pomatoceros lamarckii reveals patterns of gene loss and gain in animals. BMC Evol Biol 9: 240. 7. Authors thank Alexis Fostier for helpful discussions. Figure S1 Ciona intestinalis genomic region paralogy relationships between chromosomes 2q and 8q. For Ciona intestinalis paralogy analysis, synteny relationships were inquired using the Synteny Database [45] and putative paralogs were validated by reciprocal BLASTP on NCBI NR databases. (TIF) Authors thank Alexis Fostier for helpful discussions. Identification of Nme partners homologs Validated human NME partners were obtained though NCBI Entrez Gene Interactions (http://www.ncbi.nlm.nih.gov/gene) in- formation. Homologous genes in Nematostella vectensis were identified by reciprocal BLASTP on the NCBI NR database. Only BLASTP hits with an E-value lower than 10210 were considered significant. Phylogenetic analysis of Nme proteins Only Homo sapiens, Danio rerio, Ciona intestinalis and Nematostella vectensis sequences were used in this phylogenetic tree reconstruction because of the highly divergent ecdysozoans sequences greatly modifying the tree topology. (TIF) Author Contributions Conceived and designed the experiments: TD JB PP. Performed the experiments: TD. Analyzed the data: TD JB PP. Contributed reagents/ materials/analysis tools: JB PP. Wrote the paper: TD JB. Performed in silico analyses and prepared the figures: TD. Conceived and designed the experiments: TD JB PP. Performed the experiments: TD. Analyzed the data: TD JB PP. Contributed reagents/ materials/analysis tools: JB PP. Wrote the paper: TD JB. Performed in silico analyses and prepared the figures: TD. Figure S2 Exon/intron structure of Nme8 genes. Exon/ intron structure was obtained through Ensembl, NCBI, or JGI databases. When exon boundaries correspond to similar amino Synteny analysis The synteny relationships of starlet sea anemone and human Nme genes were analyzed by reciprocal BLASTP on the NCBI NR database using surrounding genes of Nme genes in Nematostella vectensis. Homologous genes were considered in the analysis only when reciprocal BLASTP returned the couple as best hit. For the Ciona intestinalis paralogy analysis, synteny relationships were obtained using the Synteny Database [45] and putative paralogs were validated by reciprocal BLASTP on the NCBI NR database. Figure S4 Exon/intron structure of Nme7 genes. Exon/ intron structure was obtained through Ensembl, NCBI, or JGI databases. When exon boundaries correspond to similar amino acid positions, the exons are displayed in color. Otherwise, exons are displayed in black. Non-coding exons are shown in grey. Numbers indicate exon size in nucleotides. (TIF) Table S1 BLASTP hits of human NME partners against starlet sea anemone sequences. Partners of human NME proteins were listed from NCBI Entrez Gene interaction information. BLASTP hits were considered significant for e-values lower than 10210. Accession numbers and BLASTP e-values are also given for c-Myc and p53, two downstream targets of human NME1 and NME2 proteins. (XLS) Figure S4 Exon/intron structure of Nme7 genes. Exon/ intron structure was obtained through Ensembl, NCBI, or JGI databases. When exon boundaries correspond to similar amino acid positions, the exons are displayed in color. Otherwise, exons are displayed in black. Non-coding exons are shown in grey. Numbers indicate exon size in nucleotides. (TIF) Table S1 BLASTP hits of human NME partners against starlet sea anemone sequences. Partners of human NME proteins were listed from NCBI Entrez Gene interaction information. BLASTP hits were considered significant for e-values lower than 10210. Accession numbers and BLASTP e-values are also given for c-Myc and p53, two downstream targets of human NME1 and NME2 proteins. (XLS) Phylogenetic analysis of Nme proteins Phylogenetic reconstructions were performed using the auto- mated genomic annotation platform FIGENIX [41]. For each phylogenetic tree reconstruction, all selected protein sequences were added to a single multiple sequence alignment. Sequence alignment was performed automatically by the FIGENIX pipeline using MUSCLE v3.6 [42,43]. The pipeline used is based on three PLoS ONE | www.plosone.org PL November 2010 | Volume 5 | Issue 11 | e15506 PLoS ONE | www.plosone.org 10 Pre-Metazoan origins of the Nme family different methods of phylogenetic tree reconstruction (i.e. neighbour-joining (NJ), maximum parsimony (MP), and maximum likelihood (ML)). The substitution model was calculated from data for ML while BLOSUM was used for NJ. Bootstrapping was carried out to assess node support with 1000 pseudoreplicates [44]. Support values were mapped onto a midpoint-rooted 50% majority rule consensus tree for each optimality criterion. Bootstrap values are reported for the nodes that are present in all three phylogenetic reconstruction methods. Asterisks denote the absence of a node for a given phylogenetic method. acid positions, the exons are displayed in color. Otherwise, exons are displayed in black. Non-coding exons are shown in grey. Numbers indicate exon size in nucleotides. (TIF) Figure S3 Phylogenetic reconstruction of the Nme pro- tein family in eumetazoans. Phylogenetic tree was constructed from a single multiple alignment. Bootstrap values for neighbor joining, maximum parsimony, and maximum likelihood methods, respectively, are indicated for each node. * indicates that the node does not exist in the corresponding tree. The consensus tree was calculated using the FIGENIX [41] automated phylogenomic annotation pipeline. Only Homo sapiens, Danio rerio, Ciona intestinalis and Nematostella vectensis sequences were used in this phylogenetic tree reconstruction because of the highly divergent ecdysozoans sequences greatly modifying the tree topology. (TIF) acid positions, the exons are displayed in color. Otherwise, exons are displayed in black. Non-coding exons are shown in grey. Numbers indicate exon size in nucleotides. (TIF) Figure S3 Phylogenetic reconstruction of the Nme pro- tein family in eumetazoans. Phylogenetic tree was constructed from a single multiple alignment. Bootstrap values for neighbor joining, maximum parsimony, and maximum likelihood methods, respectively, are indicated for each node. * indicates that the node does not exist in the corresponding tree. The consensus tree was calculated using the FIGENIX [41] automated phylogenomic annotation pipeline. Acknowledgments Figure S1 Ciona intestinalis genomic region paralogy relationships between chromosomes 2q and 8q. For Ciona intestinalis paralogy analysis, synteny relationships were inquired using the Synteny Database [45] and putative paralogs were validated by reciprocal BLASTP on NCBI NR databases. (TIF) Figure S2 Exon/intron structure of Nme8 genes. Exon/ intron structure was obtained through Ensembl, NCBI, or JGI databases. When exon boundaries correspond to similar amino Authors thank Alexis Fostier for helpful discussions. Pre-Metazoan origins of the Nme family 22. Degnan BM, Vervoort M, Larroux C, Richards GS (2009) Early evolution of metazoan transcription factors. Curr Opin Genet Dev 19: 591–599. 34. Hwang KC, Ok DW, Hong JC, Kim MO, Kim JH (2003) Cloning, sequencing, and characterization of the murine nm23-M5 gene during mouse spermatogen- esis and spermiogenesis. Biochem Biophys Res Commun 306: 198–207. 23. Srivastava M, Simakov O, Chapman J, Fahey B, Gauthier ME, et al. (2010) The Amphimedon queenslandica genome and the evolution of animal complexity. Nature 466: 720–726. 35. 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Factors that impact acceptance of COVID-19 vaccination in different community-dwelling populations in China
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Version of Record: A version of this preprint was published at Vaccines on January 8th, 2022. See the published version at https://doi.org/10.3390/vaccines10010091. License:   This work is licensed under a Creative Commons Attribution 4.0 International License. License:   This work is licensed under a Creative Commons Attribution 4.0 International License.   Read Full License Findings The results indicated that 82·6% of participants (77·0% in Shanghai and 87·3% in Zhejiang) were willing to receive vaccination when it was available in the community, and 57·2% of deliverymen, 43·3% of medical workers, 78·2% of parents of primary and secondary school children, and 72·2% of parents of preschool children were willing to receive vaccination. The models showed that participants who were male, 60 to 69 years-old, from rural areas, had less education, had good health status, and had positive attitudes and trust in vaccines approved by National Health Commission were more likely to accept vaccination. Participants also had increased vaccination acceptance if it was recommended by government sources, doctors, relatives, or friends. Most participants learned about COVID-19 vaccination from television, radio, and newspapers, followed by community or hospital campaigns and the internet. Those who did not want to receive vaccination were mainly concerned about safety (288, 59·6%) and efficacy (196, 40·6%). Research Article Page 1/21 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 Vaccines on January 8th, 2022. See the published version at https://doi.org/10.3390/vaccines10010091. Page 2/21 Conclusions Government sources and doctors could increase acceptance of vaccination by promoting the efficacy and safety of COVID-19 vaccination by use of mass media and emphasizing the necessity of vaccination for everyone. Background It is important to improve vaccination strategies and immunization programs to achieve herd immunity to infectious diseases, particularly in general community-dwelling populations. Methods To assess the acceptance of COVID-19 vaccination, we conducted face-to-face surveys and online surveys in Shanghai, Zhejiang, and Qinghai province. A fixed effects model and a random effects model were used to analyze factors associated with acceptance of COVID-19 vaccination. Introduction The current 2019 coronavirus disease (COVID-19) pandemic, caused by the severe acute respiratory syndrome coronavirus 2 (SARS-CoV-2), accounts for a significant amount of the total global disease burden (1, 2). As of 14 May 2021, there were 161,367,221 confirmed cases worldwide, and 103,938 cases in China. To slow the spread of infection and mitigate the adverse health effects, public health administrations in many countries have implemented various control measures, such as quarantine, Page 3/21 Page 3/21 partial and comprehensive lockdown, closing of schools and businesses, and promoting mask-wearing in public areas (3). Although these measures were helpful, resurgences of COVID-19 were reported in many regions after resumption of normal activities (4–6), thus indicating an urgent need for effective long-term preventive measures. COVID-19 vaccination is generally considered the most effective method to control the spread of this disease (4). At present, more than ten COVID-19 vaccines were approved for marketing in different countries (7), and numerous countries have successfully implemented vaccination programs, including China and the United States. Although many countries have achieved significant progress, two major challenges must be overcome: poor public acceptance of vaccination and implementation of interventions that increase public acceptance of vaccination (8). Many previous studies have examined public acceptance of COVID-19 vaccination. For example, Reiter et al (9) stated that 69% of participants in the United States were willing to receive COVID-19 vaccination. Harapan et al (10) found that 93·3% of individuals in Indonesia were willing to receive a vaccine that had 95% effectiveness, but only 67·0% were willing if the vaccine had 50% effectiveness. Lazarus et al (11) reported that people from China had the highest acceptance of COVID-19 vaccination (88·6%) and Poland had the lowest acceptance (27·3%). However, these studies were all conducted online, and thus excluded people without internet accesses. Moreover, because almost all of these studies were web-based, this may have compromised the quality of survey and led to population biases. However, the real COVID-19 vaccination uptake rate could be much lower than the acceptance after introducing the vaccine and promoting mass immunization programs (8). Identification of factors related to acceptance or rejection of COVID-19 vaccination is essential for the design of strategies that improve vaccine coverage in general populations. Introduction Some previous studies found that positive attitudes about COVID-19 vaccination were associated with learning about vaccination from government sources, male sex, educational attainment, increased frequency of flu vaccination, and having health insurance (8, 12). However, these were online surveys that used a fixed effect model for analysis, and did not consider the effect of geographic among participants. Our general purpose was to provide a more comprehensive understanding of the public acceptance of COVID-19 vaccination and the factors that influence its acceptance. Thus, we performed face-to-face interviews to assess vaccine acceptance in general community-dwelling populations and a larger online survey to assess the attitudes of healthcare workers, deliveryman, the parents of preschoolers, and the parents of primary and secondary school students. We then used a fixed effect model and a random effect model to analyze the data. This approach is critical for the development of improved strategies that promote acceptance of COVID-19 vaccination, particularly the vaccination of individuals living in the general community. A comparison of the results of this study with those of previous studies may help to identify changes in the acceptance of vaccination at different times and in different populations. Sampling For the face-to-face survey, 120 neighborhoods were sampled using multi-stage stratified sampling that was proportional to population size (Figure S1). Then a convenience sample of 25 households per neighborhood was selected as broadly representative of the geographic characteristics of the whole neighborhood population (Figure S2). One person from each household was invited to participate until there were 2966 participants with appropriate age and gender distribution (Sampling design and study population, Supplementary Text 1). Individuals of all ages who were living in the selected neighborhoods more than 2 weeks and did not intend to move from these districts during the following 2 weeks were eligible for inclusion. For the online survey, four key populations were selected from Shanghai, Huzhou, and Qinghai, so that each level of hospital (primary, secondary, tertiary) was considered (Supplementary Text 1). Healthcare workers, cold chain transportation workers, takeaway workers, and couriers were selected as the key populations. Two to four kindergartens were selected as clusters within each region using simple random sampling (SRS, Supplementary Text 1&2 for sampling and school details) and two to four senior high schools, junior middle schools, and primary schools were also selected in each region (Supplementary Text 1&2 for sampling and school details). One class from each grade was selected in each senior high, junior-middle school, and primary school. Each online survey participant voluntarily signed an informed consent agreement. The target sample size was 1483 for each category. (Supplementary Text 1 for population details can be seen in Supplementary Text 1). Materials And Methods Ethics statement Page 4/21 The Ethics Committee of the School of Public Health of Fudan University approved this study (Approval no: IRB#2020-11-0758) and all participants provided written informed consent. The Ethics Committee of the School of Public Health of Fudan University approved this study (Approval no: IRB#2020-11-0758) and all participants provided written informed consent. Study sites Between December 2020 and April 2021, face-to-face surveys targeting the general population were performed in Shanghai and Huzhou (Fig. 1), cities that have very different characteristics. Shanghai is a wealthy and highly connected international hub with a high population density and has experienced continuous importations of COVID-19 cases. Huzhou is a middle-sized city that has a more modest average income and a lower population density. These face-to-face interviews were conducted in two districts of Shanghai (Songjiang and Minhang district) and in four districts of Zhejiang (Nanxun, Anji, Deqing, and Changxing). Online surveys were also conducted in Shanghai, Huzhou, and Qinghai (a remote region with a low population density and a low average income). Face-to-face survey After signing the informed consent document, each participant received a questionnaire that was developed based on previous research (10, 13–20) and guidance of experts from Fudan University, Page 5/21 Page 5/21 Zhejiang University, and Duke University. A direct face-to-face interview was performed by investigators who received the same training (Quality control, Supplementary Text 1). Zhejiang University, and Duke University. A direct face-to-face interview was performed by investigators who received the same training (Quality control, Supplementary Text 1). The questionnaire collected information on demographics (region of residence, age, sex, level of education, income, basic diseases, and occupation); knowledge, attitudes, and acceptance of COVID-19 vaccination; and willingness to pay for vaccination. Participants were asked the following general question: ‘If a COVID-19 vaccine was free and available to you, would you take it?’, and were then asked to register their level of agreement to the following response: ‘I would follow doctor’s, government’s, relatives’, and friends’ recommendation to get a COVID-19 vaccine once the government has approved it as safe and effective’. The level of agreement to this response was rated using a six-point Likert scale (‘completely possible’, ‘somewhat possible’, ‘neutral/no opinion’, ‘somewhat impossible’, ‘completely impossible’, and “I don’t know”. Each participant’s knowledge of COVID-19 vaccination and their reasons for accepting vaccination were also examined. The attitudes about two COVID-19 vaccines were determined: the domestic vaccine (approximately 80% effective) and the imported vaccine (approximately 95% effective). The acceptance and willingness of the participant to pay for vaccination of himself/herself, his/her children, and elderly family members (≤ 60 years-old) were assessed for each vaccine. Information about whether the participant or a family member was sickened or died from COVID-19-, was on the ‘front lines’ during implementation of pandemic control and treatment measures, was in quarantine because of contact history, the distance from the participant’s home to the nearest vaccination site, and the number of years the participant lived in the sampled area were recorded. The responses to different questions were determined for different groups defined by age (< 30, 30–39, 40–49, 50–59, 60–69, and > 70 years-old), gender (male, female), education level (less than high school [low], high school or technical secondary school [medium], bachelor’s degree or above [high]), marital status (married, other [single, divorced or widowed]), and employment status (employed, unemployed [full-time housewife, retired, and unemployed]). Face-to-face survey In addition, questions were used to assess knowledge (4 questions), attitude (2 questions), and behavior (5 questions) related to COVID-19 vaccination (Questions about knowledge, attitude and behavior, Supplementary Text 1). A correct answer was scored as ‘1’, an incorrect answer as ‘0’, and total scores were determined for knowledge, attitude, and behavior. Online survey After signing the informed consent agreement, participants in the online survey completed the questionnaire online. This questionnaire was simpler than the face-to-face questionnaire, and collected information demographic information (age, sex, level of education, income, and occupation). The general vaccine-related question was, ‘If a COVID-19 vaccine was free and available to you, would you take it?’. Statistical analysis Statistical analysis Categorical variables were expressed as proportions and continuous variables as means (standard errors). Multilevel logistic regression and simple logistic regression were used for analysis. An outcome was defined as ‘1’ for an answer of ‘completely agree’ or ‘somewhat agree’, and ‘0’ for any other response (Statistical analysis, Supplementary Text 1). For missing data, a random forest model was used for imputation (mice package and RandomForest package in R). Bootstrapping was used to estimate 95% confidential intervals of vaccine acceptance. All data analyses were conducted using R version 3·6·0. Demographic characteristics of participants We initially recruited 3173 participants. A total of 2769 of these individuals (87·3%) did not receive COVID-19 vaccination and completed the full questionnaire in the face-to-face survey (Figure S3). Among these 2769 participants, 1286 (46·6%) were female, 1469 (53·0%) were from rural regions and 1300 (46·9%) were from urban areas (Tables S1 and S5), and 25·7% had incomes of more than 50 to 100 thousand Chinese yuan per year. More than half of the respondents (53·2%) had ‘low level’ of education (completion of junior high school or less). The mean age was 45·95 years, and there were similar numbers of participants in the different age groups (Figure S4). We also conducted an online survey in Shanghai, Qinghai, and Huzhou to determine the acceptance of vaccination by delivery workers, healthcare workers, parents of preschoolers, and parents of primary and secondary school students (n = 20,595). Among these participants, 2879 were delivery workers, 4852 were parents of preschoolers, 3826 were healthcare workers, and 9038 were parents of primary and secondary school students. A total of 17,206 of these individuals (1335 delivery workers, 2001 healthcare workers, 4847 parents of preschoolers, 9017 parents of primary and secondary school students) completed the full questionnaire and passed the audit based on verification questions (Figure S3), which included naming the capital of China, work unit, birth date, and geographic location (verified by comparison with the internet protocol address). Most of the delivery workers were male (85·6%), more than half of them had a ‘low level’ of education (50·2%), and 40·8% had incomes below 10,000 yuan in 2019. Most of the healthcare workers were female (76·9%), more than half of them had a ‘high level’ of education (90%), and 27·7% had incomes of 30,000 to 100,000 yuan in 2019. Among the parents of preschoolers, 52·4% were male and 22·6% had incomes of 500,000 to 1,000,000 yuan in 2019. Among the parents of primary and secondary school students, 51·9% were male and 22·6% had incomes of 100,000 to 300,000 Chinese yuan in 2019. Methods to improve acceptance of vaccination We assessed the sources of each participant’s knowledge about influenza vaccination in the face-to-face survey. Among the 2769 participants, 93 (4·2%) knew little about the flu vaccine; 1465 (66%) learned about the flu vaccine from publicity provided by the local community or hospital; 1007 from newspapers, videos, or television; 810 from the internet (QQ, WeChat, Weibo, news websites, etc.); 507 from family and friends; and 36 from other sources. In contrast, knowledge about COVID-19 vaccination was mainly from television, videos, and newspapers (1619, 58·5%), followed by community or hospital campaigns (1270, 45·9%), the internet (1188, 42·9%), family and friends (723), and other sources (2). Sixteen participants said they knew nothing about COVID-19 vaccination (Fig. 3). The vaccination acceptance rate was greater for those who learned about it from government publicity and suggestions by a doctor, relative, or friend, but was less for those who worried about vaccine safety (Fig. 4). Among the 2235 (80·7%) participants who did not receive the influenza vaccine, 843 (37·72%) said they were in good health and did not need it, 370 (16·55%) said they were unlikely to get influenza, 195 (8·72%) believed that only children needed the vaccine, 470 (21·03%) worried about vaccine safety, 170 (7·61%) reported it was too expensive, 380 (17·00%) worried about the efficacy, 436 (19·51%) never heard about the vaccine, and 334 (14·94%) did not know where to get the vaccine (Fig. 4). Thus, the major reason participants did not receive the influenza vaccine is that they thought it was unnecessary because they already had good health status and concerns about the vaccine safety (Fig. 4). Among the 483 participants (17·44%) who refused or were hesitant about COVID-19 vaccination, most were worried about safety (288, 59·63%) and efficacy (196, 40·58%). Additionally, 75 (15·53%) participants thought they were in good health and did not need the vaccine, 69 (14·29%) believed they had a low risk of infection, 48 (9·94%) worried about the high price, 30 (6·21%) did not know where to get the vaccine, 9 previously had poor vaccination experiences, and 71 (14·70%) had other reasons, such as old age, presence of a chronic disease, and other factors (Fig. 4). The simple logistic and multilevel logistic models indicated that males were more likely to accept COVID- 19 vaccination than females (Table 4). Vaccine acceptance in different populations Our analysis of participants in the face-to-face survey indicated that 2286 (82·6%) of them would accept vaccination if a ‘free and effective’ COVID-19 vaccine was available (Fig. 2). There were more positive responses in Zhejiang (1298/1486, 87·3%, p < 0·0001) than in Shanghai (988/1283, 77·0%). Among the four key groups in the online survey, 57·2% of delivery workers, 43·3% of healthcare workers, 78·2% of the parents of primary and secondary school students, and 72·2% of the parents of preschool Page 7/21 Page 7/21 children indicated they would accept vaccination (Fig. 2). Notably, the parents of primary and secondary school students had the most positive responses (7052/9017, 78·2%), and healthcare workers had the fewest positive responses (867/2001, 43·3%). We also explored the acceptance rate under two different hypotheticals vaccination scenarios that considered vaccine origin and efficacy, and the probability of adverse reactions (Results, Supplementary Text 1). Methods to improve acceptance of vaccination In addition, those with a ‘low level’ of education more likely to accept the COVID-19 vaccine than those with a ‘medium level’ of educational. Relative to participants with poor health, those with good health were less likely have negative views of COVID-19 vaccination (simple logistic model: OR = 0·35, 95 CI% (0·15, 0·88); multilevel logistic model: OR = 0·36, 95 CI% (0·15, 0·88)). Higher attitude and behavioral scores were also associated positively with vaccine acceptance. Those who did not know whether to choose an imported or domestic vaccine were less likely to accept vaccination than those who preferred the imported vaccine. The logistic model indicated that participants Page 8/21 from rural areas were more likely to accept vaccination than those from urban areas (OR = 0·59, 95% CI (0·44, 0·79)). The multilevel logistic model indicated that participants aged 60 to 69 years were more likely to accept vaccination than those less than 30 years-old (OR = 0·52, 95% CI (0·29, 0·92)). from rural areas were more likely to accept vaccination than those from urban areas (OR = 0·59, 95% CI (0·44, 0·79)). The multilevel logistic model indicated that participants aged 60 to 69 years were more likely to accept vaccination than those less than 30 years-old (OR = 0·52, 95% CI (0·29, 0·92)). from rural areas were more likely to accept vaccination than those from urban areas (OR = 0·59, 95% CI (0·44, 0·79)). The multilevel logistic model indicated that participants aged 60 to 69 years were more likely to accept vaccination than those less than 30 years-old (OR = 0·52, 95% CI (0·29, 0·92)). Discussion Similarly, we also observed greater acceptance of vaccination in people aged 60 to 69 years than those under 30 years-old, possibly because there are greater risks of complications and death due to COVID-19 in the elderly (12). These results suggest that many people may Identification of factors that influence acceptance of COVID-19 vaccination — both barriers and facilitators — is important for the design of effective strategies that improve vaccine coverage in the general community. We found that males had a stronger acceptance of vaccination than females, possibly because previous studies reported greater risks of complications and death due to COVID-19 in males than females (23). Similarly, we also observed greater acceptance of vaccination in people aged 60 to 69 years than those under 30 years-old, possibly because there are greater risks of complications and death due to COVID-19 in the elderly (12). These results suggest that many people may misunderstand that having a somewhat lower risk of complications or death from COVID-19 means that they can ignore the need for vaccination. Therefore, future vaccination campaigns should guide the entire public to understand the importance of vaccination and universal coverage for establishing population- wide immunity, and that it is necessary to include individuals who are not in high-risk groups. In the face of the COVID-19 pandemic, it is unrealistic to maintain a prolonged lock-down strategy, because this will Identification of factors that influence acceptance of COVID-19 vaccination — both barriers and facilitators — is important for the design of effective strategies that improve vaccine coverage in the general community. We found that males had a stronger acceptance of vaccination than females, possibly because previous studies reported greater risks of complications and death due to COVID-19 in males than females (23). Similarly, we also observed greater acceptance of vaccination in people aged 60 to 69 years than those under 30 years-old, possibly because there are greater risks of complications and death due to COVID-19 in the elderly (12). These results suggest that many people may misunderstand that having a somewhat lower risk of complications or death from COVID-19 means that they can ignore the need for vaccination. Therefore, future vaccination campaigns should guide the entire public to understand the importance of vaccination and universal coverage for establishing population- wide immunity, and that it is necessary to include individuals who are not in high-risk groups. Discussion We investigated the acceptance of COVID-19 vaccination and identified factors related to this acceptance using an online survey and a face-to-face survey of different community-dwelling populations in China. The results indicated that acceptance varied among different groups within a population and also among different populations. In particular, a comparison of general community populations indicated greater acceptance of vaccination in Zhejiang (87·3%) than in Shanghai (77·0%). A comparison of different groups within populations indicated that acceptance was greatest among parents of primary and secondary school students (78·2%), and lowest among medical workers (43·3%). The low vaccination rate of medical workers may be due to the fact that some medical workers had been vaccinated at the time of our survey. By adding up the vaccinated people and the unvaccinated people who were willing to be vaccinated, the vaccination rate of medical workers was calculated to be 86·8%. Similarly, at the time of the survey, some of the delivery workers had been vaccinated. We added up those who had been vaccinated to calculate the final vaccination rate of the delivery workers was 84·6%. In contrast to previous studies (21, 22), we investigated willingness to be vaccinated in different groups of people. Given that many people living in the community do not use mobile phones, our combined use of a face- to-face and online survey provided a more reliable assessment of vaccine acceptance in the general community and stronger scientific basis for developing vaccination policies for general communities. Our results indicated a strong desire for vaccination in the general community, suggesting support for large- scale vaccination programs. The administration of hundreds of millions of vaccines may present a significant logistical challenge to the government and policymakers in China. Therefore, we suggest there should be a focus on the establishment of vaccination sites and the rapid allocation of vaccination resources and other preparations to prevent shortages of vaccines so that rapid population immunity can be established. Identification of factors that influence acceptance of COVID-19 vaccination — both barriers and facilitators — is important for the design of effective strategies that improve vaccine coverage in the general community. We found that males had a stronger acceptance of vaccination than females, possibly because previous studies reported greater risks of complications and death due to COVID-19 in males than females (23). Discussion In the face of the COVID-19 pandemic, it is unrealistic to maintain a prolonged lock-down strategy, because this will misunderstand that having a somewhat lower risk of complications or death from COVID-19 means that they can ignore the need for vaccination. Therefore, future vaccination campaigns should guide the entire public to understand the importance of vaccination and universal coverage for establishing population- wide immunity, and that it is necessary to include individuals who are not in high-risk groups. In the face of the COVID-19 pandemic, it is unrealistic to maintain a prolonged lock-down strategy, because this will Page 9/21 lead to significant economic burden and other problems. We found that people with more education and those from urban areas were less likely to accept vaccination, suggesting the need to focus on these groups to improve vaccine coverage, which is consistent with the previous studies (11). Our survey confirmed that general community-dwelling populations had greater trust in COVID-19 vaccines that were approved by the National Health Commission and believed that vaccination was an effective protective measure. Furthermore, participants who were concerned about their own health and kept a positive attitude were more likely to accept vaccination. This could be because the Chinese government and medical workers outwardly expressed confidence, reliability, and credibility in their promotions of vaccination. Thus, within a year since the onset of the COVID-19 pandemic, there has been increased awareness of the need for self-protection (wearing masks, frequent hand washing, maintaining social distance, etc.) and a decreased use of public transportation. These measures also helped to decrease the incidence of other respiratory infectious diseases. We found that people with a strong sense of self-protection were more likely to comply with prevention and control recommendations from the government. In addition to building public trust, reliable sources of information and guidance are crucial for vaccine mobilization and disease control (24). Our results indicated that in contrast to previous vaccines, the public acquired most of its information about COVID-19 vaccination from television, radio, newspapers, hospital publicity, and the internet. Moreover, recommendations from the government, doctors, friends, and relatives increased the acceptance of vaccination; the government and doctors had the greatest impact, and vaccine information from these two sources increased the acceptance of vaccination to nearly 90%. In addition to building public trust, reliable sources of information and guidance are crucial for vaccine mobilization and disease control (24). Discussion Our results indicated that in contrast to previous vaccines, the public acquired most of its information about COVID-19 vaccination from television, radio, newspapers, hospital publicity, and the internet. Moreover, recommendations from the government, doctors, friends, and relatives increased the acceptance of vaccination; the government and doctors had the greatest impact, and vaccine information from these two sources increased the acceptance of vaccination to nearly 90%. This study had some limitations. In particular, this was a cross-sectional survey, and the acceptance of vaccination in a population is likely to change over time. Therefore, acceptance of vaccination during different periods should also be analyzed for comparison. Importantly, the acceptance of vaccination reported herein can be compared with previous and future studies. Availability of data and materials The datasets used and analysed during the current study are available from the corresponding author on reasonable request. Author contributions Jinhua Pan: Conceptualization, Methodology, Software, Formal analysis, Investigation, and Writing - Original Draft. Kezhong A: Investigation, and Writing - Original Draft.Zhixi Liu: Methodology, and Software. Peng Zhang:Investigation, and Writing - Review & Editing. Zhiyin Xu:Investigation, and Writing - Review & Editing. Xiaoqin Guo: Investigation, and Writing - Review & Editing.Guangtao Liu: Investigation, and Writing - Review & Editing. Ao Xu: Investigation, and Writing - Review & Editing. Jing Wang: Investigation, and Writing - Review & Editing. Xinyu Wang: Investigation, and Writing - Review & Editing.Weibing Wang: Conceptualization, supervision, funding acquisition and writing-review and editing.All authors critically reviewed and approved the final version of the manuscript. The corresponding authors are responsible for ensuring that the descriptions are accurate and agreed by all authors. Funding This work was supported by the Bill & Melinda Gates Foundation, Seattle, WA [Grant No· INV-006277]. The sponsor was not involved in the design of the study and collection, analysis, and interpretation of data and in writing the manuscript. Ethics approval and consent to participate The Ethics Committee of the School of Public Health of Fudan University approved this study (Approval no: IRB#2020-11-0758) and all participants provided written informed consent. Consent for publication Not applicable Conclusion At present, the COVID-19 epidemic in China is mostly under control and there is widespread acceptance of vaccination, especially in community-dwelling individuals. We found that men, rural residents, and those with less education were more likely to accept vaccination. Governments will have to introduce new strategies to persuade females, those with more education, and urban residents to accept vaccination. Among individuals who were vaccine refusers or hesitators, most were worried about vaccine safety and efficacy. Most people obtained knowledge about COVID-19 vaccination from television, videos, and newspapers, followed by community or hospital campaigns, and then the internet. Recommendations from the government, doctors, friends, and relatives increased the acceptance of vaccination. Therefore, we suggest that increasing the success of mass vaccination campaigns and public acceptance of vaccination, especially for females, urban residents and those with more education, can be achieved if Page 10/21 Page 10/21 governments and doctors promote the efficacy and safety of vaccines using television, radio, and the internet to emphasize the importance universal vaccination. governments and doctors promote the efficacy and safety of vaccines using television, radio, and the internet to emphasize the importance universal vaccination. Competing interests The authors declare that they have no competing interests References 1. Yao Y, Pan J, Wang W, Liu Z, Kan H, Qiu Y, et al. Association of particulate matter pollution and case fatality rate of COVID-19 in 49 Chinese cities. Sci Total Environ. 2020;741:140396. 2. Yao Y, Pan J, Liu Z, Meng X, Wang W, Kan H, et al. No association of COVID-19 transmission with temperature or UV radiation in Chinese cities. Eur Respir J. 2020;55(5). 3. Yao Y, Pan J, Liu Z, Meng X, Wang W, Kan H, et al. Ambient nitrogen dioxide pollution and spreadability of COVID-19 in Chinese cities. Ecotoxicol Environ Saf. 2021;208:111421. 4. Alqudeimat Y, Alenezi D, AlHajri B, Alfouzan H, Almokhaizeem Z, Altamimi S, et al. Acceptance of a COVID-19 Vaccine and its Related Determinants among the General Adult Population in Kuwait. Med Princ Pract. 2021. 5. Devi S. COVID-19 resurgence in Iran. Lancet. 2020;395(10241):1896. 6. Shimizu K, Wharton G, Sakamoto H, Mossialos E. Resurgence of covid-19 in Japan. BMJ. 2020;370:m3221. 7. Brussow H. COVID-19: vaccine's progress. Microb Biotechnol. 2021. 8. Wang J, Jing R, Lai X, Zhang H, Lyu Y, Knoll MD, et al. Acceptance of COVID-19 Vaccination during the COVID-19 Pandemic in China. Vaccines (Basel). 2020;8(3). 9. Reiter PL, Pennell ML, Katz ML. Acceptability of a COVID-19 vaccine among adults in the United States: How many people would get vaccinated? Vaccine. 2020;38(42):6500–7. 10. Harapan H, Wagner AL, Yufika A, Winardi W, Anwar S, Gan AK, et al. Acceptance of a COVID-19 Vaccine in Southeast Asia: A Cross-Sectional Study in Indonesia. Front Public Health. 2020;8:381. 11. Lazarus JV, Ratzan SC, Palayew A, Gostin LO, Larson HJ, Rabin K, et al. A global survey of potential acceptance of a COVID-19 vaccine. Nat Med. 2020. 12. Gan L, Chen Y, Hu P, Wu D, Zhu Y, Tan J, et al. Willingness to Receive SARS-CoV-2 Vaccination and Associated Factors among Chinese Adults: A Cross Sectional Survey. Int J Environ Res Public Health. 2021;18(4). 13. Harapan H, Anwar S, Setiawan AM, Sasmono RT, Aceh Dengue S. Dengue vaccine acceptance and associated factors in Indonesia: A community-based cross-sectional survey in Aceh. Vaccine. 2016;34(32):3670–5. 14. Hadisoemarto PF, Castro MC. Public acceptance and willingness-to-pay for a future dengue vaccine: a community-based survey in Bandung, Indonesia. PLoS Negl Trop Dis. 2013;7(9):e2427. 15. Kruiroongroj S, Chaikledkaew U, Thavorncharoensap M. Knowledge, acceptance, and willingness to pay for human papilloma virus (HPV) vaccination among female parents in Thailand. Asian Pac J Cancer Prev. 2014;15(13):5469–74. 16. Acknowledgements Not applicable Page 11/21 References Ughasoro MD, Esangbedo DO, Tagbo BN, Mejeha IC. Acceptability and Willingness-to-Pay for a Hypothetical Ebola Virus Vaccine in Nigeria. PLoS Negl Trop Dis. 2015;9(6):e0003838. Page 12/21 Page 12/21 17. Zhong BL, Luo W, Li HM, Zhang QQ, Liu XG, Li WT, et al. Knowledge, attitudes, and practices towards COVID-19 among Chinese residents during the rapid rise period of the COVID-19 outbreak: a quick online cross-sectional survey. Int J Biol Sci. 2020;16(10):1745–52. 18. Muslih M, Susanti HD, Rias YA, Chung MH. Knowledge, Attitude, and Practice of Indonesian Residents toward COVID-19: A Cross-Sectional Survey. Int J Environ Res Public Health. 2021;18(9). 19. Kasemy ZA, Bahbah WA, Zewain SK, Haggag MG, Alkalash SH, Zahran E, et al. Knowledge, Attitude and Practice toward COVID-19 among Egyptians. J Epidemiol Glob Health. 2020;10(4):378–85. 20. Addis SG, Nega AD, Miretu DG. Knowledge, attitude and practice of patients with chronic diseases towards COVID-19 pandemic in Dessie town hospitals, Northeast Ethiopia. Diabetes Metab Syndr. 2021;15(3):847–56. 21. Lucia VC, Kelekar A, Afonso NM. COVID-19 vaccine hesitancy among medical students. J Public Health (Oxf). 2020. 22. Shaw J, Stewart T, Anderson KB, Hanley S, Thomas SJ, Salmon DA, et al. Assessment of U.S. health care personnel (HCP) attitudes towards COVID-19 vaccination in a large university health care system. Clin Infect Dis. 2021. 23. Galbadage T, Peterson BM, Awada J, Buck AS, Ramirez DA, Wilson J, et al. Systematic Review and Meta-Analysis of Sex-Specific COVID-19 Clinical Outcomes. Front Med (Lausanne). 2020;7:348. 24. Verger P, Scronias D, Dauby N, Adedzi KA, Gobert C, Bergeat M, et al. Attitudes of healthcare workers towards COVID-19 vaccination: a survey in France and French-speaking parts of Belgium and Canada, 2020. Euro Surveill. 2021;26(3). Tables Page 13/21 Table 1 Description of the participants   Community residents Deliverymen Health workers Parents of preschoolers Parents of school students   N = 2769 N = 1335 N =  2001 N = 4847 N = 9017 age (mean (SD)) 45·95 (19·29) 31·52 (7·45) 34·70 (9·46) 4·61 (1·51) 11·21 (3·55) Province (%)           Zhejiang 1283 (46·3) 317 (23·7) 534 (26·7) 2127 (43·9) 1206 (13·4) Qinghai 1486 (53·7) 68 (5·1) 779 (38·9) 1996 (41·2) 7251 (80·4) Shanghai   950 (71·2) 688 (34·4) 724 (14·9) 560 (6·2) Sex (%)           Female 1483 (53·6) 232 (17·3) 1539 (76·9) 2305 (47·5) 4341 (48·1) Education (%)           Low 1390 (50·2) 520 (39·0) 35 (1·7) N/A N/A Median 542 (19·6) 558 (41·8) 156 (7·8) N/A N/A High 755 (27·3) 257 (19·0) 1810 (90·5) N/A N/A Income (thousand Chinese Yuan, %)           < 10 574 (20·7) 545 (40·8) 376 (18·8) 959 (19·8) 3490 (38·7) 10–30 587 (21·2) 192 (14·4) 277 (13·8) 759 (15·7) 2065 (22·9) 30–50 648 (23·4) 239 (17·9) 266 (13·3) 746 (15·4) 1472 (16·3) 50–100 711 (25·7) 288 (21·6) 544 (27·2) 1096 (22·6) 1165 (12·9) 100–200 195 (7·0) 59 (4·4) 456 (22·8) 781 (16·1) 530 (5·9) Table 1 Table 1 Description of the participants Description of the participants Page 14/21 Page 14/21 Community residents Deliverymen Health workers Parents of preschoolers Parents of school students > 200 54 (2·0) 12 (0·9) 82 (4·1) 506 (10·4) 295 (3·3) *School children: students in primary and secondary schools Page 15/21 Table 2 Impact factors associated with COVID-19 vaccine acceptance   Univariate logistic model   Multivariate logistic model   Adjusted OR (95% CI) Crude OR (95% CI)   Adjusted OR (95% CI) Crude OR (95% CI) Sex: female vs. male 1·48 (1·12, 1·96) † 1·56 (1·28, 1·91) †   1·49 (1·12, 1·98) † 1·55 (1·27, 1·90) † Age           30–39 vs. <30 0·77 (0·48, 1·23) 0·84 (0·61, 1·16)   0·76 (0·47, 1·22) 0·86 (0·62, 1·18) 40–49 vs. <30 0·82 (0·49, 1·35) 0·72 (0·51, 1·00)   0·78 (0·47, 1·30) 0·80 (0·57, 1·12) 50–59 vs. <30 0·88 (0·53, 1·48) 0·60 (0·43, 0·84) †   0·83 (0·49, 1·40) 0·66 (0·47, 0·92) † 60–69 vs. <30 0·58 (0·32, 1·02) 0·78 (0·56, 1·08)   0·52 (0·29, 0·92) * 0·75 (0·54, 1·05) > 69 vs. <30 0·66 (0·38, 1·15) 0·78 (0·57, 1·05)   0·63 (0·36, 1·11) 0·78 (0·58, 1·06) Region: rural vs. Tables urban 0·59 (0·44, 0·79) † 0·57 (0·47, 0·70) †   0·87 (0·58, 1·3) 0·91 (0·67, 1·25) Overseas experience last month 15·6 (2·51, 127·66) † 2·16 (0·68, 5·98)   14·66 (2·25, 95·41) † 1·74 (0·60, 5·07) Education           Medium vs. low 1·64 (1·13, 2·38) † 1·41 (1·09, 1·8) †   1·5 (1·05, 2·23) * 1·19 (0·92, 1·54) High vs. low 1·13 (0·74, 1·71) 1·20 (0·95, 1·51)   1·07 (0·7, 1·62) 1·02 (0·80, 1·29) Marriage: others vs. married 1·19 (0·84, 1·69) 1·50 (1·19, 1·88) †   1·13 (0·79, 1·62) 1·39 (1·10, 1·75) † Employment: unemployed vs. employed 1·15 (0·81, 1·65) 1·13 (0·91, 1·39)   1·09 (0·76, 1·56) 0·97 (0·78, 1·21) Quarantined: yes vs. no 0·24 (0·08, 0·58) † 0·81 (0·44, 1·40)   0·25 (0·09, 0·64) † 0·86 (0·48, 1·53) Health Table 2 Table 2 Impact factors associated with COVID-19 vaccine acceptance Multivariate logistic model Page 16/21 Page 16/21 Univariate logistic model   Multivariate logistic model Good vs. low 0·35 (0·15, 0·88) * 0·43 (0·24, 0·79) †   0·36 (0·15, 0·88) * 0·46 (0·25, 0·82) † Medium vs. low 0·42 (0·17, 1·07) 0·53 (0·29, 0·99) *   0·41 (0·16, 1·01) 0·50 (0·27, 0·94) * Preference of imported or domestic vaccines           Both fine vs. domestic 1·12 (0·80, 1·55) 1·48 (1·15, 1·9) †   1·09 (0·78, 1·52) 1·43 (1·11, 1·85) † Imported vs. domestic 1·52 (0·92, 2·43) 1·6 (1·07, 2·34) *   1·5 (0·92, 2·43) 1·71 (1·15, 2·53) † Unclear vs. domestic 7·52 (4·99, 11·37) † 9·65 (7·05, 13·29) †   7·68 (5·08, 11·61) † 10·22 (7·39, 14·13) † Behavior 0·74 (0·61, 0·91) † 0·65 (0·57, 0·73) †   0·73 (0·60, 0·90) † 0·65 (0·57, 0·74) † Attitude 0·14 (0·10, 0·19) † 0·10 (0·08, 0·13) †   0·14 (0·10, 0·20) † 0·10 (0·08, 0·13) † *p < 0·05, †p < 0·01 Page 17/21 Figure 1 Timeline of the survey. The recruitment date from Jan 4, 2021 to April 12, 2021. The investigation was suspended for a period of time because of the sporadic outbreak in Shanghai, the Chinese New Year holidays and the implementation of quarantine policies during the Spring Festival travel rush. sources of different vaccine information *TV means TV, radio, and newspapers, Internet included QQ, WeChat, Weibo, news websites, etc. propaganda means Community or the hospital propaganda Page 20/21 WeChat, Weibo, news websites, etc. propaganda means Community or the hospital propaganda Figure 4 Reasons for not wanting to vaccinate Figure 1 Timeline of the survey. The recruitment date from Jan 4, 2021 to April 12, 2021. The investigation was suspended for a period of time because of the sporadic outbreak in Shanghai, the Chinese New Year holidays and the implementation of quarantine policies during the Spring Festival travel rush. Page 18/21 Figure 2 Vaccine acceptance of the different people Page 19/21 Figure 2 Vaccine acceptance of the different people Figure 2 Vaccine acceptance of the different people Vaccine acceptance of the different people Page 19/21 Figure 3 Figure 3 different vaccine information *TV means TV, radio, and newspapers, Internet included QQ, Weibo, news websites, etc. propaganda means Community or the hospital propaganda sources of different vaccine information *TV means TV, radio, and newspapers, Internet included QQ, WeChat, Weibo, news websites, etc. propaganda means Community or the hospital propaganda Figure 5 Acceptance under different scenarios. *have statistical significance (compared with current scenario) Supplementary Files Acceptance under different scenarios. *have statistical significance (compared with current scenario) Figure 4 Reasons for not wanting to vaccinate Reasons for not wanting to vaccinate Page 20/21 Figure 5 Acceptance under different scenarios. *have statistical significance (compared with current scenario) Supplementary Files Supplementary Files This is a list of supplementary files associated with this preprint. Click to download. This is a list of supplementary files associated with this preprint. Click to download. SupplementaryText1.docx SupplementaryText2.docx Page 21/21
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Toll-like Receptor 2 Polymorphisms Impose Considerable Impacts On Acute Myelocytic Leukemi Occurrence
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Toll-like Receptor 2 Polymorphisms Impose Considerable Impacts On Acute Myelocytic Leukemi Occurrence Hong Qu  (  uyhgfxdcfv@163.com ) PanYu Central Hospital https://orcid.org/000 Yongfang Chen  PanYu Central Hospital Wenjing Zeng  PanYu Central Hospital Xiaohua Huang  PanYu Central Hospital Shuqin Cheng  PanYu Central Hospital Abstract Background: This research aimed to explore the genetic association of Toll-like receptor 2 (TLR2) gene polymorphisms with acute myelocytic leukemia (AML) susceptibility in Chinese population. Methods: Firstly, the genotypes of TLR2 polymorphism were detected in 148 AML patients and 126 healthy controls by polymerase chain reaction (PCR). The genotype distribution of every polymorphism in the control group was detected whether conformed to Hardy-Weinberg equilibrium (HWE). The genotype frequency difference of TLR2 polymorphism between the case and control groups was compared by chi- square test and odds ratio (OR) with 95% confidence interval (95%CI) was calculated to express the risk of AML resulted from genetic variant of TLR2. Results: For TLR2 rs3804099 polymorphism, the heterozygous genotype TC was detected the significantly lower frequency in AML patients than that in the controls (P=0.031), so was C allele (P=0.021), which showed that rs3804099 was associated with the decreased the risk of AML (OR=0.580, 95%CI=0.354-0.953; OR=0.641, 95%CI=0.438-0.938). Similarly, GG genotype and G allele of rs1898830 also showed the obviously association with the risk reduction of AML (GG vs. AA: OR=0.430, 95%CI=0.200-0.924, G vs. A: OR=0.644, 95%CI=0.451-0.919). However, no significant association was found in rs7656411 with AML. Conclusions: TLR2 rs3804099 and rs1898830 polymorphisms may be the protective factors for AML, but not rs7656411. Primary research Keywords: TLR2, Acute myelocytic leukemia, Polymorphisms Posted Date: July 24th, 2020 DOI: https://doi.org/10.21203/rs.3.rs-47890/v1 License:   This work is licensed under a Creative Commons Attribution 4.0 International License. Read Full License License:   This work is licensed under a Creative Commons Attribution 4.0 International License. Page 1/11 Page 1/11 Background Acute myelocytic leukemia (AML) is a kind of progressive malignant tumor in hematopoietic system with low cure rate and high recurrence rate [1, 2]. The pathological features of AML are rapidly increasing abnormal leucocytes aggregate in the bone marrow to disturb the production of normal cells such as erythrocytes and platelets [3]. In general, it easily attacks the adults, but 15% of childhood leukemia cases are explained by AML, too [4]. If not timely treatment, AML is fatal in a few months, which brings about huge economic burden and life pressures. The pathogenesis of AML is multifactorial result consisted of environmental and genetic factors [5, 6]. The known environmental factors include smoking, obesity, X radiation and chemical carcinogens [7, 8], however, only a small part of people suffer from AML which expose to risk environmental factors. Therefore, genetic factors play a key role in the onset of AML. Nowadays, identified genes associated with AML are few not to explain the etiology. Toll-like receptors (TLRs) is a set of conserved pattern recognition receptors which act on innate immune system against pathogenic microorganisms [9]. They are detected the expression in immune cells, including neutrophils, monocytes, dendritic cells, macrophages, T cells, B cells and NK cells [10]. TLRs can influence the secretion of cytokines and chemokines to participate in the immune activity [11, 12]. What’s more, the up-regulated expression of TLRs is also detected in several cancers and tumor cell lines [13, 14]. TLR2 is an important member of TLRs family with the broadest expression in human cells and Page 2/11 Page 2/11 recognizes the most types of pathogenic microorganisms. The activation of TLR2 signaling has been found to induce the activation of mitogen-activated protein kinase (MAPK) and NF-κB so as to prolong the survival time of tumor cells [15]. So far, the researches about the association of TLR2 with AML are few. recognizes the most types of pathogenic microorganisms. The activation of TLR2 signaling has been found to induce the activation of mitogen-activated protein kinase (MAPK) and NF-κB so as to prolong the survival time of tumor cells [15]. So far, the researches about the association of TLR2 with AML are few. TLR2 coding gene TLR2 is located on chromosome 4q31.3 [16] and had been identified a number of single nucleotide polymorphisms (SNPs). Cases and controls The current study included 148 AML patients and 126 healthy controls as the case and control groups, respectively. In the case group, patients with AML were inpatients from haemal internal medicine of PanYu Central Hospital, including 83 males and 65 females. They were diagnosed based on morphological and phenotypic data according to the criteria of World Health Organization (WHO) [17]. Their age range was from 17 to 69 years old. At the same time, the healthy controls were selected experienced the physical examination in the same hospital with the cases and consisted of 64 males and 62 females with the age of 23-76. The healthy controls were frequency-matched with AML patients in age and sex. All subjects were all Chinese Han population and they were no blood relationship. This study design was reviewed and supported by the Research Ethics Committee of PanYu Central Hospital, meanwhile, the objective and program were informed all subjects before collecting blood samples. Moreover, written consents were signed by every subject. Background In the present study, we selected three common SNPs in the exon, intron and 3’UTR of TLR2 to investigate the role in AML occurrence risk in a Chinese Han population. DNA extraction 2ml peripheral venous blood were collected from every subject with empty stomach on the early morning and placed in the blood collection tube with EDTA2Na, -80℃. Whole blood genomic DNA was extracted using TIANamp Genomic DNA Kit according to the manufacturer’s instruction and stored at -20℃ for standby application. The genotyping of TLR2 polymorphisms The genotyping of TLR2 rs3804099, rs1898830 and rs7656411 polymorphisms was conducted by polymerase chain reaction (PCR) with direct sequencing. First of all, PCR primers were designed by Primer Premier 5.0 software and synthesized in Shanghai Sangon Biotech Co., Ltd. The relative information of primer sequences was showed in Table 1. PCR system was a volume of 25.0μl mixture, including 12.5μl PCR Mix, 2.0μl DNA template, each 1.0μl of forward and reverse primers and finally added ddH2O to 25.0μl. PCR procedure was conducted according to the following steps: pre-degeneration at 95℃ for 3min, 33 cycles of degeneration at 95℃ for 45s, annealing at 56℃ (rs1898830) and 60℃ (rs3804099 Page 3/11 Page 3/11 and rs7656411) for 30s, extension at 72℃ for 30s, and final extension at 72℃ for 7min. The quality of PCR products was tested by agarose gel electrophoresis. and rs7656411) for 30s, extension at 72℃ for 30s, and final extension at 72℃ for 7min. The quality of PCR products was tested by agarose gel electrophoresis. The eligible PCR products were sent to Sangon Biotech (Sangon, Shanghai) for sequencing so as to determine the genotype of every TLR2 polymorphism in all subjects. Statistical analysis In this study, the genotype frequency was obtained using direct counting and the genotype distribution of every polymorphism in the control group was detected by χ² test whether was consistent with Hardy- Weinberg equilibrium (HWE). The genotype, allele frequency difference of TLR2 polymorphisms between AML patients and the healthy controls were calculated by chi-square test. Odds ratio (OR) and 95% confidence interval (95%CI) was used to represent the relative risk of AML caused by TLR2 variants. All data were managed by PASW Statistics 18.0 software and showed in the form of ±s and %. Table 1 PCR prime sequences of TLR2 polymorphisms Polymorphism Position Primer sequence Annealing temperature rs3804099 Exon3 For. 5’ACTTACCTTCCTTGAGGAACTTG3’ 60℃     Rev. 5’AACTTGTAACATCTACAAAAATCTCCA3’   rs1898830 Intron1 For. 5’AAATGAATGAGCAAGCAAA3’ 56℃     Rev. 5’TGGCCTCCTGCTTATGT3’   rs7656411 3’UTR For. 5’-CTTCCTCAGCCTCTAACTACCTT-3’ 60℃     Rev. 5’AAGTTACATAGAATCAGCAAATAGTG3’   Note: 3’UTR: 3’ untranslated region HWE test The status of HWE was checked based on the genotype distribution of polymorphism in the control group, the results were showed in Table 3. The genotype distribution of TLR2 rs3804099, rs1898830 and rs7656411 in the control group were all consistent with HWE requirement (P=0.161, 0.466 and 0.245 respectively), indicating our study population was a representative group. The clinical features of subjects The clinical features of subjects We displayed the clinical features of subjects in the case and control groups in Table 2. The mean age of AML patients and the healthy controls were 50.8 ± 13.4 and 51.6 ± 12.1, respectively and they were not significantly different (P = 0.803). The gender distribution of the case and control groups were no obvious difference (P = 0.382). Total leukocytic count was 8.4 ± 6.8/mm3 in AML patients and the number was 10.2 ± 2.6/mm3 in the controls (P = 0.214). However, there was significant difference in BMI between the case and control groups (24.9 ± 3.4 and 23.8 ± 2.6, P = 0.000). 37.84% of AML patients were smokers and the percentage was 29.37% in controls, which suggested smoking was not a influence factor of AML in Page 4/11 Page 4/11 this population (P = 0.140). Differently, exposed to chemical carcinogens was a risk factor for AML occurrence (P = 0.024). Table 2 The characteristics of the cases and controls Index AML patients (n = 148) The controls (n = 126) P Age (years) 50.8 ± 13.4 51.6 ± 12.1 0.803 Gender (male/female) 83/65 64/62 0.382 BMI (kg/m2) 24.9 ± 3.4 23.8 ± 2.6 0.000 Total leukocytic count/mm3 8.4 ± 6.8 10.2 ± 3.1 0.214 Smoking 56/37.84 37/29.37 0.140 Exposed to chemical carcinogens (%) 15/10.14 4/3.17 0.024 Note: BMI: body mass index HWE test The association analysis of TLR2 polymorphisms with AML risk The genotype and allele frequencies of TLR2 polymorphisms were calculated and displayed in Table3. We can see that the genotype and allele distributions of rs3804099 and rs1898830 between the case and control groups were very different, but not rs7656411. Firstly, the heterozygous genotype TC of rs3804099 was significantly lower frequency in AML patients than that in the controls (P=0.031), compared with the common genotype TT and we also obtained the similar results in allele (P=0.021). So the carriage of rs3804099 TC genotype and C allele significantly decreased the occurrence risk of AML (TC vs. TT: OR=0.580, 95%CI=0.354-0.953; C vs. T: OR=0.641, 95%CI=0.438-0.938). For rs1898830, both of GG genotpye and G allele frequencies in the case group were obviously lower than in the control group (P=0.028, 0.015). It was also a protective factors to prevent from AML (GG vs. AA: OR=0.430, 95%CI=0.200-0.924; G vs. A: OR=0.644, 95%CI=0.451-0.919). However, rs7656411 was not detected the significant association with AML risk in genotype or allele (P>0.05). Page 5/11 iscussion Table 3 The genotype distributions of TLR2 polymorphisms in the case and control groups Locus Genotype/% OR (95%CI) P PHWE   Case, n = 148 Control, n = 126 rs3804099           0.161   TT 87/58.78 56/44.45 1.000 (Ref.) -     TC 55/37.16 61/48.41 0.580 (0.354–0.953) 0.031     CC 6/4.06 9/7.14 0.429 (0.145–1.271) 0.119     T 229/77.36 173/68.65 1.000 (Ref.) -     C 67/22.64 79/31.35 0.641 (0.438–0.938) 0.021   rs1898830           0.466   AA 76/51.35 49/38.89 1.000 (Ref.) -     AG 58/39.19 56/44.44 0.668 (0.400-1.116) 0.123     GG 14/9.46 21/16.67 0.430 (0.200-0.924) 0.028     A 210/70.95 154/61.11 1.000 (Ref.) -     G 86/29.05 98/38.89 0.644 (0.451–0.919) 0.015   rs7656411           0.245   GG 54/36.49 34/26.99 1.000 (Ref.) -     GT 73/49.32 69/54.76 0.666 (0.388–1.144) 0.140     TT 21/14.19 23/18.25 0.575 (0.277–1.194) 0.136     G 181/61.15 137/54.37 1.000 (Ref.) -     T 115/38.85 115/45.63 0.757 (0.538–1.064) 0.109 Table 3 Discussion The occurrence of AML is caused by karyotype mutation of pluripotent stem cells and lightly differentiated precursor cells [18]. Abnormal chromosome karyotype, especially chromosome translocation is typical cytogenetic characteristic of AML, or else, apparent molecular abnormalities exist in the pathogenesis of AML. The onset of AML is in all ages and it is most common in the elderly, with poor prognosis. Exact explaining the pathology of AML is a urgent issue. AML is a complex multifactorial disease described by precious studies. On the one hand, a series of environmental factors have identified, mainly referring to radiation [19], chemical factor and infection. On the other hand, genetic factors play the key role in the occurrence of AML. So far, multiple gene variants are found to be associated with AML, Page 6/11 including FLT3-ITD, IDH1, IDH2, DNMT3A NPM1 and so on. However, these researches are far away from revealing the etiology of AML. TLR is one of innate immune receptors and play an important role in activation and regulation of innate immunity, and the induction of adaptive immunity. Meanwhile, it also has an influence on cardiovascular disease, autoimmunity development and tumors [20, 21]. They involve in maintaining the effective immune response in the acute infection and injury. TLR signaling is necessary for normal immune reaction, however, studies have been reported that the abnormality of TLR signaling is related to ineffective hematopoiesis and hematopoietic malignancy [22, 23]. TLR family includes 10 members, of which TLR2 is the broadest one in expression and it also identifies the most pathogenic microorganisms. In previous report, the high expression of TLR2 is found in AML patients and AML patients with high expression of TLR2 have the shorter survival time than that patients with low expression [11]. So, TLR2 may involve in the etiology of AML. Its encoding TLR2 is consisted of 5 exons and introns and has been identified a number of SNPs. TLR2 polymorphisms can influence host innate immune response and immune defence through regulating transcription activity or changing protein structure. Multiple SNPs in TLR2 are studied the association with some diseases. Rs3804099 is a synonymous mutation in exon3 of TLR2 with the substitution of T/C and it has been found to be associated with several diseases, such as inflammatory disease, cardiovascular disease, immune disease and cancer [24]. Discussion Rs1898830 is a mutation of A/G in intron1 region of TLR2 and the carriage of AA induces the expression of target genes in IKK-β and NF-κB pathway and promotes the secretion of pro-inflammatory factor, including interleukin and chemokine, such as TNF, IL-6, CCL3 and CCL2 [25, 26]. It also participates in many diseases pathogenesis, certainly including cancer [27]. For rs7656411 is a SNP in 3’ untranslated region (3’UTR) of TLR2 with a base mutation of G/T and it may affect the expression of TLR2 mRNA. In the present study, we explored the genetic association of these three common SNPs in TLR2 with AML susceptibility based on a Chinese Han population. In this study population, smoking was not a risk factor of AML, but obesity and exposed to chemical carcinogens were significantly correlated to the occurrence of AML. Rs3804099 was revealed to be related to the development of AML and the carriage of TC genotype and C allele could significantly decreased the susceptibility of people to AML. Similar results were showed in rs1898830, that is people carrying GG genotype and G allele of rs1898830 had the lower risk suffering from AML, compared with AA genotype and A allele respectively. However, rs7656411 was not checked the obvious association with AML in our study group. This is the first time to investigate the role of TLR2 multiple SNPs in the risk of AML in Chinese population. List Of Abbreviations Acute myelocytic leukemia (AML) 3’ untranslated region (3’UTR) Ethics approval and consent to participate This study was supported by the Ethics Committee of PanYu Central Hospital and also has been carried out in accordance with the World Medical Association Declaration of Helsinki. The subjects had been informed the objective. Certainly, written consents were signed by every subject in this study. Conclusions In conclusion, TLR2 may play an important role in AML pathogenesis and the genetic variants may cause the expression change of TLR2 to contribute the risk to disease, including AML. We have identified rs3804099 and rs1898830 in TLR2 associated with AML occurrence based in the current study. But some Page 7/11 limitations influence the final results, too and most of them are small samples, single group and environmental factors. Therefore, more further researches are needed to verify this results with well- design and explore the detailed mechanism in the future. limitations influence the final results, too and most of them are small samples, single group and environmental factors. Therefore, more further researches are needed to verify this results with well- design and explore the detailed mechanism in the future. List Of Abbreviations Toll-like receptor 2 (TLR2) acute myelocytic leukemia (AML) polymerase chain reaction (PCR) Hardy-Weinberg equilibrium (HWE) odds ratio (OR) 95% confidence interval (95%CI) Acute myelocytic leukemia (AML) Toll-like receptors (TLRs) mitogen-activated protein kinase (MAPK) single nucleotide polymorphisms (SNPs) World Health Organization (WHO) 3’ untranslated region (3’UTR) Acknowledgements Not applicable. Acknowledgements Not applicable. Consent for publication We obtaining permission from participants to publish their data. Availability of data and materials Page 8/11 The datasets used and/or analysed during the current study are available from the corresponding author on reasonable request. Competing interestsThe authors declare that they have no competing interests. Funding Not applicable. Competing interestsThe authors declare that they have no competing inter Funding Not applicable. Authors’ contributions S.C. design of the work; X.H. the acquisition, analysis, W.Z. interpretation of data; Y.C. the creation of new software used in the work; H.Q. have drafted the work or substantively revised it. All authors read and approved the final manuscript. References 1. Dohner H, Estey EH, Amadori S, Appelbaum FR, Buchner T, Burnett AK, Dombret H, Fenaux P, Grimwade D, Larson RA et al: Diagnosis and management of acute myeloid leukemia in adults: recommendations from an international expert panel, on behalf of the European LeukemiaNet. Blood 2010, 115(3):453-474. 2. 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Rogers EN, Jones DZ, Kidd NC, Yeyeodu S, Brock G, Ragin C, Jackson M, McFarlane-Anderson N, Tulloch-Reid M, Sean Kimbro K et al: Toll-like receptor-associated sequence variants and prostate cancer risk among men of African descent. Genes and immunity 2013, 14(6):347-355. 27. Rogers EN, Jones DZ, Kidd NC, Yeyeodu S, Brock G, Ragin C, Jackson M, McFarlane-Anderson N, Tulloch-Reid M, Sean Kimbro K et al: Toll-like receptor-associated sequence variants and prostate cancer risk among men of African descent. Genes and immunity 2013, 14(6):347-355. Page 11/11
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Novel Ampeloviruses Infecting Cassava in Central Africa and the South-West Indian Ocean Islands
Viruses
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Novel Ampeloviruses Infecting Cassava in Central Africa and the South-West Indian Ocean Islands Yves Kwibuka, Espoir Bisimwa, Arnaud G Blouin, Claude Bragard, Thierry T. Candresse, Chantal Faure, Denis Filloux, Jean-Michel Lett, François Maclot, Armelle Marais, et al. To cite this version: Yves Kwibuka, Espoir Bisimwa, Arnaud G Blouin, Claude Bragard, Thierry T. Candresse, et al.. Novel Ampeloviruses Infecting Cassava in Central Africa and the South-West Indian Ocean Islands. Viruses, 2021, 13 (6), pp.1030. ￿10.3390/v13061030￿. ￿hal-03244473￿ Distributed under a Creative Commons Attribution 4.0 International License   9 Plant Genetics Laboratory, TERRA-Gembloux Agro-Bio Tech, University of Liège, Passage des Déportés, 2, 5030 Gembloux, Belgium; shakir.sara@yahoo.com (S.S.); herve.vanderschuren@uliege.be (H.V.) 10 Laboratory of Tropical Crop Improvement, Division of Crop Biotechnics, Biosystems Department, 9 Plant Genetics Laboratory, TERRA-Gembloux Agro-Bio Tech, University of Liège, Passage des Déportés, 2, 5030 Gembloux, Belgium; shakir.sara@yahoo.com (S.S.); herve.vanderschuren@uliege.be (H.V.) 10 Laboratory of Tropical Crop Improvement, Division of Crop Biotechnics, Biosystems Department, KU Leuven, 3000 Leuven, Belgium Citation: Kwibuka, Y.; Bisimwa, E.; Blouin, A.G.; Bragard, C.; Candresse, T.; Faure, C.; Filloux, D.; Lett, J.-M.; Maclot, F.; Marais, A.; et al. Novel Ampeloviruses Infecting Cassava in Central Africa and the South-West Indian Ocean Islands. Viruses 2021, 13, 1030. https://doi.org/ 10.3390/v13061030 5030 Gembloux, Belgium; shakir.sara@yahoo.com (S.S.); herve.vanderschuren@uliege.be (H.V.) 10 Laboratory of Tropical Crop Improvement, Division of Crop Biotechnics, Biosystems Department, KU Leuven, 3000 Leuven, Belgium g * Correspondence: bisimwayves@gmail.com (Y.K.); sebastien.massart@uliege.be (S.M.) Abstract: Cassava is one of the most important staple crops in Africa and its production is seriously damaged by viral diseases. In this study, we identify for the first time and characterize the genome organization of novel ampeloviruses infecting cassava plants in diverse geographical locations using three high-throughput sequencing protocols [Virion-Associated Nucleotide Acid (VANA), dsRNA and total RNA], and we provide a first analysis of the diversity of these agents and of the evolutionary forces acting on them. Thirteen new Closteroviridae isolates were characterized in field-grown cassava plants from the Democratic Republic of Congo (DR Congo), Madagascar, Mayotte, and Reunion islands. The analysis of the sequences of the corresponding contigs (ranging between 10,417 and 13,752 nucleotides in length) revealed seven open reading frames. The replication-associated polypro- teins have three expected functional domains: methyltransferase, helicase, and RNA-dependent RNA polymerase (RdRp). Additional open reading frames code for a small transmembrane protein, a heat-shock protein 70 homolog (HSP70h), a heat shock protein 90 homolog (HSP90h), and a major and a minor coat protein (CP and CPd respectively). Defective genomic variants were also identified in some cassava accessions originating from Madagascar and Reunion. The isolates were found to belong to two species tentatively named Manihot esculenta-associated virus 1 and 2 (MEaV-1 and MEaV-2). Phylogenetic analyses showed that MEaV-1 and MEaV-2 belong to the genus Ampelovirus, in particular to its subgroup II. MEaV-1 was found in all of the countries of study, while MEaV-2 was only detected in Madagascar and Mayotte. Article Novel Ampeloviruses Infecting Cassava in Central Africa and the South-West Indian Ocean Islands This article is an open access article distributed under the terms and conditions of the Creative Commons Attribution (CC BY) license (https:// 8 FOFIFA-CENRADERU, Laboratoire de Pathologie Végétale, BP 1444 Ambatobe, Madagascar; srakotoarisoaravel@gmail.com   Citation: Kwibuka, Y.; Bisimwa, E.; Blouin, A.G.; Bragard, C.; Candresse, T.; Faure, C.; Filloux, D.; Lett, J.-M.; Maclot, F.; Marais, A.; et al. Novel Ampeloviruses Infecting Cassava in Central Africa and the South-West Indian Ocean Islands. Viruses 2021, 13, 1030. https://doi.org/ 10.3390/v13061030 Academic Editors: Jan Frederik Kreuze and Adrian Fox Received: 28 April 2021 Accepted: 25 May 2021 Published: 29 May 2021 HAL Id: hal-03244473 https://hal.inrae.fr/hal-03244473v1 Submitted on 1 Jun 2021 L’archive ouverte pluridisciplinaire HAL, est destinée au dépôt et à la diffusion de documents scientifiques de niveau recherche, publiés ou non, émanant des établissements d’enseignement et de recherche français ou étrangers, des laboratoires publics ou privés. HAL is a multi-disciplinary open access archive for the deposit and dissemination of sci- entific research documents, whether they are pub- lished or not. The documents may come from teaching and research institutions in France or abroad, or from public or private research centers. Distributed under a Creative Commons Attribution 4.0 International License viruses viruses viruses Keywords: Manihot esculenta; Ampelovirus; high-throughput sequencing; Central Africa; Indian Ocean islands; Closteroviridae Article Novel Ampeloviruses Infecting Cassava in Central Africa and the South-West Indian Ocean Islands Yves Kwibuka 1,2,* , Espoir Bisimwa 2, Arnaud G. Blouin 1, Claude Bragard 3 , Thierry Candresse 4 , Chantal Faure 4, Denis Filloux 5,6, Jean-Michel Lett 7 , François Maclot 1, Armelle Marais 4, Santatra Ravelomanantsoa 8 , Sara Shakir 9 , Hervé Vanderschuren 9,10 and Sébastien Massart 1,* 1 Plant Pathology Laboratory, TERRA-Gembloux Agro-Bio Tech, University of Liège, Passage des Déportés, 2, 5030 Gembloux, Belgium; arnaud.blouin@uliege.be (A.G.B.); Francois.maclot@chuliege.be (F.M.) 1 Plant Pathology Laboratory, TERRA-Gembloux Agro-Bio Tech, University of Liège, Passage des Déportés, 2, 5030 Gembloux, Belgium; arnaud.blouin@uliege.be (A.G.B.); Francois.maclot@chuliege.be (F.M.) 2 F lté d S i A i U i ité C th li d B k BP 285 B k Plant Pathology Laboratory, TERRA Gembloux Agro Bio Tech, University of Liège, Passage des Déportés, 2, 5030 Gembloux, Belgium; arnaud.blouin@uliege.be (A.G.B.); Francois.maclot@chuliege.be (F.M.) 2 Faculté des Sciences Agronomiques, Université Catholique de Bukavu, BP 285 Bukavu, , g ; g ( ); g ( ) 2 Faculté des Sciences Agronomiques, Université Catholique de Bukavu, BP 285 Bukavu, g g 2 Faculté des Sciences Agronomiques, Université Catholique de Bukavu, Democratic Republic of the Congo; ebisimwa@yahoo.com g q , q Democratic Republic of the Congo; ebisimwa@yahoo.com Democratic Republic of the Congo; ebisimwa@yahoo.com p g y 3 Earth and Life Institute, Applied Microbiology-Phytopathology, UCLouvain, 1348 Louvain-la-Neuve, Belgium; claude.bragard@uclouvain.be p g y 3 Earth and Life Institute, Applied Microbiology-Phytopathology, UCLouvain, g g 4 Université Bordeaux, INRAE, UMR BFP, CS20032, CEDEX, 33882 Villenave d’Ornon, France; thierry.candresse@inrae.fr (T.C.); chantal.faure@inrae.fr (C.F.); armelle.marais-colombel@inrae.fr (A.M.) y 5 CIRAD, UMR PHIM, 34090 Montpellier, France; denis.filloux@cirad.fr 6 PHIM Plant Health Institute, Université Montpellier, CIRAD, INRAE, Institut Agro, IRD, 34000 Montpellier, France 7 CIRAD, UMR PVBMT, Pôle de Protection des Plantes, Saint-Pierre, F-97410 Ile de la Reunion, France; jean-michel.lett@cirad.fr   Citation: Kwibuka, Y.; Bisimwa, E.; Blouin, A.G.; Bragard, C.; Candresse, T.; Faure, C.; Filloux, D.; Lett, J.-M.; Maclot, F.; Marais, A.; et al. Novel Ampeloviruses Infecting Cassava in Central Africa and the South-West Indian Ocean Islands. Viruses 2021, 13, 1030. https://doi.org/ 10.3390/v13061030 Academic Editors: Jan Frederik Kreuze and Adrian Fox Received: 28 April 2021 Accepted: 25 May 2021 Published: 29 May 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. 1. Introduction Approximately 40% of the world’s area dedicated to the cultivation of roots and tubers is planted with cassava. In Africa, 56% of the total production of roots and tubers comes from cassava, 51% of which are from Nigeria and the Democratic Republic of Congo (DR Congo) [1]. Cassava is one of the most important staple crops, as it ranks fourth as a source of calories for human consumption [1]. Many of the poorest farmers and most undernourished households in Africa depend on cassava as a principal nutrition source. It also constitutes an important income source in rural and marginal areas and has multiple uses, most notably as a food security and regular food crop [2]. g p g Congo) [1]. Cassava is one of the most important staple crops, as it ranks fourth as a source of calories for human consumption [1]. Many of the poorest farmers and most undernourished households in Africa depend on cassava as a principal nutrition source. It also constitutes an important income source in rural and marginal areas and has multiple uses, most notably as a food security and regular food crop [2]. Due to its remarkable adaptability to a wide range of soil and environmental condi- tions, cassava is bestowed with resilience to global warming and climate change, and with a potential for better return under adverse soil and weather conditions [3]. The exceptional soil carbon sequestration properties of cassava makes it a potential crop for improving the green revolution fatigue [4]. Despite the large contribution of Africa to global cassava production (60%), its per- formance in terms of yield is the lowest (9 tons/ha on average) [1]. In most African cassava-producing areas, the yield is far below the potential [5]. In DR Congo, yields of approximately 8 tons/ha can be obtained under farmers’ fields conditions, but yields are highly variable depending on the local pedo-climatic conditions. Cassava suffers from many pests and diseases, including viruses, which can seriously affect the quality and quantity of the harvest as well as the quality of the planting materials. Two viral diseases are of major economic importance in sub-Saharan Africa, namely, cassava brown streak disease (CBSD) and cassava mosaic disease (CMD) [6]. CBSD is associated with two Ipomovirus species, collectively named cassava brown streak viruses (CBSVs), and CMD is associated with nine Begomovirus species, collectively named cassava mosaic geminiviruses (CMGs) [6].   Recombination analysis provided evidence of intraspecies recombination occurring between the isolates from Madagascar and Mayotte. No clear association with visual symptoms in the cassava host could be identified. 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. 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/). Keywords: Manihot esculenta; Ampelovirus; high-throughput sequencing; Central Africa; Indian Ocean islands; Closteroviridae https://www.mdpi.com/journal/viruses Viruses 2021, 13, 1030. https://doi.org/10.3390/v13061030 Viruses 2021, 13, 1030 2 of 17 2. Materials and Methods 2.1. Origin of the Analyzed Cassava Samples and High-Throughput Sequencing Field surveys were conducted from March to May 2016 in the South Kivu province (DR Congo). Cuttings were collected on cassava landraces plants showing foliar CBSD-like symptoms. These cuttings did not express the foliar symptoms anymore after growing in the greenhouse for six months. In addition, leaf samples from plants of different landraces were collected from the germplasm collections of the Conseil Départemental (DARTM in Mayotte), of CIRAD (Reunion) and of FOFIFA (Madagascar) between 2015 and 2017 (Table 1). Table 1. Identity and origin of cassava landraces used and indication on the high-throughput sequencing (HTS) protocol performed on these samples. Table 1. Identity and origin of cassava landraces used and indication on the high-throughput sequencing (HTS) protocol performed on these samples. Cassava Landraces Country of Origin Collection Date DD/MM/YY Symptoms Sequencing Strategy and Target Isolates Detected Other Virus Detected Menatana Madagascar 18/10/2017 Asymptomatic in greenhouse VANA MG-Men-241, MG-Men-9 - Miandrazaka Madagascar 18/10/2017 Asymptomatic in greenhouse VANA MG-Mia-10, MG-Mia-362, MG-Mia-403, MG-Mian 2-2 - Long Java Reunion 25/02/2015 Asymptomatic in field dsRNAs RE-Ljv - Reunion Mayotte 26/03/2015 Symptoms of CMD and CBSD dsRNAs MY-Ren-5, MY-Ren-8 EACMV+UCBSV 6 Mois Blanc Mayotte 26/03/2015 Symptoms of CMD dsRNAs MY−6mb-4, MY−6mb-6 EACMV Nambiyombiyo DR Congo 13/01/2016 Asymptomatic in greenhouse Total RNA CG-Nmb CBSV Kahunde DR Congo 13/01/2016 Asymptomatic in greenhouse Total RNA CG-Kah - VANA: virion-associated nucleic acid; dsRNAs: double-stranded RNAs; EACMV: East African cassava mosaic virus; UCBSV: Ugandan cassava brown streak virus; CBSV: cassava brown streak virus; CMD: cassava mosaic disease; CBSD: cassava brown streak disease. igin of cassava landraces used and indication on the high-throughput sequencing (HTS) protocol l VANA: virion-associated nucleic acid; dsRNAs: double-stranded RNAs; EACMV: East African cassava mosaic virus; UCBSV: Ugandan cassava brown streak virus; CBSV: cassava brown streak virus; CMD: cassava mosaic disease; CBSD: cassava brown streak disease. For the two samples from DR Congo, total RNA was extracted from cassava leaves using the RNeasy Plus Plant Mini Kit (QIAGEN®, Hilden, Germany) according to the manufacturer’s instruction and quality tested using a Nanodrop 2000 spectrophotome- ter (Thermo Fisher Scientific, Waltham, MA, USA). DNase treatment was applied using Amplification grade DNASE I (Life Technologies, California, USA) according to the man- ufacturer’s instructions. 1. Introduction Yield reduction due to CMD may be severe and losses up to 82% have been reported, especially in cassava plants dually infected with African cassava mosaic virus (ACMV) and the Ugandan strain of East African cassava mosaic virus (EACMV-UG) [7]. The family Closteroviridae is a large and diverse group of filamentous plant viruses (particles of 650−2200 nm in length) with single-stranded RNA genomes. Some species can be transmitted semi-persistently by aphids, whiteflies, mealybugs or soft scales insects [8,9]. The members of this family are known to affect several crops of major economic importance, such as sugar beet, citrus, tomato, lettuce, potato, sweet potato, grapevine, pineapple, cherry, and some ornamentals [9–13]. To date, 56 virus species have been classified as definitive or tentative members of the family Closteroviridae [14]. They are grouped into the following four genera: Ampelovirus (monopartite genome, mealybugs and soft scale insect vectors), Closterovirus (monopartite genome, aphid vectors), Velarivirus (monopartite genome, no known vectors) and Crinivirus (bipartite genome, whitefly vectors) [14,15]. The accepted demarcation criteria between the species in the Closteroviridae family [9,16] include the following aspects: (i) particle size, (ii) size of CP, as determined by the deduced amino acid sequence data, (iii) genome structure and organization (number and relative location of the open reading frames (ORFs)), (iv) amino acid sequence of the relevant gene products (CP, RdRp, HSP70h), differing by more than 25%, (v) vector species and specificity, (vi) magnitude and specificity of the natural and experimental host range, and (vii) cytopathological features (aspect of inclusion bodies and origin of cytoplasmic vesicles) [14]. Specifically, the genus Ampelovirus comprises species with linear particles of 1400−2000 nm long. Their genome is a monopartite positive sense, single-stranded RNA of 13.7−18.5 kb with a number of ORFs varying between 7 and 12 [9]. The members of this genus are di- vided into two subgroups accommodating, respectively, seven species with large (15,000 to over 18,000 nt) and complex (9 to 12 ORFs) genomes (subgroup I), and five species with smaller (13,000−14,000 nt) and simpler (7 ORFs) genomes (subgroup II) [9,16]. Viruses 2021, 13, 1030 3 of 17 3 of 17 The majority of the Ampelovirus species have been identified from woody hosts (grapevine, Prunus sp., figs) and pineapple. Although their pathogenicity sometimes remains unclear, several members are reported to induce a diverse range of symptoms, while others are reported to have no association with symptoms. 1. Introduction Natural vectors are Pseudococcidae mealybugs and soft scale insects, which transmit viruses in a semipersistent manner [9,12]. None of the known ampeloviruses are transmitted through seeds or me- chanically. All ampeloviruses persist in plant parts used for vegetative propagation and are disseminated with them over long distances. The geographical distribution is therefore usually wide [9]. In this study, we identify for the first time and characterize the genome organization of novel ampeloviruses infecting cassava plants originating from diverse geographical locations in central Africa and the southwestern Indian Ocean islands. We also provide a first analysis of the diversity of these agents and of the evolutionary forces acting on them. 2. Materials and Methods Ribosomal RNAs were depleted using a RiboZero plant leaf kit for RNA-seq (Life Technologies Limited, Paisley, UK), and libraries were prepared fol- lowing the manufacturer’s instructions using a TrueSeq stranded total RNA kit (Illumina, Viruses 2021, 13, 1030 4 of 17 New York, NY, USA). The RNA libraries were sequenced on a Nextseq 500 sequencing machine at the University of Liege (Liege, Belgium), with a read length of 2 × 75 nt. New York, NY, USA). The RNA libraries were sequenced on a Nextseq 500 sequencing machine at the University of Liege (Liege, Belgium), with a read length of 2 × 75 nt. For the three samples from Mayotte and Reunion, double-stranded RNAs (dsRNAs) were extracted from leaf samples using the procedure of Marais et al. [17]. Purified dsRNAs were converted to cDNA and amplified using a random whole-genome amplification procedure [17] and finally sequenced using Illumina Myseq technology (2 × 250 nt paired reads) on the Genotoul INRAE platform (Toulouse, France). For the two samples from Madagascar, HTS was performed using a virion-associated nucleic acid (VANA)-based metagenomics approach as described by Palanga et al. [18]. 2.2. Bioinformatic Analyses Samples from Madagascar, Mayotte and Reunion: Following demultiplexing and qual- ity trimming, reads were assembled into contig using CLC Genomic Workbench 8.5.1 and following versions. Contigs were annotated by BLASTx analysis against the GenBank protein database. Contigs were then manually assembled into scaffolds, which were consol- idated and extended by several rounds of mapping of reads to yield the finalized scaffolds sequences. For two of the isolates (RE-Ljv and MY-Ren), reads corresponding to deletion events generating defective molecules were identified during this assembly process and scaffolds corresponding to these DI RNAs were therefore also reconstructed. Samples from DR Congo: Sequence analyses were done using the Geneious 11.1.3 en- vironment (www.geneious.com and embedded plugins). Data were submitted to a pre- processing step consisting of setting paired reads, and trimming adaptor sequences and low-quality reads (by BBDUK). Unique sequences were generated as clean reads by merg- ing paired reads (by BBMerge) and removing duplicate reads (Dedupe). SPADES was used for de novo assembly. Reconstructed contigs were screened against the Refseq viral database retrieved from NCBI (12 October 2018) using BLASTn and BLASTx searches and annotated through tBLASTx. Viral contigs were further analyzed directly on the NCBI site using a BLASTn and BLASTx search with standard parameters. g p Identification of functional gene domains for all samples was done by submitting predicted open reading frames (ORFs) directly on the NCBI’s conserved domain search tool (https://www.ncbi.nlm.nih.gov/Structure/cdd/wrpsb.cgi) (accessed from October to December 2018). Multiple sequence alignments were built with ClustalW embedded in Mega X. Maxi- mum likelihood phylogenetic trees were reconstructed in Mega X using the GTR+GI model for the alignment of nucleotide sequences and a Poisson model with uniform distribution for amino acid sequence alignments. Bootstrap analysis (100 replicates) was performed in order to evaluate the stability and significance of branches. Phylogenetic trees of amino acid sequences were reconstructed using only isolates for which the amino acid sequence of the analyzed protein was complete or nearly complete. Putative recombination events were detected and evaluated using the RDP4 program (version 4.99) [19] and a ClustalW-built multiple alignment of the complete genome sequences. 2.4. Characterization of Defective RNA (D-RNA Molecules) 2.4.1. RNA Isolation, cDNA Synthesis and Amplification of D-RNAs Total RNA extracted from cassava accessions in which defective RNA molecules have been identified (RE-Ljv and MG-Mena-242) was purified and used for cDNA synthesis us- ing the ProtoScript II First Strand cDNA Synthesis Kit (NEB) following the manufacturer’s instructions. Briefly, 0.5 µg of RNA was mixed with 2 µL of random hexamers primers (60 µM), heated at 65 ◦C for 5 min, and immediately cooled on ice for 5 min. The cooled solution was mixed with 10 µL of 2x ProtoScript II reaction mix and 2 µL of 10x ProtoScript II enzyme mix, mixed well and centrifuged for 5 s. This reaction mixture was incubated at 25 ◦C for 5 min and 42 ◦C for 1 h. The reaction was later terminated by incubation at 80 ◦C for 5 min. Specific primer pairs designed on genome regions flanking the deletion in each of the four defective RNA molecules (Table 3) were used to amplify a region spanning the deletion of the D-RNAs. PCR amplification was performed in 20 µL total volume with 10 µL of Q5 High-Fidelity Master Mix (NEB), 2 µL of cDNA template, 0.5 µL of 10 µM of each primer and nuclease-free water for the remaining volume. The amplification program was set using 98 ◦C for 3 min of initial denaturation, followed by 35 cycles of 98 ◦C for 10 s, 57 ◦C for 10 s, 72 ◦C for 30 s and a final extension at 72 ◦C for 5 min. The amplified PCR products were analyzed on 1% agarose gel to validate the presence of amplicons of the expected size. The amplicons were gel-purified using the Monarch DNA Gel Extraction Kit (NEB) and cloned into pJET1.2 (Thermo Fisher Scientific). Table 3. RT-PCR primer pairs used for the characterization of the defective RNA molecules. Table 3. RT-PCR primer pairs used for the characterization of the defective RNA molecules. Primers Name Sequences (5’==>3’) Expected Amplicon Size MEaV-1-RE-Ljv-D-RNA1-F ACATCTAAATGCTAACGAACGAAGAG 380 bp MEaV-1-RE-Ljv-D-RNA1-R CAACGCCAGAATCTTCGTACA MEaV-1-RE- Ljv-D-RNA2-F AGGCTTTCGACAGTGAAGAAGTG 330 bp MEaV-1-RE- Ljv-D-RNA2-R CGTAGCCATACTGAAGGATAGCA MEaV-2-RE- Ljv-D-RNA3-F TGGAAGCCGCTGGTAAACTACA 400 bp MEaV-2-RE-Ljv-D-RNA3-R CAAGCACGTTCAATATTAGGAATAGTAC MEaV-2-MG-Mena-D-RNA4-F AGACATATGAAAGAGTTGCATTGGTG 500 bp MEaV-2-MG-Mena-D-RNA4-R ACCTACAAATAATTTCGCTCGTCTG Table 2. RT-PCR primer pairs used for the confirmation of the viral sequences in the samples. PRIMER TARGET ORF SEQUENCES (5′==> 3′) Tm 12.495 F cp CP ORF5 AATTTGGGAGGAGTGCGACC 60.3 12.715 R cp CP ORF5 AGACCGACTTGTGCTACTCTTG 60.0 11.735 F hsp90 HSP90 ORF4 GTCCCGGCCTACATGCAATT 60.8 11.959 R hsp90 HSP90 ORF4 ACCGCCAGTCAACTCTCGTA 60.9 9.021 F hsp70 HSP70 ORF4 TATGGTTGTTGCTCGCGACT 60.0 9.292 R hsp70 HSP70 ORF4 CTGACAAACCAGCAGCAGTTG 60.3 7.244 F rdrp RdRp ORF1B GGACAACCTCCGAAACCGTAT 60.1 7.544 R rdrp RdRp ORF1B CTTTCGCTGCCATTGGTGTC 60.1 2.4. Characterization of Defective RNA (D-RNA Molecules) 2.3. Confirmatory RT-PCR and Sequencing The presence of the detected viral contigs of MEaV-1 (isolates CG-Nmb and CG-Kah) in the corresponding plants was confirmed by RT-PCR using specific primer pairs (Table 2) designed according to the consensus sequence of the reconstructed viral contigs. This also allowed to confirm the sequence of the contigs of isolates mentioned. Viruses 2021, 13, 1030 5 of 17 Table 2. RT-PCR primer pairs used for the confirmation of the viral sequences in the samples. Table 2. RT-PCR primer pairs used for the confirmation of the viral sequences in the samples. PRIMER TARGET ORF SEQUENCES (5′==> 3′) Tm 12.495 F cp CP ORF5 AATTTGGGAGGAGTGCGACC 60.3 12.715 R cp CP ORF5 AGACCGACTTGTGCTACTCTTG 60.0 11.735 F hsp90 HSP90 ORF4 GTCCCGGCCTACATGCAATT 60.8 11.959 R hsp90 HSP90 ORF4 ACCGCCAGTCAACTCTCGTA 60.9 9.021 F hsp70 HSP70 ORF4 TATGGTTGTTGCTCGCGACT 60.0 9.292 R hsp70 HSP70 ORF4 CTGACAAACCAGCAGCAGTTG 60.3 7.244 F rdrp RdRp ORF1B GGACAACCTCCGAAACCGTAT 60.1 7.544 R rdrp RdRp ORF1B CTTTCGCTGCCATTGGTGTC 60.1 2.4. Characterization of Defective RNA (D-RNA Molecules) 3.1. Identification of Closteroviridae Members in Cassava 3.1. Identification of Closteroviridae Members in Cassava Thirteen contigs or scaffolds of more than 10 kilobases of Closteroviridae isolates could be reconstructed using the sequencing reads from the seven analyzed landraces (Table 4). The lengths of the contigs, which represent large parts of the corresponding genomes, ranged from 10,417 to 13,770 nucleotides (nt). Some of the analyzed plants contained multiple contigs corresponding to different isolates (Table 4). Thorough screening of these reconstructed contigs against viral reference databases revealed nucleotide and amino acid sequence homologies with members of the family Closteroviridae and, in particular, with the genus Ampelovirus. In addition to these previously unknown viruses, the results further indicated the presence of CBSVs and/or CMGs in three cassava samples (Table 1). Cassava brown streak virus (CBSV, isolate KOR6, GU563327) was detected in one of the plants from the DR Congo, while Uganda cassava brown streak virus (UCBSV, isolate KM) [20] and/or EACMV were detected in samples from Mayotte. , number of reads integrated, percent of total reads and average coverage for Closteroviridae contigs from yzed cassava samples. of reads integrated, percent of total reads and average coverage for Closteroviridae contigs from l Table 4. Lengths, number of reads integrated, percent of total reads and average coverage for Closteroviridae contigs from the various analyzed cassava samples. 3.1. Identification of Closteroviridae Members in Cassava Cassava Landraces Isolate Name 1 Accession Number (Genbank) Virus Name Contig Length [Nt] Number of Reads Mapped Percent Of Total Reads Average Genome Coverage Internal Un- determined Nucleotides Internal Gaps Menatana MG-Men-241 MT773584 MEaV-1 13,528 38,475 12.1 506.8X 0 0 MG-Men-9 MT773591 MEaV-2 13,752 10,945 4.10 153.6X 0 0 Miandrazaka MG-Mia-10 MT773592 MEaV-2 13,770 26,987 4.8 368X 377 1 MG-Mia-362 MT773594 MEaV-2 12,007 19,421 8.24 322X 0 0 MG-Mia-403 MT773590 MEaV-1 10,518 26,917 11.4 480.9X 0 0 MG-Mian 2-2 MT773596 MEaV-2 10,417 7676 1.4 136.4X 843 1 Long java RE-Ljv MT773586 MEaV-1 13,640 21,294 18.5 312.5X 0 0 Reunion MY-Ren-5 MT773589 MEaV-1 13,172 1976 3.4 29.6X 72 1 MY-Ren-8 MT773595 MEaV-2 13,762 377 0.7 5.4X 2889 14 6 Mois blanc MY-6mb-4 MT773585 MEaV-1 13,615 4992 12.7 73.3X 288 4 MY-6mb-6 MT773593 MEaV-2 13,764 2631 6.7 39.2X 990 9 Nambiyombiyo CG-Nmb MT773587 MEaV-1 13,612 7502 0.12 42X 0 0 Kahunde CG-Kah MT773588 MEaV-1 13,616 15,351 0.23 75X 11 1 1 Isolates were named considering two letters of the code of the country where the landraces were collected—three letters of the landrace short acronym—and a number (when multiple contigs from the same landrace were obtained) Table 4. Lengths, number of reads integrated, percent of total reads and average coverage for Closteroviri the various analyzed cassava samples. 1 Isolates were named considering two letters of the code of the country where the landraces were collected—three letters of the landrace short acronym—and a number (when multiple contigs from the same landrace were obtained) ring two letters of the code of the country where the landraces were collected—three letters of the landrace r (when multiple contigs from the same landrace were obtained) The isolates were named considering two letters of the code of the country where the landraces were collected, three letters of the landrace short acronym, and a number (when multiple contigs from the same landrace were obtained). 2.4.2. Sequence Analysis and Alignments 2.4.2. Sequence Analysis and Alignments The amplicons clones were Sanger-sequenced using pJET1.2 forward and reverse primers. Two clones were sequenced for each defective RNA molecule and no sequence variation was observed among them. The obtained sequences were aligned to reference Viruses 2021, 13, 1030 6 of 17 6 of 17 parental full-length segments (RE-Ljv, MG-Mena-9) using the Clustal Omega multiple sequence alignment tool (online version, October 2020), allowing to confirm the existence of molecules containing the expected deletions. parental full-length segments (RE-Ljv, MG-Mena-9) using the Clustal Omega multiple sequence alignment tool (online version, October 2020), allowing to confirm the existence of molecules containing the expected deletions. 3.2. Genome Annotation The sequences comparisons between the various isolates identified two clearly sep- arated groups (Figure 1). The nearly complete genome of a representative isolate was selected for each group (respectively, CG-Nmb for the MEaV-1 and MG-Men-9 for MEaV- 2) and was analyzed in detail to determine the genome organization. As shown in Figure 1, this analysis predicted in both cases seven open reading frames encoding for polypeptides with a mass ranging from 6 to 258 kDa (Table 5). The genomic organization, the size, and the number of ORFs identified revealed a similarity with the subgroup II ampeloviruses. The recognized members of this subgroup are grapevine leafroll-associated virus 4 (GLRaV-4), pineapple mealybug wilt-associated virus 1 and 3 (PMWaV-1 and -3), Viruses 2021, 13, 1030 7 of 17 air potato Ampelovirus 1 (AiPoV1), and plum bark necrosis and stem pitting-associated virus (PBNSPaV) [15]. air potato Ampelovirus 1 (AiPoV1), and plum bark necrosis and stem pitting-associated virus (PBNSPaV) [15]. The ORFs 1a and 1b encode the replication-associated proteins (Figure 1). As expected, a conserved domain search identified the following two replication-associated domains in the 1a protein: a methyltransferase motif (MTR; pfam01660) in the N-terminal part, and a viral helicase (HEL; superfamily 1, pfam01443) in the C-proximal part. The RNA methyltransferase domain was found in a wide range of ssRNA viruses and is known to be involved in mRNA capping. The 1b ORF encodes the RNA-dependent RNA polymerase (RdRp 2 superfamily, pfam00978) expressed through a +1 ribosomal frameshift, as is seen in other members of the Closteroviridae family. Together with the MTR domain located at the 1a protein N-terminus, the RdRp forms the defining unique feature of the alpha-like ensemble of viruses [21]. Downstream of the polymerase, a small ORF2 encodes a hypothetical protein with a predicted molecular mass varying from 5 to 7 kDa depending on the isolate, and which is lacking known functional domains. The numbers and the sizes of the hypothetical proteins occurring downstream of the polymerase in the family Closteroviridae are highly variable. For example, Actinidia virus 1 (AcV-1) has three hypothetical proteins of predicted molecular masses of 13.6, 25.4 and 5.7 kDa [22]. However, in subgroup II ampeloviruses, only one hypothetical protein between 5 and 6 kDa is reported, sometimes overlapping with the 5′-proximal region of ORF3. 3.2. Genome Annotation The small size and the high proportion of the hydrophobic amino acids of the proteins encoded by the MG-Men-9 and CG-Nmb isolates (36/48 aa and 42/67 aa, respectively) could indicate that they are similar to the transmembrane proteins often present in the Closteroviridae members, where they have been proposed to function as cell-to-cell movement proteins [23]. 7 of 17 Figure 1. Schematic representation of the genomic organization of representative isolates CG-Nmb (MEaV-1) and MG- Men-9 (MEaV-2) (top) and structure of the defective variants (dRNA) identified (bottom). The RNA genome is drawn as a black line and the predicted open reading frames (ORFs) are represented by colored rectangles. Annotations and ORF numbers are given inside and above rectangles, respectively. Abbreviations: MTR—methyltransferase, HEL—helicase, RdRp—RNA-dependent RNA polymerase, HSP70h—heat shock protein 70 homolog, HSP90h— heat shock protein 90 homolog, CP—coat protein, CPd—minor coat protein. Table 5. Genome length, position of ORFs and size of the encoded proteins for the representativ Figure 1. Schematic representation of the genomic organization of representative isolates CG-Nmb (MEaV-1) and MG-Men-9 (MEaV-2) (top) and structure of the defective variants (dRNA) identified (bottom). The RNA genome is drawn as a black line and the predicted open reading frames (ORFs) are represented by colored rectangles. Annotations and ORF numbers are given inside and above rectangles, respectively. Abbreviations: MTR—methyltransferase, HEL—helicase, RdRp—RNA- dependent RNA polymerase, HSP70h—heat shock protein 70 homolog, HSP90h— heat shock protein 90 homolog, CP—coat protein, CPd—minor coat protein. Figure 1. Schematic representation of the genomic organization of representative isolates CG-Nmb (MEaV-1) and MG- Men-9 (MEaV-2) (top) and structure of the defective variants (dRNA) identified (bottom). The RNA genome is drawn as a black line and the predicted open reading frames (ORFs) are represented by colored rectangles. Annotations and ORF numbers are given inside and above rectangles, respectively. Abbreviations: MTR—methyltransferase, HEL—helicase, RdRp—RNA-dependent RNA polymerase, HSP70h—heat shock protein 70 homolog, HSP90h— heat shock protein 90 homolog, CP—coat protein, CPd—minor coat protein. Figure 1. Schematic representation of the genomic organization of representative isolates CG-Nmb (MEaV-1) and MG-Men-9 (MEaV-2) (top) and structure of the defective variants (dRNA) identified (bottom). The RNA genome is drawn as a black line and the predicted open reading frames (ORFs) are represented by colored rectangles. Annotations and ORF numbers are given inside and above rectangles, respectively. Abbreviations: MTR—methyltransferase, HEL—helicase, RdRp—RNA- dependent RNA polymerase, HSP70h—heat shock protein 70 homolog, HSP90h— heat shock protein 90 homolog, CP—coat protein, CPd—minor coat protein. 3.2. Genome Annotation Isolates Genome Length (Nt) Length of Open Reading Frames (Orfs) (Nt) and Molecular Mass of Encoded Proteins (Kda) 1a 1b P5-P7 HSP70h HSP90h CP ORF6 CG-Nmb (MEaV-1) 13,616 nt 6789 nt 1503 nt 204 nt 1707 nt 1686 nt 774 nt 717 nt 254.6 kDa 56.6 kDa 7.6 kDa 62.2 kDa 63.4 kDa 27.7 kDa 27.1 kDa MG-Men-9 (MEaV-2) 13,752 nt 6975 nt 1593 nt 147 nt 1608 nt 1698 nt 816 nt 639 nt 258.8 kDa 60.4 kDa 5.3 kDa 58.4 kDa 64.3 kDa 29.3 kDa 24 kDa Viruses 2021, 13, 1030 8 of 17 ORF3 encodes a heat shock protein 70 homolog (HSP70h; cd10170) from the NBD– sugar–kinase–HSP70–actin superfamily. The functions postulated for HSP70h are as fol- lows: the mediation of cell-to-cell movement through the plasmodesmata, involvement in the assembly of multisubunit complexes for genome replication and/or subgenomic RNAs synthesis, and the assembly of viral particles [9]. The size of this ORF is variable, being 62.2 kDa for MEaV-1 and 58.49 kDa for MEaV-2, as shown in the Supplementary Material (Table S1). ( ) ORF4 codes for a heat shock protein 90 homolog (HSP90h, pfam03225), which is found to partially overlap with the 3′-proximal region of ORF3 and the 5′-proximal region of ORF5 as is the case for subgroup II ampeloviruses. g p p The coat protein (Closter coat superfamily, pfam01785) is encoded by ORF5. It has been shown that downstream of the coat protein, some members of the fam- ily Closteroviridae have a variable number of ORFs encoding accessory proteins, some of which may have a functional conserved domain [24], while others show no or only very limited identity to any other proteins. The translated amino acid sequences of the pro- tein encoded by the ORF6 have shown similarity with the p24 protein of the pineapple mealybug wilt-associated virus-1 (25.1%) and the minor coat protein (CPd) of the grapevine leafroll-associated virus-5 (20.8%) from the TrEMBL database of UniProt. This suggests that, although they share <20% identity with their respective, the proteins coded by the ORF6 could be considered as minor coat proteins. This ORF6 overlaps partially with the 3′-proximal region of ORF5. All of the isolates sequenced share the same genome organization, although the contigs obtained for the isolates MG-Mia-403 and MG-Mian-2-2 were incomplete, missing ORF5 and ORF6. The reads belonging to four defective RNA (D-RNAs) molecules were identified (Figure 1). 3.2. Genome Annotation Table 5. Genome length, position of ORFs and size of the encoded proteins for the representativ isolates of the two species CG-Nmb (MEaV-1) and MG-Men-9 (MEaV-2). Genome Length of Open Reading Frames (Orfs) (Nt) and Molecular Mass of Table 5. Genome length, position of ORFs and size of the encoded proteins for the representative isolates of the two species CG-Nmb (MEaV-1) and MG-Men-9 (MEaV-2). Table 5. Genome length, position of ORFs and size of the encoded proteins for the representativ isolates of the two species CG-Nmb (MEaV-1) and MG-Men-9 (MEaV-2). G L th f O R di F (O f ) (Nt) d M l l M f Table 5. Genome length, position of ORFs and size of the encoded proteins for the representative isolates of the two species CG-Nmb (MEaV-1) and MG-Men-9 (MEaV-2). Table 5. Genome length, position of ORFs and size of the encoded proteins for the representative isolates of the two species CG-Nmb (MEaV-1) and MG-Men-9 (MEaV-2). h f O di (O f ) ( ) d l l f Table 5. Genome length, position of ORFs and size of the encoded proteins for the representative isolates of the two species CG-Nmb (MEaV-1) and MG-Men-9 (MEaV-2). isolates of the two species CG Nmb (MEaV 1) and MG Men 9 (MEaV 2). Isolates Genome Length (Nt) Length of Open Reading Frames (Orfs) (Nt) and Molecular Mass of Encoded Proteins (Kda) 1a 1b P5-P7 HSP70h HSP90h CP ORF6 CG-Nmb (MEaV-1) 13,616 nt 6789 nt 1503 nt 204 nt 1707 nt 1686 nt 774 nt 717 nt 254.6 kDa 56.6 kDa 7.6 kDa 62.2 kDa 63.4 kDa 27.7 kDa 27.1 kDa MG-Men-9 (MEaV-2) 13,752 nt 6975 nt 1593 nt 147 nt 1608 nt 1698 nt 816 nt 639 nt 258.8 kDa 60.4 kDa 5.3 kDa 58.4 kDa 64.3 kDa 29.3 kDa 24 kDa CG-Nmb (MEaV-1) and MG-Men-9 (MEaV-2). 3.2. Genome Annotation Three of them were detected in the long Java accession (RE-Ljv) originating from the Re- union island (two for MEaV-1 (RE-Ljv-D-RNA-1 and RE-Ljv-D-RNA-2, accession numbers MW306827 and MW306828, respectively), one for MEaV-2 (RE-Ljv-D-RNA-3, accession number MW306829) and the remaining one in the Menatana accession originating from Madagascar (MG-Men-D-RNA-4 belonging to MEaV-2, accession number MW306830)). The deleted zones cover different genome regions and consist of most of the ORF5 and the ORF6 for the RE-Ljv-D-RNA-1, most of ORF3, ORF4, ORF5 and the start of ORF6 for the RE-Ljv-D-RNA-2, and most of the ORF3 and ORF4 for the RE-Ljv-D-RNA-3. In the case of the MG-Men-D-RNA-4, the deletion is at the beginning of the 1b ORF and does not alter the coding frame. The presence of molecules bearing these deletions in the orig- inal plant material was validated by the sequencing of amplicons spanning each of the individual deletions (see below). The proportion of deleted RNAs, as compared to the non-deleted genomic RNA, was estimated by comparing the read counts for the deletion borders and for the corresponding regions of the undeleted genome. This proportion was found to be variable, corresponding to about 4%, 37%, 27% and 3.8% for RE-Ljv-D-RNA-1, RE-Ljv-D-RNA-2, RE-Ljv-D-RNA-3 and MG-Men-D-RNA-4, respectively. 3.3. Phylogenetic Analysis of Cassava Isolates with Members of the Family Closteroviridae 3.3. Phylogenetic Analysis of Cassava Isolates with Members of the Family Closteroviridae A multiple alignment of the HSP70h protein of the thirteen isolates, and of the cor- responding protein of known members of the family Closteroviridae, was used to perform pairwise amino acid comparisons and to generate a phylogenetic tree that allowed to first address the taxonomic position of the cassava isolates in the family Closteroviridae. The resulting tree (Figure 2) placed them with strong bootstraps support in a clade with members of the genus Ampelovirus, specifically in the subgroup II clade adjacent to GLRaV-4 (NC_016416) and PMWaV-1 and 3 (NC_010178 and DQ_399259), confirming the taxonomi- cal relatedness of these cassava isolates to the subgroup II of the Ampelovirus genus. g p p g The molecular identity at the amino acid level for the RdRp, HSP70h and CP of the cassava isolates with members of the family Closteroviridae is systematically lower than 55% (Table 6), well below the 75% molecular species demarcation criterion for these Viruses 2021, 13, 1030 9 of 17 9 of 17 taxonomically relevant genes in this family [9]. This shows that the isolates from cassava presented in this study are novel agents that do not belong to a known species in the family Closteroviridae. 9 of 17 y Figure 2. Phylogenetic analysis of the aligned amino acid sequences of the HP70h (ORF3) of the thirteen isolates from cassava and of selected members of the family Closteroviridae (see the Sup- plementary Material Table S2 for detailed information on these viruses). Green arrows indicate isolate sequences obtained in this study. Maximum likelihood phylogenetic tree was reconstructed in Mega X using Poisson model with uniform distribution for amino acid sequence alignments. Bootstrap values are indicated at the main branch nodes. The bar represents the number of amino acid substitution per site. The molecular identity at the amino acid level for the RdRp HSP70h and CP of the Figure 2. Phylogenetic analysis of the aligned amino acid sequences of the HP70h (ORF3) of the thirteen isolates from cassava and of selected members of the family Closteroviridae (see the Sup- plementary Material Table S2 for detailed information on these viruses). Green arrows indicate isolate sequences obtained in this study. Maximum likelihood phylogenetic tree was reconstructed in Mega X using Poisson model with uniform distribution for amino acid sequence alignments. Bootstrap values are indicated at the main branch nodes. The bar represents the number of amino acid substitution per site. Figure 2. 3.4. Diversity of the New Isolates To investigate the phylogenetic relationships between the various reconstructed Clos- teroviridae genomic sequences from cassava, multiple alignments of the near-complete genomic sequences and of the amino acid sequences of the three taxonomically relevant proteins were used to reconstruct phylogenetic trees (Figure 3a–d). 11 of 17 MEaV-1 is detected from the four regions included in the study, while MEaV-2 is observed only from Madagascar and Mayotte (Figure 4) Figure 3. Phylogenetic trees reconstructed using the amino acid sequences of the following three taxonomically relevant proteins for the family Closteroviridae: (a) RdRp; (b) HSP70h; (c) CP; and (d) the whole genome nucleotide sequences. Max- imum likelihood phylogenetic trees were reconstructed in Mega X using the GTR+GI model for nucleotide sequences alignments and a Poisson model with uniform distribution for amino acid sequence alignments. Only bootstrap values of more than 70% are mentioned on nodes. The scales provide branch distance for the given number of substitutions per site. Table 7. Intergroup and intragroup average pairwise divergence and standard deviation calculated for the three taxonom- ically relevant proteins (RdRP, HSP70h and CP) and for the nearly complete genomes. Figure 3. Phylogenetic trees reconstructed using the amino acid sequences of the following three taxonomically relevant proteins for the family Closteroviridae: (a) RdRp; (b) HSP70h; (c) CP; and (d) the whole genome nucleotide sequences. Maximum likelihood phylogenetic trees were reconstructed in Mega X using the GTR+GI model for nucleotide sequences alignments and a Poisson model with uniform distribution for amino acid sequence alignments. Only bootstrap values of more than 70% are mentioned on nodes. The scales provide branch distance for the given number of substitutions per site. Figure 3. Phylogenetic trees reconstructed using the amino acid sequences of the following three taxonomically relevant proteins for the family Closteroviridae: (a) RdRp; (b) HSP70h; (c) CP; and (d) the whole genome nucleotide sequences. Max- imum likelihood phylogenetic trees were reconstructed in Mega X using the GTR+GI model for nucleotide sequences alignments and a Poisson model with uniform distribution for amino acid sequence alignments. Only bootstrap values of more than 70% are mentioned on nodes. The scales provide branch distance for the given number of substitutions per site. Table 7. Intergroup and intragroup average pairwise divergence and standard deviation calculated for the three taxonom- Figure 3. 3.3. Phylogenetic Analysis of Cassava Isolates with Members of the Family Closteroviridae Phylogenetic analysis of the aligned amino acid sequences of the HP70h (ORF3) of the thirteen isolates from cassava and of selected members of the family Closteroviridae (see the Sup- plementary Material Table S2 for detailed information on these viruses). Green arrows indicate isolate sequences obtained in this study. Maximum likelihood phylogenetic tree was reconstructed in Mega X using Poisson model with uniform distribution for amino acid sequence alignments. Bootstrap values are indicated at the main branch nodes. The bar represents the number of amino acid substitution per site. Figure 2. Phylogenetic analysis of the aligned amino acid sequences of the HP70h (ORF3) of the thirteen isolates from cassava and of selected members of the family Closteroviridae (see the Sup- plementary Material Table S2 for detailed information on these viruses). Green arrows indicate isolate sequences obtained in this study. Maximum likelihood phylogenetic tree was reconstructed in Mega X using Poisson model with uniform distribution for amino acid sequence alignments. Bootstrap values are indicated at the main branch nodes. The bar represents the number of amino acid substitution per site. Viruses 2021, 13, 1030 10 of 17 Table 6. Amino acid sequence identity of the RdRp, HSP70h and CP of MEaV-2 (isolate MG-Men-9) with those of other selected Closteroviridae members. with those of other selected Closteroviridae members. Genus Representative Members Proteins RdRp HSP70H CP Ampelovirus MEaV-1 (isolate CG-Nmb) 66.5% 69.9% 80.1% Ampelovirus Grapevine leafroll-associated virus 4 (NC_016416) 41.7% 51.6% 47.6% Closterovirus Citrus tristeza virus (NC_001661) 27.2% 25% 12.5% Crinivirus Potato yellow vein virus (NC_006062 and NC_006063) 25.7% 26.5% 17.2% Velarivirus Grapevine leafroll-associated virus 7 (NC_016436) 27.5% 27.7% 13.6% 3.4. Diversity of the New Isolates Phylogenetic trees reconstructed using the amino acid sequences of the following three taxonomically relevant proteins for the family Closteroviridae: (a) RdRp; (b) HSP70h; (c) CP; and (d) the whole genome nucleotide sequences. Maximum likelihood phylogenetic trees were reconstructed in Mega X using the GTR+GI model for nucleotide sequences alignments and a Poisson model with uniform distribution for amino acid sequence alignments. Only bootstrap values of more than 70% are mentioned on nodes. The scales provide branch distance for the given number of substitutions per site. Viruses 2021, 13, 1030 11 of 17 11 of 17 From these analyses, it is clear that the cassava isolates form two well-separated phylo- genetic groups (MEaV-1 and MEaV-2) that show 41.4 ± 0.3% average nucleotide divergence based on the whole genome and, respectively, 32.3 ± 1.7% (RdRp), 30.8 ± 2.0% (HSP70h) and 19 ± 2.2% (CP) average amino acid divergence (Table 6 and see the Supplementary Material Tables S3–S6 for additional information). The first group (MEaV-1) clusters two isolates identified in two cassava landraces from Madagascar (MG-Men-241 and MG-Mia-403), one isolate identified in an accession from Reunion (RE-Ljv), two isolates identified in accessions from Mayotte (MY-6mb-4 and MY-Ren-5) and two isolates from DR Congo (CG-Nmb and CG-Kah). The following two isolates from this group are divergent from the others and form a distinct subgroup: MY- Ren-5 and MG-Mia-403. Indeed, the MEaV-1 average pairwise divergence is found to be 17.1 ± 0.2% based on the whole genome, and, respectively, 7.1 ± 0.7% (RdRp), 6.0 ± 0.6% (HSP70h) and 7.4 ± 1.0% (CP) for the various proteins (Table 6). However, if excluding the divergent isolates MG-Mia-403 and MY-Ren-5, these values fall down to 7.9 ± 0.2% for the whole genome and to 0.8 ± 0.4%(RdRp), 2.3 ± 0.4% (HSP70h) and 3.2 ± 0.6% (CP) for the various proteins, respectively. The average pairwise distance between these two divergent isolates, MG-Mia-403 and MY-Ren-5, is only 2.3% for the whole genome (Table 6). y g The second group (MEaV-2) is composed of four isolates identified in two landraces from Madagascar (MG-Men-9, MG-Mia-2-2, MG-Mia-10 and MG-Mia-362) and two isolates identified in two landraces from Mayotte (MY-6mb-6 and MY-Ren-8). The isolate MG-Mian- 2-2 forms a sub-cluster of its own. 3.4. Diversity of the New Isolates The MEaV-2 average pairwise divergence is 12.3 ± 0.1% for the whole genome, and, respectively, 7.3 ± 0.7% (RdRp) and 2.8 ± 0.4% (HSP70h) for the various genes (Table 7) (the average CP divergence was not computed because the CP gene is not covered by the MG-Mian-2-2 contig). If excluding the divergent MG-Mian-2-2 isolate, the average pairwise divergence for the whole genome falls to 3.8 ± 0.1%, and to 1.1 ± 0.3% (RdRp), 1.0 ± 0.3% (HSP70h) and 3.1 ± 0.8% (CP) for the various proteins, respectively (Table 7). Table 7. Intergroup and intragroup average pairwise divergence and standard deviation calculated for the three taxonomi- cally relevant proteins (RdRP, HSP70h and CP) and for the nearly complete genomes. Table 7. Intergroup and intragroup average pairwise divergence and standard deviation calculated for the three taxonomi- cally relevant proteins (RdRP, HSP70h and CP) and for the nearly complete genomes. Within MEaV-2 with Mian 2-2 Within MEaV-2 without Mian2-2 Within MEaV-1 with Divergents Within MEaV-1 without Divergents Within MEaV- 1 Divergents Between MEaV-1 and MEaV-2 RdRp aa divergences 7.3 +/−0.7% 1.1 +/−0.3% 7.1 +/−0.7% 0.8 +/−0.4% 0.8% 32.3 +/−1.7% HSP70h aa divergences 2.8 +/−0.4% 1.0 +/−0.3% 6.0 +/−0.6% 2.3 +/−0.4% 0.7% 30.8 +/−2.0% CP aa divergences na 3.1 +/−0.8% 7.4 +/−1.0% 3.2 +/−0.6% na 19 +/−2.2% Genome nt divergences 12.3 +/−0.1% 3.8 +/−0.1% 17.1 +/−0.2% 7.9 +/−0.2% 2.3% 41.4 +/−0.3% MEaV-1 divergents: MY-Ren-5 and MG-Mia-403. na: information not available as the contig/scaffold does not extend to the region concerned. Comparisons across the trees based on the RdRp, HSP70h and CP proteins reveal variations in the branching topology that point to recombination events. Considering the taxonomic differentiation between these two isolate groups (MEaV- 1 and MEaV-2), largely supported by the phylogenetic trees, and the average divergence rates well over the 25% species demarcation criterion [14,15] for two of the three proteins (Table 6), it can be considered that the analyzed isolates form two distinct species, tenta- tively named “Manihot esculenta-associated ampelovirus 1 and 2” (MEaV-1 and MEaV-2), respectively. p y MEaV-1 is detected from the four regions included in the study, while MEaV-2 is observed only from Madagascar and Mayotte (Figure 4). 12 of 17 12 of 17 Viruses 2021, 13, 1030 Vi 2021 13 1030 Figure 4. Geographic repartition of the two novel cassava ampelovirus species (MEaV-1 and MEaV-2) according to the country of origin of positive samples. Figure 4. 3.5. Recombination Analysis 3.5. Recombination Analysis nation Analysis Intraspecific and interspecific recombination events were investigated among the cassava isolates, and the recombination events supported that more than four of the nine algorithms integrated in RDP4 were considered as possible events [19]. Intraspecific and interspecific recombination events were investigated among the cassava isolates, and the recombination events supported that more than four of the nine algorithms integrated in RDP4 were considered as possible events [19]. ecific and interspecific recombination events were investigated among the ates, and the recombination events supported that more than four of the nine ntegrated in RDP4 were considered as possible events [19]. Intraspecific and interspecific recombination events were investigated among the cassava isolates, and the recombination events supported that more than four of the nine algorithms integrated in RDP4 were considered as possible events [19]. Intraspecific and interspecific recombination events were investigated among the cassava isolates, and the recombination events supported that more than four of the nine algorithms integrated in RDP4 were considered as possible events [19]. ecific and interspecific recombination events were investigated among the ates, and the recombination events supported that more than four of the nine integrated in RDP4 were considered as possible events [19]. Only one such recombination event was reliably detected using this criterion (Figure 5). This recombination event involves only the MEaV-2 isolates (two isolates MG-Mia-362 and MG-Mia-10 from Madagascar, and one isolate MY-6mb-6 from Mayotte) and is de- tected by seven out of the nine algorithms, with a strong probability (p-value = 2.75 × 10−91) The predicted recombination breakpoints are identified within ORF1a (nucleotide posi- tion 906 of the isolate MG-Mia-362) and within ORF4 (nucleotide position 8997 of the iso- late MG-Mia-362). Only one such recombination event was reliably detected using this criterion (Figure 5). This recombination event involves only the MEaV-2 isolates (two isolates MG-Mia-362 and MG-Mia-10 from Madagascar, and one isolate MY-6mb-6 from Mayotte) and is detected by seven out of the nine algorithms, with a strong probability (p-value = 2.75 × 10−91). The predicted recombination breakpoints are identified within ORF1a (nucleotide position 906 of the isolate MG-Mia-362) and within ORF4 (nucleotide position 8997 of the isolate MG-Mia-362). integrated in RDP4 were considered as possible events [19]. 3.4. Diversity of the New Isolates Geographic repartition of the two novel cassava ampelovirus species (MEaV-1 and MEaV-2) according to the country of origin of positive samples. ographic repartition of the two novel cassava ampelovirus species (MEaV-1 and cording to the country of origin of positive samples. Figure 4. Geographic repartition of the two novel cassava ampelovirus species (MEaV-1 and MEaV-2) according to the country of origin of positive samples. Figure 4. Geographic repartition of the two novel cassava ampelovirus species (MEaV-1 and MEaV-2) according to the country of origin of positive samples. graphic repartition of the two novel cassava ampelovirus species (MEaV-1 and rding to the country of origin of positive samples. , g The analy 4. Discussion and 13,752 nucleotides in length) revealed seven open reading frames. In subgroup II, the length of the untranslated regions (UTRs) varies between 218 and 353 nt at the 5′ end, and between 125 and 132 nt at the 3′ end [25–30]. The UTR sizes reported here for the various We have reported here the genome characterization from field-grown cassava plants from the DR Congo, Madagascar, Mayotte and Reunion of thirteen new Closteroviridae isolates, belonging to two potentially new ampelovirus species. genomes vary between 210 and 253 nt for the 5′end, and between 157 and 166 nt for the 3′ end. The comparison of these values, and the unambiguous assignation of MEaV-1 and MEaV-2 to the subgroup II of ampelovirus, show that the genomes reported here are un- likely to miss much more than a hundred nucleotides at their 5′ end and probably even less at the 3′ end, since some of the reported 3′ UTRs are already longer than the longest ones reported to date in the subgroup. This is confirmed when comparing the complete genome sizes; GLRaV-4 (isolate Man086, KJ810572) and PMWaV-1 (isolate HN, KJ872494) are the two subgroup II ampeloviruses with, respectively, the longest and the shortest genome (13,858 nt and 13,069 nt, respectively) [25,27]. The longest contigs for the repre- sentative isolates of MEaV-1 and MEaV-2 are, respectively, 13,616 nt (CG-Nmb) and 13,752 nt (MG-Men-9) long, suggesting that near-complete genomes, comprising the to- tality of the coding sequences and missing limited terminal non-coding nucleotide se- quences, have been obtained, although the extremities of the genomes were not deter- mined by RACE. Based on the divergence of their CPs, which was determined to be below the species threshold (19 ± 2.2%), MEaV-1 and MEaV-2 could be considered as a single species. How- ever, the official formulation of the taxonomic criterion for species demarcation in the The analysis of the sequences of the corresponding contigs (ranging between 10,417 and 13,752 nucleotides in length) revealed seven open reading frames. In subgroup II, the length of the untranslated regions (UTRs) varies between 218 and 353 nt at the 5′ end, and be- tween 125 and 132 nt at the 3′ end [25–30]. The UTR sizes reported here for the various genomes vary between 210 and 253 nt for the 5′end, and between 157 and 166 nt for the 3′ end. 3.6. Validation of Defective RNAs plicons spanning each of the id defective clones to their HTS-de 3.6. Validation of Defective RNAs plicons spanning each of the id defective clones to their HTS-de The presence of defective molecules was validated by the sequencing of RT-PCR amplicons spanning each of the identified deletions (Figure 6). The alignment of the four defective clones to their HTS-defective references, as shown in the Supplementary Material (Figures S7–S10), confirmed the presence of deletion zones at their predicted location. On the reference parental genomes (RE-Ljv and MG-Men-9), the deleted zones were found to be, respectively, 568 nt, 3761 nt, 648 nt and 444 nt for the D-RNA1, 2, 3 and 4. rial (Figures S7–S10), confirmed the presence of deletion zones at their predicted location. On the reference parental genomes (RE-Ljv and MG-Men-9), the deleted zones were found to be, respectively, 568 nt, 3761 nt, 648 nt and 444 nt for the D-RNA1, 2, 3 and 4. These findings confirm that the D-RNAs reported here are not artifacts from high- throughput sequencing analysis, but continuous sequences that exist in the analyzed cas- sava samples. Figure 6. Gel red-stained 2% agarose gel showing RT-PCR products from: (a) D-RNA1 expected amplicon size 380 bp; (b) D-RNA2 and D-RNA3, expected amplicon size 380 bp and 400 bp, respectively; and (c) D-RNA4, expected amplicon size 500 bp. M1: GeneRuler 1 kb plus ladder (Thermo Scientific, SM1343). M2: fast DNA ladder 10 kb (NEB N3238S). Figure 6. Gel red-stained 2% agarose gel showing RT-PCR products from: (a) D-RNA1 expected amplicon size 380 bp; (b) D-RNA2 and D-RNA3, expected amplicon size 380 bp and 400 bp, respectively; and (c) D-RNA4, expected amplicon size 500 bp. M1: GeneRuler 1 kb plus ladder (Thermo Scientific, SM1343). M2: fast DNA ladder 10 kb (NEB N3238S). Figure 6. Gel red-stained 2% agarose gel showing RT-PCR products from: (a) D-RNA1 expected amplicon size 380 bp; (b) D-RNA2 and D-RNA3, expected amplicon size 380 bp and 400 bp, respectively; and (c) D-RNA4, expected amplicon size 500 bp. M1: GeneRuler 1 kb plus ladder (Thermo Scientific, SM1343). M2: fast DNA ladder 10 kb (NEB N3238S). Figure 6. Gel red-stained 2% agarose gel showing RT-PCR products from: (a) D-RNA1 expected amplicon size 380 bp; (b) D-RNA2 and D-RNA3, expected amplicon size 380 bp and 400 bp, respectively; and (c) D-RNA4, expected amplicon size 500 bp. M1: GeneRuler 1 kb plus ladder (Thermo Scientific, SM1343). M2: fast DNA ladder 10 kb (NEB N3238S). 4. 3.6. Validation of Defective RNAs plicons spanning each of the id defective clones to their HTS-de Discussion We have reported here the genome characterization from field-grown cassava plants from the DR Congo, Madagascar, Mayotte and Reunion of thirteen new Closteroviridae These findings confirm that the D-RNAs reported here are not artifacts from high- throughput sequencing analysis, but continuous sequences that exist in the analyzed cassava samples. 3.5. Recombination Analysis 3.5. Recombination Analysis nation Analysis ne such recombination event was reliably detected using this criterion (Figure ombination event involves only the MEaV-2 isolates (two isolates MG-Mia-362 ia-10 from Madagascar, and one isolate MY-6mb-6 from Mayotte) and is de- ven out of the nine algorithms, with a strong probability (p-value = 2.75 × 10−91). ed recombination breakpoints are identified within ORF1a (nucleotide posi- the isolate MG-Mia-362) and within ORF4 (nucleotide position 8997 of the iso- a-362). Figure 5. Recombination event detected among isolates from MeaV-2 by the RDP Figure 5. Recombination event detected among isolates from MeaV-2 by the RDP4 program. Figure 5. Recombination event detected among isolates from MeaV-2 by the RDP4 program. Figure 5. Recombination event detected among isolates from MeaV 2 by the RD Figure 5. Recombination event detected among isolates from MeaV-2 by the RDP4 program. Figure 5. Recombination event detected among isolates from MeaV-2 by the RDP4 program. Viruses 2021, 13, 1030 13 of 17 13 of 17 3.6. Validation of Defective RNAs plicons spanning each of the id defective clones to their HTS-def , g The analy 4. Discussion However, the official formulation of the taxonomic criterion for species demarcation in the family Closteroviridae and in ampelovirus genus is as follows: “Amino acid sequence of relevant gene products (polymerase, CP and HSP70h) differing by more than 25%” [14,15]. Therefore, there is an ambiguity on the fact of whether this criterion should be met for at least one of the three proteins or by all three simultaneously. Such a situation has previously been reported for Rehmannia virus 1 (ReV1) [31], for which the RdRp shows only 11% divergence with that of tobacco virus 1, while the HSP70h and the CP show 26% and 38% divergence, respectively. ReV1 was nevertheless accepted as a valid new Closterovirus species, suggesting that, as no recombination event was identified between them, MEaV- 1 and MEaV-2 could similarly be considered as two distinct Ampelovirus species. This notion is further supported by the observation that all of the proteins diverge by more than 25%, between MEaV-1 and MEaV-2, except for the CP (and for a few comparisons involving one specific isolate, for the HSP90h). Recombination is one of the mechanisms by which viruses evolve. Several studies have reported recombination events in Closteroviridae members [24,32,33]. In this study, we report a recombination event involving MEaV-2 isolates. No evidence of recombination between MEaV-1 and MEaV-2 was detected. In most cases, the analyzed cassava plants contained complex mixed infections in- volving either several isolates from a single MEaV species, or isolates belonging to the two species. Such complex infection patterns are probably due to the vegetative propagation practices used for cassava cultivation. In two plants with these complex mixed infections, defective molecules were identified and confirmed by RT-PCR, cloning and sequencing. Defective RNAs belong to the category of virus-associated molecules that are not required for normal virus propagation, but can sometimes affect the accumulation of the helper virus and symptoms expression [34–36]. The presence of defective RNAs is reported in three genera of the Closteroviridae family [28,37–40], and is therefore not unexpected here. The considerable advances in virus characterization by HTS-based approaches are now revealing that, in addition to genomic and subgenomic RNAs, plants infected with viruses from the family Closteroviridae may contain several different subviral defective RNAs whose role is not known [35]. Further studies are needed to assess their impact on epidemiology and pathogenicity. , g The analy 4. Discussion The comparison of these values, and the unambiguous assignation of MEaV-1 and MEaV-2 to the subgroup II of ampelovirus, show that the genomes reported here are unlikely to miss much more than a hundred nucleotides at their 5′ end and probably even less at the 3′ end, since some of the reported 3′ UTRs are already longer than the longest ones reported to date in the subgroup. This is confirmed when comparing the complete genome sizes; GLRaV-4 (isolate Man086, KJ810572) and PMWaV-1 (isolate HN, KJ872494) are the two subgroup II ampeloviruses with, respectively, the longest and the shortest genome (13,858 nt and 13,069 nt, respectively) [25,27]. The longest contigs for the representative isolates of MEaV-1 and MEaV-2 are, respectively, 13,616 nt (CG-Nmb) and 13,752 nt (MG-Men-9) long, suggesting that near-complete genomes, comprising the totality of the coding sequences and missing limited terminal non-coding nucleotide se- quences, have been obtained, although the extremities of the genomes were not determined by RACE. y Based on the divergence of their CPs, which was determined to be below the species threshold (19 ± 2.2%), MEaV-1 and MEaV-2 could be considered as a single species. Viruses 2021, 13, 1030 14 of 17 14 of 17 However, the official formulation of the taxonomic criterion for species demarcation in the family Closteroviridae and in ampelovirus genus is as follows: “Amino acid sequence of relevant gene products (polymerase, CP and HSP70h) differing by more than 25%” [14,15]. Therefore, there is an ambiguity on the fact of whether this criterion should be met for at least one of the three proteins or by all three simultaneously. Such a situation has previously been reported for Rehmannia virus 1 (ReV1) [31], for which the RdRp shows only 11% divergence with that of tobacco virus 1, while the HSP70h and the CP show 26% and 38% divergence, respectively. ReV1 was nevertheless accepted as a valid new Closterovirus species, suggesting that, as no recombination event was identified between them, MEaV- 1 and MEaV-2 could similarly be considered as two distinct Ampelovirus species. This notion is further supported by the observation that all of the proteins diverge by more than 25%, between MEaV-1 and MEaV-2, except for the CP (and for a few comparisons involving one specific isolate, for the HSP90h). , g The analy 4. Discussion The sampling campaign conducted in the DR Congo collected stems/cuttings from cassava plants showing typical symptoms of CBSD on their leaves and stems. These symptoms consisted of a yellow blotchy pattern on mature lower leaves and brown– black marks (‘streaks’) on green stem portions. The collected cuttings were planted in a glasshouse and, after approximately six months, two of the planted cuttings that have previously expressed foliar symptoms in a farmer’s field remained asymptomatic in the glasshouse and were used for the present study. The HTS results have confirmed the presence of CBSV in one of the samples, but not in the second one. Furthermore, the typical symptoms of CBSD and/or CMD that were observed on the samples from Mayotte are to be connected, in both cases, to the identification of the corresponding causal virus(es). No virus-like symptoms were observed on the samples from Reunion or from Madagascar, the Reunion sample being even selected in this study as a healthy control plant. Additional experiments of artificial inoculation and larger epidemiological studies are needed to clarify the symptomatology of MEaV-1 and MEaV-2, and to estimate the synergistic interaction between coinfecting viruses such as CBSVs and/or CMGs. The symptoms mentioned in this study consist only of foliar symptoms, while no observation was made on below- ground organs. There is a need to develop a diagnostic test in order to be able to evaluate the dis- tribution and prevalence of these new viral agents in other regions of the world, and to evaluate their impact on the yield. This evaluation of the phytosanitary risk should further be completed through wider surveys on symptomatic and asymptomatic plants in both agricultural and natural ecosystems to gain insight into the genetic variability of these new viruses, and their biological significance and impact [41]. Viruses 2021, 13, 1030 15 of 17 15 of 17 Supplementary Materials: The following are available online at https://www.mdpi.com/article/ 10.3390/v13061030/s1; Figure S1: multiple sequence alignment of D-RNA1 clone (referred to in the figure as D-RNA1_Sanger) with the defective reference from HTS (MEaV-1_RE-LJV-D-RNA-1). The term “DELETIONZONE” has been inserted into the HTS-defective reference to identify the zone where the deletion is located. This zone consists of 568 nucleotide sequences and is indicated by the rectangle. Figure S2: multiple sequence alignment of D-RNA2 clone (referred to in the figure as D-RNA2_Sanger) with the defective reference from HTS (MEaV-1_RE-LJV-D-RNA-2). , g The analy 4. Discussion resources: S.M., C.B., H.V., J.-M.L., E.B., A.M., S.R.; writing— original draft preparation: Y.K., S.M., T.C.; writing—review and editing: all authors; supervision: S.M., H.V., C.B., T.C., D.F., J.-M.L.; funding: S.M., C.B., H.V., T.C., D.F., J.-M.L. All authors have read and agreed to the published version of the manuscript. Funding: Y.K. and work in DR Congo were supported by the iCARE project funded by ARES (granted to Sébastien Massart, Claude Bragard and Hervé Vanderschuren). This study was co-funded in part by the European Union (ERDF, INTERREGV), the Conseil Régional de la Réunion and CIRAD, and conducted in part on the Plant Protection Platform (3P, IBISA). SS was supported by LEAP-Agri (A Long-term EU–Africa research and innovation Partnership on food and nutrition security and sustainable Agriculture), CASSANDRA FNRS-LEAP-288 project. Data Availability Statement: The datasets of genome sequences generated and analyzed during this study are available in Genbank repository under the following accession numbers: MT773584, MT773585, MT773586, MT773587, MT773588, MT773589, MT773590, MT773591, MT773592, MT773593, MT773594, MT773595, MT773596, MW306827, MW306828, MW306829, MW306830. Acknowledgments: The Genotoul Platform (INRAE, Toulouse, France) is gratefully acknowledged for Illumina Myseq sequencing. The authors thank Marc Fuchs (Cornell University, USA) for a valuable exchange on Closteroviridae taxonomy and species demarcation criteria. Conflicts of Interest: The authors declare no conflict of interest. Conflicts of Interest: The authors declare no conflict of interest. Conflicts of Interest: The authors declare no conflict of interest. , g The analy 4. Discussion The term “DELETIONZONE” has been inserted into the HTS-defective reference to identify the zone where the deletion is located. This zone consists of 3761 nucleotide sequences and is indicated by the rectangle. Figure S3: multiple sequence alignment of D-RNA3 clones (two clones were sequenced and are referred to in the figure as D-RNA3a-Sanger and D-RNA3b-Sanger) with the defective reference from HTS (MEaV-2_RE-LJV-D-RNA3). The term “DELETIONZONE” has been inserted into the reference HTS-defective to identify the zone where the deletion has been identified. This zone consists of 648 nucleotide sequences and is indicated by the rectangle. Figure S4: multiple sequence alignment of D-RNA4 clone (referred to in the figure as D-RNA4-Sanger) with the defective reference from HTS (MEaV-2_MG-Mena-D-RNA-4). The term “DELETIONZONE” has been inserted into the reference HTS-defective to identify the zone where the deletion is located. This zone consists of 444 nucleotide sequences and is indicated by the rectangle. Table S1: length of ORF and molecular mass of 3 encoded proteins (RdRp, HSP70h and CP) of the 15 isolates of the cassava ampelovirus reported in this study. Table S2: accession numbers and abbreviations for selected Closterovirus used in the phylogenetic reconstruction of the HSP70h nucleotide sequences. Table S3: estimates of evolutionary divergence between amino acid (aa) sequences for the HSP70h protein among cassava ampeloviruses isolates reported in this study. Table S4: estimates of evolutionary divergence between amino acid (aa) sequences for the HSP70h protein among cassava ampeloviruses isolates reported in this study. Table S5: estimates of evolutionary divergence between amino acid (aa) sequences for the coat protein among cassava ampeloviruses isolates reported in this study. Table S6: estimates of evolutionary divergence between nucleotide sequences for the whole genomes of cassava ampelovirus isolates reported in this study. Author Contributions: Conceptualization: S.M., T.C., Y.K. and F.M.; methodology: S.M., T.C., Y.K., E.B., S.S.; validation: S.M., T.C., A.G.B., J.-M.L., D.F.; formal analysis: Y.K., T.C., A.G.B., J.-M.L., D.F., S.S., C.F.; investigation: Y.K., E.B., A.M. resources: S.M., C.B., H.V., J.-M.L., E.B., A.M., S.R.; writing— original draft preparation: Y.K., S.M., T.C.; writing—review and editing: all authors; supervision: S.M., H.V., C.B., T.C., D.F., J.-M.L.; funding: S.M., C.B., H.V., T.C., D.F., J.-M.L. All authors have read and agreed to the published version of the manuscript. Author Contributions: Conceptualization: S.M., T.C., Y.K. and F.M.; methodology: S.M., T.C., Y.K., E.B., S.S.; validation: S.M., T.C., A.G.B., J.-M.L., D.F.; formal analysis: Y.K., T.C., A.G.B., J.-M.L., D.F., S.S., C.F.; investigation: Y.K., E.B., A.M. 1. Food and Agriculture Organization of the United Nations. FAOSTAT Statistical Database; FAO: Rome, Italy, 2017. 2. Burns, A.; Gleadow, R.; Cliff, J.; Zacarias, A.; Cavagnaro, T. Cassava: The Drought, War and Famine Crop in a Changing World. Sustainability 2010, 2, 3572–3607. [CrossRef] 3. Lobell, D.B.; Burke, M.B.; Tebaldi, C.; Mastrandrea, M.D.; Falcon, W.P.; Naylor, R.L. Prioritizing Climate Change Adaptation Needs for Food Security in 2030. Science 2008, 319, 607–610. [CrossRef] [PubMed] References Verdin, E.; Wipf-Scheibel, C.; Gognalons, P.; Aller, F.; Jacquemond, M.; Tepfer, M. Sequencing viral siRNAs to identify previously undescribed viruses and viroids in a panel of ornamental plant samples structured as a matrix of pools. 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The Influence of Service Quality and Price on the Interest of Commuterline KRL Passengers
Ilomata International Journal of Management
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The Influence of Service Quality and Price on the Interest of Commuterline KRL Passengers Waode Utari Nur Aisyah 1, Fahruddin Salim2, Mohammad Sofyan3 1Marketing Management Ibn Chaldun University, Jakarta 2Faculty of Economics, Pancasila University, Jakarta 3Institute of Social Sciences and Management STIAMI, Jakarta Correspondence: waode.utariii@gmail.com Waode Utari Nur Aisyah 1, Fahruddin Salim2, Mohammad Sofyan3 1Marketing Management Ibn Chaldun University, Jakarta 2Faculty of Economics, Pancasila University, Jakarta 3Institute of Social Sciences and Management STIAMI, Jakarta Correspondence: waode.utariii@gmail.com Submitted: 1 August 2019. Revised: 28 August, 15 Sept 2019. Published: 30 October 2019. Submitted: 1 August 2019. Revised: 28 August, 15 Sept 2019. Published: 30 October ABSTRACT This electric train transportation facility is a means of transportation that avoids traffic congestion because it has its own route. Transportation competition can be seen through aspects of service quality to transportation service providers. The excellence of the company can be demonstrated by providing good quality service and striving for affordable ticket prices by the public. This study aims to determine and analyze the effect of Service Quality and Prices on Commuterline KRL Passenger Interest. This study used 125 respondents who used the commuterline train at Tanjung Priok station. This study used a quantitative method with multiple linear regression analysis taking data by distributing questionnaires. Sampling in this study using nonprobability sampling techniques. The results of the analysis partially and simultaneously show that service quality and price affect the interests of passengers. p p g Keywords: Service Quality, Price, and Passenger Interest 13 | Ilomata International Journal of Management Ilomata International Journal of Management P-ISSN: 2714-8971; E-ISSN: 2714-8963 Vol. 1 No. 1 October 2019 page:13-18 Ilomata International Journal of Management P-ISSN: 2714-8971; E-ISSN: 2714-8963 Vol. 1 No. 1 October 2019 page:13-18 https://www.ilomata.org/index.php/ijjm INTRODUCTION Transportation of people and goods transport mainly on the islands of Java and Sumatra. The train is a mass carrier with high capacity is an ideal means of transportation. However, the attention of the government in facilitating railway facilities and infrastructure is still not optimal. KCI has been trying to spread widely, recently the Tanjung Priok large station has been re- operated not to reduce the likelihood of people using private vehicles so as to slightly reduce traffic congestion in Jakarta. PT. KCI, under the auspices of the railroad, must have paid attention to the location, business strategy, and the quality of services it has in its company to reduce congestion in the capital, but it has not been seen as significant due to the large population. Based on the above understanding of the quality of service, the price of the passenger volume at each station is a factor concerned with each other. The role of trains in Indonesia is still very marginal. In terms of transportation market share, trains for passenger transport are only 7.3% and goods transport is approximately 0.6%. However, especially for economy class passengers, it is still often overloaded, especially when approaching Idul Fitri. As a result, passengers do not feel comfortable when using train services. Customers are satisfied if they can ride the train at a low cost, even without enjoying the trip (Semuel & Wijaya, 2010). Guidance in the field of traffic and railroad transportation which covers aspects of regulation, control and supervision of traffic is carried out by prioritizing and paying attention to the service of the public interest or the community of railroad service users, environmental sustainability, spatial planning, development of science and technology. The development carried out by the government is also intended to create safe, secure, fast, smooth, orderly and orderly railroad traffic and is integrated with other modes of transportation. In order to fulfill the interests of the government as trainers and train transportation and meet the interests of the community of railroad service users, this is manifested in various provisions in this Government Regulation, among others, concerning rail service networks, railroad operations, transportation of people and goods by train , tariff structure and class. People more often use private vehicles because of several factors that make people not use public transportation. INTRODUCTION Transportation is a means for humans to move things, both humans or objects from one place to another, with or without using tools. Transportation serves to overcome the gap in distance and communication between the place of origin and destination. One of the means of transportation is electric trains, this transportation is a means of transportation that avoids congestion because it has its own route. As one of the largest mass transportation companies in Indonesia, Electric Train (KRL) has great potential to become a solution for increasingly complex urban transportation problems. But to be able to realize this, as a manager, PT. KAI Commuter Indonesia (KCI) still needs to increase the number of units and the quality of existing KRL services to achieve passenger satisfaction. Indonesian commuterline trains began modernizing KRL transport in 2011 by simplifying existing routes into five main routes, eliminating express KRL, implementing special female trains, and changing the name of economy-AC KRL to Commuterline trains. The project will continue with the renovation, rearrangement and sterilization of facilities and infrastructure, including the railroad and train stations, which will be carried out with PT KAI (Persero) and the Government. There has been a phenomenal development in the mobility of people and goods in the country. This development encourages higher public demand for the quality and quantity of public transportation services (Rajeswari & Santa Kumari, 2014). The purpose of implementing a new online ticketing system or the so-called Rail Ticketing System is expected to further accelerate services and make it easier for train transportation service users to get tickets (Septianita, Agus Winarno, & Arif, 2014). The use of E-Ticketing is a form of support from companies that can play 13 | Ilomata International Journal of Management Vol. 1 No. 1 October 2019 The Influence of Service Quality and Price on the Interest of Commuterline KRL Passengers at Tanjung Priok Station Aisyah, Salim, Sofyan The Influence of Service Quality and Price on the Interest of Commuterline KRL Passengers at Tanjung Priok Station Aisyah, Salim, Sofyan an important role in increasing competitive advantage in terms of customer loyalty (Setiawan, 2015). This shows that the demand of people in developed countries for rail transportation services is still very high, so the railroad industry must be considered for its existence in a country, especially a country with a dense population. 14 | Ilomata International Journal of Management INTRODUCTION The quality of service of station officials and prices that are still unknown by ordinary people make the congestion of the capital city that is still difficult for the government to overcome. Because the quality of service is questionable the railroad is trying to improve its core area and provide quality service to passengers. The efforts of the railroad section will definitely retain passengers in enjoying their services in the future. The result indicates that a larger gap has been found in Reliability and Assurance dimensions of Railway service quality and the most important factors determining satisfaction of passengers are basic facilities, safety & security, punctuality and employee behavior towards passengers. It was found that the dimensions that influence the good services were Reliability and Assurance (Hundal & Kumar, 2015). Using SERVQUAL methodology, the optimal fuzzy interval of gap scores is determined for each item. Fuzzy approach is a more realistic way to use linguistic assessments instead of numerical values. An empirical study is conducted using the proposed approach Vol. 1 No. 1 October 2019 The Influence of Service Quality and Price on the Interest of Commuterline KRL Passengers at Tanjung Priok Station Aisyah, Salim, Sofyan (Maruvada & Bellamkonda, 2010). The results indicate gaps in two of the five dimensions and 15 attributes were ascertained to have influenced perception of service quality leading to customer dissatisfaction (Ojo, Mireku, Suleman, & Nutsogbodo, 2014) (Maruvada & Bellamkonda, 2010). The results indicate gaps in two of the five dimensions and 15 attributes were ascertained to have influenced perception of service quality leading to customer dissatisfaction (Ojo, Mireku, Suleman, & Nutsogbodo, 2014) 15 | Ilomata International Journal of Management 16 | Ilomata International Journal of Management Effect of Service Quality on Passenger Interest The results of this study indicate that the service quality variable has a positive and significant effect on the interests of commuterline train passengers at Tanjung Priok Station. With the results obtained in the t-test of 4.723 and sig 0.000 <a = 0.05. This can be interpreted that a good quality of service will increase the interest of commuterline KRL passengers at Tanjung Priok station. Quality of service is an absolute thing that must be owned by a company or agency that offers services, because with the quality of service to consumers, companies or agencies can measure the level of performance that has been achieved. RESULT AND DISCUSSION ANOVAa Model Sum of Squares df Mean Square F Sig. 1 Regression 165250.089 2 82625.045 15.155 .000b Residual 665149.911 122 5452.048 Total 830400.000 124 a. Dependent Variable: Passenger Interest b. Predictors: (Constant), Price, Service Quality The results of the calculation above there is the Fvalue is 15,155 and the Ftable can be searched from the F table with a significance level of 5% or 0.05 using the formula Ftable = (k; nk), where K is the number of independent variables, while N is the number of respondents . Then produces the number (2; 125-2) = (2; 123), so for it Ftable 3.07. Because Fvalue 15.155 > from Ftable 3.07 can be concluded that Ha accepted H0rejected, That means that service quality and price simultaneously influence the interest of commuterline KRL at Tanjung Priok station. Table 2. T- test results No Variable name T Count T Table Decision 1 Service Quality 4.723 1.979 Take effect 2 Price -3.238 -1.979 Take effect Table 2. T- test results METHOD The methodology used in this study includes research design, sampling techniques, and data collection and analysis tools (Kalaiselvi, Sandhya, & Athira, 2017). This study aims to obtain proof of a causal relationship between the independent variables consisting of service quality and price with the dependent variable, namely the interest of commuterline crews at Tanjung Priok station. Population is the total number of subjects to be studied by a researcher. In terms of population understanding, all variables are related to the topic of research. In this study, the population is passengers who take the train and get off at Tanjung Priok station. The sample is a portion of subjects taken from the whole research subject (population). This partial amount will be the focus of research. Of course the sum of the part drawn (sample) must represent the entire number of research subjects (population). In other words Population and Sample are two things that are interrelated or inseparable. According to Hair et al in Setyo stated that the minimum number of samples is 5 times the number of question items contained in the questionnaire (Setyo, 2017). The indicators in this study consisted of 2 independent variables and 1 dependent variable. Total questions in this study were 21 statements, so that the minimum sample size of this study was 21 x 5 = 105 Table 1. Definition of Variable Operations 15 | Ilomata International Journal of Management Vol. 1 No. 1 October 2019 No Variable Name Dimension Indicator 1 Service quality Tangible Neat and professional appearance Reliability Clarity of information given in the schedule Clarity of schedule given at the station Responsiveness Modern appearance - station Providing train services on time Assurance Staff availability in handling your requests Be informed if there is a delay Empathy Have the knowledge to answer your questions Deal with you in a thoughtful manner when you ask questions 2 Price Cost oriented pricing Affordability of prices Demand oriented pricing Price competitiveness Competition oriented pricing Price match 3 Passenger Interest Passenger Interest Consumers have the desire to use commuterline train services Consumers have the desire to buy a product to meet their needs Consumers tell friends after feeling comfortable in commuterline train services Consumers recommend to family and friends to use commuterline train transportation services. Vol. 1 No. METHOD 1 October 2019 The Influence of Service Quality and Price on the Interest of Commuterline KRL Passengers at Tanjung Priok Station Aisyah, Salim, Sofyan No Variable Name Dimension Indicator Consumers assess satisfaction with the performance of commuterline train services. RESULT AND DISCUSSION Effect of Prices on Passenger Interest The results of this study indicate that the variable price has a negative and significant effect on the interests of commuterline train passengers at Tanjung Priok Station. With the results obtained in the t-test of -3.238 and sig 0.002 <a = 0.05. This can be interpreted that the increase Vol. 1 No. 1 October 2019 The Influence of Service Quality and Price on the Interest of Commuterline KRL Passengers at Tanjung Priok Station Aisyah, Salim, Sofyan The Influence of Service Quality and Price on the Interest of Commuterline KRL Passengers at Tanjung Priok Station Aisyah, Salim, Sofyan in train ticket prices affects the interest of commuterline KRL passengers at Tanjung Priok station. In this case price affordability, price competitiveness, price suitability, generate interest from commuterline KRL passengers especially at Tanjung Priok station. In an effort to increase purchasing interest, prices also play a role in influencing consumer interest in a product (Aptaguna & Pitaloka, 2016). CONCLUSION Service quality has a positive and significant effect on the interest of commuterline KRL passengers at Tanjung Priok station. Ticket prices have a negative and significant effect on the interest of commuterline KRL passengers at Tanjung Priok station. Quality of service and price simultaneously have a significant effect on the interest of commuterline KRL passengers at Tanjung Priok station. Based on the results of the coefficient of determination Rsquare of 19.9% which means that the variable service quality and price can explain the variable interest of commuterline KRL passengers at Tanjung Priok station indicating there are still other variables of 80.1% which must be considered in this study. In the quality of services, clear train information needs to be improved if there are delays and provide train services on time. Passengers prioritize the existence of good service for their convenience, although ticket prices are still considered to be competing with other transportation such as the Transjakarta busway but it does not affect the interest of passengers to take the commuterline KRL based on ticket prices. Further studies, should add other variables that can affect passenger interest. Therefore, with the better quality of service from employees and station staff, it will also have a good effect on government agencies or companies. Effect of Service Quality and Prices on Passenger Interest The results of this study indicate that the F-test results with a fvalue of 15,155 values are greater than Ftable 3.07 atau fvalue 15.155 > ftable 3.07 with a probability of 0,000. Because the probability value is much smaller than 0.05, the quality of service and price together (simultaneously) affect the interests of passengers. This was felt at PT. KCI that service quality and price affect passenger interest. 18 | Ilomata International Journal of Management Vol. 1 No. 1 October 2019 REFERENCE Aptaguna, A., & Pitaloka, E. (2016). Pengaruh Kualitas Layanan Dan Harga Terhadap Minat Beli Jasa Go-Jek. Widyakala, 3, 49–56. Retrieved from https://www.upj.ac.id/userfiles/files/Widyakala Vol 3 pp 49-56 (Aptaguna_Oka).pdf Hundal, B. S., & Kumar, V. (2015). Assessing the service quality of Northern Railway by using SERVQUAL model. Pacific Business Review International, 8(2), 82–88. Retrieved from www.pbr.co.in Hundal, B. S., & Kumar, V. (2015). Assessing the service quality of Northern Railway by using SERVQUAL model. Pacific Business Review International, 8(2), 82–88. Retrieved from www.pbr.co.in Kalaiselvi, A., Sandhya, D., & Athira, C. G. (2017). Passenger satisfaction towards railway with reference to Combatore junction. International Journal of Development Research, 7(10), 16328– 16330. Retrieved from https://www.journalijdr.com/sites/default/files/issue- pdf/10727.pdf Maruvada, D. P., & Bellamkonda, R. S. (2010). Analyzing the Passenger Service Quality of the Indian Railways using Railqual: Examining the Applicability of Fuzzy Logic. International Journal of Innovation, Management and Technology, 1(5), 478–482. Retrieved from http://ijimt.org/papers/84-M479.pdf Vol. 1 No. 1 October 2019 17 | Ilomata International Journal of Management The Influence of Service Quality and Price on the Interest of Commuterline KRL Passengers at Tanjung Priok Station Aisyah, Salim, Sofyan The Influence of Service Quality and Price on the Interest of Commuterline KRL Passengers at Tanjung Priok Station Aisyah, Salim, Sofyan Ojo, T. K., Mireku, D. O., Suleman, D., & Nutsogbodo, R. Y. (2014). Service quality and customer satisfaction of public transport on Cape Coast-Accra Route, Ghana. Developing Country Studies, 4(18), 142–148. Rajeswari, V., & Santa Kumari, K. (2014). Satisfaction and Service Quality in Indian Railways -A Study on Passenger Perspective. IOSR Journal of Economics and Finance, 4(1), 2321–5933. Retrieved from http://www.iosrjournals.org/iosr-jef.html Semuel, H., & Wijaya, N. (2010). Service Quality, Perceived value, Satisfaction, Trust, dan Loyalty pada PT. Kereta Api Indonesia Menurut Penilaian Pelanggan Surabaya. Jurnal Manajemen Pemasaran, 4(1), 23–37. Retrieved from http://jurnalpemasaran.petra.ac.id/index.php/mar/article/view/18083/17991 Septianita, Wi., Agus Winarno, W., & Arif, A. (2014). Pengaruh Kualitas Sistem, Kualitas Informasi, Kualitas Pelayanan Rail Ticketing System (RTS) Terhadap Kepuasan Pengguna. E-Journal Ekonomi Bisnis Dan Akutansi, 1(1), 53–56. https://doi.org/10.19184/ejeba.v1i1.570 Setiawan, E. B. (2015). Analisis Pengaruh Nilai Teknologi Informasi Terhadap Keunggulan Bersaing Perusahaan (Studi Kasus Pemanfaatan E-Tiketing Terhadap Loyalitas Pengguna Jasa Kereta Api). Jurnal Sains, Teknologi Dan Industri, 12(2), 204–211. Setyo, P. E. (2017). Pengaruh Kualitas produk dan harga terhadap kepuasaan konsumen “Best Autoworks.” Jurnal Manajemen, 1(6), 755–764. Retrieved from https://journal.uc.ac.id/index.php/performa/article/view/404/363 Vol. 1 No. 1 October 2019
https://openalex.org/W4362415279
https://aacr.figshare.com/articles/journal_contribution/Supplementary_Figure_1_Legend_from_Conjugation_of_Human_Topoisomerase_2_with_Small_Ubiquitin-like_Modifiers_2_3_in_Response_to_Topoisomerase_Inhibitors_Cell_Cycle_Stage_and_Chromosome_Domain_Specificity/22374816/1/files/39820053.pdf
English
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Supplementary Figure 1 Legend from Conjugation of Human Topoisomerase 2α with Small Ubiquitin-like Modifiers 2/3 in Response to Topoisomerase Inhibitors: Cell Cycle Stage and Chromosome Domain Specificity
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Supplemental Figure 1 A model for conjugation of topoisomerase IIα with SUMO-2/-3 proteins within mitotic chromosomes. Activity of topo 2α at the axes is required for full removal of the last catenanes connecting chromatids before onset of anaphase. Also, genetic and biochemical evidence implicate conjugation of topo 2 to SUMO proteins in chromatid cohesion and separation during M stage (cf references in the text). Topo 2α dimers that localize at the chromosome cores/axes and centromeric regions are transiently conjugated with SUMO- 2/-3 proteins exclusively during their involvement in DNA strand-passage/religation activities. Thus, the fraction of topo 2α that is modified by SUMO-2/-3 is almost undetectable under steady-state conditions (no drug; left panel). However, stabilization of catalytic intermediates with specific topo 2 inhibitors (etoposide, doxorubicin, ICRF-187) allows accumulation of topo 2α-SUMO-2/-3 conjugates (cleavage complexes, closed clamps; right panel). Conversely, abrogation of initiation of catalysis (aclarubicin, merbarone) by preventing subsequent formation/stabilization of catalytic intermediates in response to inhibitors acting downstream (etoposide, doxorubicin, ICRF-187) precludes accumulation of SUMO-2/-3 proteins at mitotic chromatin. We propose that during mitosis topo 2-specific drugs act, at least partially, by altering the dynamics of a subpopulation of topo 2α that becomes conjugated with SUMO-2/-3 in a PIASy- dependent fashion at the chromosomal axis; this subpopulation should be critically involved in chromatid separation. This model highlights the mitotic chromosomal axis both as a domain involved in SUMO-modification and as a target for topo 2-specific A model for conjugation of topoisomerase IIα with SUMO-2/-3 proteins within mitotic chromosomes. Activity of topo 2α at the axes is required for full removal of the last catenanes connecting chromatids before onset of anaphase. Also, genetic and biochemical evidence implicate conjugation of topo 2 to SUMO proteins in chromatid cohesion and separation during M stage (cf references in the text). Topo 2α dimers that localize at the chromosome cores/axes and centromeric regions are transiently conjugated with SUMO- 2/-3 proteins exclusively during their involvement in DNA strand-passage/religation activities. Thus, the fraction of topo 2α that is modified by SUMO-2/-3 is almost undetectable under steady-state conditions (no drug; left panel). However, stabilization of catalytic intermediates with specific topo 2 inhibitors (etoposide, doxorubicin, ICRF-187) allows accumulation of topo 2α-SUMO-2/-3 conjugates (cleavage complexes, closed clamps; right panel). Conversely, abrogation of initiation of catalysis (aclarubicin, merbarone) by preventing subsequent formation/stabilization of catalytic intermediates in response to inhibitors acting downstream (etoposide, doxorubicin, ICRF-187) precludes accumulation of SUMO-2/-3 proteins at mitotic chromatin. Supplemental Figure 1 We propose that during mitosis topo 2-specific drugs act, at least partially, by altering the dynamics of a subpopulation of topo 2α that becomes conjugated with SUMO-2/-3 in a PIASy- dependent fashion at the chromosomal axis; this subpopulation should be critically involved in chromatid separation. This model highlights the mitotic chromosomal axis both as a domain involved in SUMO-modification and as a target for topo 2-specific drugs.
https://openalex.org/W4390885912
https://jurnal.polgan.ac.id/index.php/jmp/article/download/13359/2268
Indonesian
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Penerapan Resource Allocation dan Levelling tenaga Kerja Pada Proyek Konveksi
Jurnal Minfo Polgan
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ABSTRAK Pemerataan sumber daya menggunakan metode jalur kritis dan teknik leveling diharapkan dapat menghindari masalah alokasi berlebihan (menugaskan lebih banyak sumber daya kesuatu proyek/pekerjaan) dan masalah kurang alokasi (tidak menjadwalkan sumber daya yang cukup untuk mencapai penyelesaian proyek/pekerjaan). Dengan pemerataan sumber daya yang tepat, pekerjaan konveksi tidak hanya selesai lebih cepat tetapi juga lebih efisien. Salah satu metode untuk melakukan perataan sumber daya adalah dengan menerapkan resource leveling. Metode resource leveling adalah sebuah teknik di mana tanggal mulai dan selesai pekerjaan disesuaikan berdasarkan keterbatasan resource dengan tujuan menyeimbangkan antara kebutuhan dengan pasokan untuk resource yang tersedia. Dalam menerapkan allocation dan levelling digunakan software Microsoft project 2010. Dengan levelling diharapkan adanya perataan sumber daya sehingga terjadi optimalisasi sumber daya yang tersedia untuk mencegah alokasi berlebihan atau penggunaan yang kurang. Teknik levelling menyelesaikan proyek/pekerjaan tanpa sumber daya tambahan. Perataan sumber daya dapat menghasilkan beban kerja yang seimbang, peningkatan efisiensi, dan meminimalkan biaya proyek. Dengan leveling dapat membantu pengambil keputusan dalam perataan sumber daya. etode resource leveling, Gantt Table, CPM(Critical Path Method), Microsoft project 2010 Latar Belakang Saat ini usaha konveksi sangat pesat berkembang diIndonesia baik dikota-kota besar maupun didaerah- daerah. Usaha konveksi merupakan usaha yang mengolah barang setengah jadi menjadi barang jadi seperti kemeja, celana, dan lain-lain. Usaha konveksi sama dengan usaha garmen yaitu sama-sama merupakan usaha yang bergerak di bidang pembuatan barang jadi tekstil, yang membedakan adalah pada usaha konveksi dikelola oleh perorangan, dengan jumlah pegawai yang bekerja lebih sedikit dan mesin yang digunakan sangat terbatas, dalam pengerjaan suatu produk masih dalam skala kecil. Sedangkan usaha garmen bisanya berupa pabrik atau perusahaan dengan sistem pengelolaan yang lebih baik, produksi usaha garmen dalam skala besar sehingga dalam proses pengerjaan menggunakan pekerja lebih banyak. Jurnal Minfo Polgan Volume 12, Nomor 2, Desember 2023 DOI : https://doi.org/10.33395/jmp.v12i2.13359 e-ISSN : 2797-3298 p-ISSN : 2089-9424 Jurnal Minfo Polgan Volume 12, Nomor 2, Desember 2023 DOI : https://doi.org/10.33395/jmp.v12i2.13359 e-ISSN : 2797-3298 p-ISSN : 2089-9424 Jurnal Minfo Polgan Volume 12, Nomor 2, Desember 2023 DOI : https://doi.org/10.33395/jmp.v12i2.13359 e-ISSN : 2797-3298 p-ISSN : 2089-9424 e-ISSN : 2797-3298 p-ISSN : 2089-9424 This is an Creative Commons License This work is licensed under a Creative Commons Attribution-NonCommercial 4.0 International License. Rumusan Masalah PT. Nilosa Rama Buana adalah konveksi dibidang pakaian atau tekstil. Jenis pekerjaan yang ada pada konveksi tersebut terdiri dari supervisor/pengawas produksi yang mempunyai tugas dan tanggung jawab yaitu Membuat proses produksi menjadi efektif dan efisien, Mencari cara untuk mencapai target 2728 Jurnal Minfo Polgan Volume 12, Nomor 2, Desember 2023 DOI : https://doi.org/10.33395/jmp.v12i2.13359 e-ISSN : 2797-3298 p-ISSN : 2089-9424 produksi harian, Mengatur pekerjaan para operator, Memantau kecepatan kerja operator, loading kerja, waktu hilang /lost time dll, Melatih disiplin kerja di lapangan, Menyusun mesin dan mengatur mesin berdasarkan kegunaan operasi proses garment,Meratakan beban kerja sepanjang jalur line produksi,Training operator dan Menghasilkan garment dengan kualitas terbaik dan mempertahankan persentase produk gagal yang rendah. Pekerja lainnya yaitu operator sewing 10 orang yang mempunyai tugas dan tanggung jawab sebagai Operator sewing atau di tugaskan pada bagian menjahit bahan baku produksi, helper 10 orang yang mempunyai tugas dan tanggung jawab memotong kain, membersihkan sisa benang jahitan dan packing serta quality control. Yang dialami perusahaan adalah konflik sumber daya karena pemberian tugas yang berlebihan. Untuk itu perlu pengelolaan sumber daya yang tersedia dengan merata. Dengan teknik manajemen proyek pemerataan sumber daya membantu pekerja bekerja lebih efiisen dengan men distribusikan pekerjaan secara strategis secara adil keseluruh pekerja konveksi. Pemerataan sumber daya menggunakan metode jalur kritis dan teknik leveling diharapkan dapat menghindari masalah alokasi berlebihan (menugaskan lebih banyak sumber daya kesuatu proyek/pekerjaan) dan masalah kurang alokasi (tidak menjadwalkan sumber daya yang cukup untuk mencapai penyelesaian proyek/pekerjaan). Dengan pemerataan sumber daya yang tepat, pekerjaan konveksi tidak hanya selesai lebih cepat tetapi juga lebih efisien. Jika ingin mengetahui alokasi tenaga kerja maka harus dilakukan analisis lebih mendalam terhadap time schedule yang ada. Alokasi tenaga kerja yang tidak merata akan menimbulkan masalah. Untuk mengatasi masalah tidak meratanya tenaga kerja maka perlu dilakukan perataan sumber daya. Salah satu metode untuk melakukan perataan sumber daya adalah dengan menerapkan resource leveling. Metode resource leveling adalah sebuah teknik di mana tanggal mulai dan selesai pekerjaan disesuaikan berdasarkan keterbatasan resource dengan tujuan menyeimbangkan antara kebutuhan dengan pasokan untuk resource yang tersedia. Resource leveling dapat digunakan apabila resource digunakan secara bersamaan, atau resource yang penting tersedia pada waktu tertentu, atau dalam jumlah terbatas, atau dialokasikan lebih (overallocated) ketika resource tersebut ditempatkan untuk dua atau lebih kegiatan pada jangka waktu yang sama, atau untuk menjaga penggunaan resource pada tingkat yang konstan. Pemerataan sumber daya dengan menggunakan teknik metode jalur kritis/critical path method dan teknik leveling. Rumusan Masalah Metode jalur Kritis (CPM) adalah teknik yang digunakan dalam manajemen proyek yang memungkinkan Anda mengetahui tugas mana yang harus diselesaikan terlebih dahulu. Mengetahui jalur kritis mengidentifikasi tugas mana yang dapat ditunda sehingga Anda dapat mengosongkan sumber daya untuk tugas lainnya. Ruang Lingkup Dalam menerapkan allocation dan levelling digunakan software Microsoft project 2010. Metode ini diterapkan pada suatu proyek konstruksi dengan resource yang ada. Sumber daya yang di bahas pada penelitian ini adalah tenaga kerja. Kemudian kita dapat menentukan tenaga kerja yang dibutuhkan pada proyek tersebut sehingga penjadwalan dapat terpenuhi. This is an Creative Commons License This work is licensed under a Creative Commons Attribution-NonCommercial 4.0 International License. CPM CPM(Critical Path Method) adalah sebuah metode yang dikembangkan oleh ahli matematika dan tim insinyur dari perusahaan DuPont yang bekerja sama dengan Rand Corporation dalam usahanya untuk mengembangkan sistem kontrol manajemen. CPM merupakan suatu teknik perencanaan dengan analisis jaringan (network) berdasarkan logika ketergantungan antara aktivitas yang ada dalam suatu proyek. Microsoft Project Microsoft Project telah banyak dikenal sebagai sebuah aplikasi pengelola proyek yang cukup handal dan dapat bekerja dengan baik. Dalam bidang rancang bangun atau rekayasa proyek konstruksi, Microsoft Project juga biasa digunakan untuk mengelola rencana pekerjaan dan waktu pekerjaan, sehingga sebuah proyek yang sedang berjalan dapat dipantau dan dievaluasi sesuai tahapan-tahapannya. 2729 Jurnal Minfo Polgan Volume 12, Nomor 2, Desember 2023 DOI : https://doi.org/10.33395/jmp.v12i2.13359 e-ISSN : 2797-3298 p-ISSN : 2089-9424 Resource Leveling Resource leveling adalah suatu proses meminimalisasi tidak meratanya penggunaan resource selama proyek berlangsung. Resource yang dimaksud disini adalah tenaga kerja proyek konstruksi. Resource leveling biasanya dilakukan dengan menunda kegiatan tidak kritis selama float yang dimiliki masih ada. Resource leveling memiliki tujuan untuk memeratakan jumlah penggunaan resource tanpa meningkatkan atau menambah durasi waktu kegiatan. Meratakan sumber daya tersebut dengan prinsip mengurangi jumlah tenaga kerja puncak dan menambahkannya pada suatu unit waktu dengan jumlah penggunaan resource yang relatif sedikit (Ardentius, 2014). Tujuan dari resource leveling adalah untuk menjadwalkan kegiatan pada proyek yang disesuaikan dengan ketersediaan resource dan pola penyebaran yang logis, sehingga durasi proyek tidak berlebihan. Variasi penyebaran resource dari satu periode ke periode lainnya diusahakan dapat tetap pada suatu batas minimum kebutuhannya, sehingga hasil yang dicapai dapat memenuhi sesuai dengan kemampuan dan ketersediaan resource yang ada (Husen, 2011). Hal lain yang perlu diperhatikan dalam resource leveling adalah mengidentifikasi resource yang terbatas dan dibutuhkan untuk seluruh jumlah durasi dari suatu proyek. Ini karena alokasi resource yang langka dan ketersediaanya terbatas harus diprioritaskan (Kurniyawan, 2007). This is an Creative Commons License This work is licensed under a Creative Commons Attribution-NonCommercial 4.0 International License. This is an Creative Commons License This work is licensed under a Creative Commons Att ib ti N C i l 4 0 I t ti l Li Gantt Table Gantt Table adalah diagram yang paling banyak digunakan pada penjadwalan proyek konstruksi karena kemudahannya. Pedomannya adalah diagram balok disusun dengan maksud mengidentifikasi unsur waktu dari urutan dalam merencanakan suatu kegiatan. Gantt Table juga diartikan suatu diagram yang terdiri dari sekumpulan garis yang menunjukan saat mulai dan saat selesai yang direncanakan untuk item- item tugas dalam sebuah proyek. ttribution-NonCommercial 4.0 International License. Pengumpulan Data Data yang dibutuhkan untuk penerapan resource levelling pada aplikasi program Microsoft Office Project Profesional 2010 adalah data-data yang akan diambil dari proyek pekerjaan konveksi pada PT. PT. Nilosa Rama Buana berupa: Nilosa Rama Buana berupa: -Aktivitas / kegiatan (WBS) - Durasi kegiatan g - Volume item pekerjaan Untuk data sumber daya yang diinputkan hanya meliputi tenaga kerja, sedangkan material dan peralatan yang dibutuhkan dalam proyek tidak ditinjau. 2730 Jurnal Minfo Polgan Volume 12, Nomor 2, Desember 2023 DOI : https://doi.org/10.33395/jmp.v12i2.13359 e-ISSN : 2797-3298 p-ISSN : 2089-9424 Pengaplikasian Program dan Proses Input Data pada Microsoft Project Profesional 2010 Proses Input Data Pada Microsoft Office Project Profesional 2010 (MSP) Proses input data dapat di lihat pada yang terdiri dari: a)Proses Definisi: 1.Informasi yang perlu diinputkan yaitu: Nama proyek,tanggal mulai proyek (Project Start Date) atau tanggal selesai proyek (Project Finish Date), penentuan tanggal hari ini berdasarkan setting pada komputer (Current Date),penentuan tanggal status (Status Date),dan penentuan sistem kelender yang akan dipakai. 2.Pendefinisian Kalender (waktu kerja) yaitu: x Menentukan hari kerja dalam seminggu x Menentukan hari-hari libur x Menentukan jam kerja untuk setiap hari dengan mengatur default atau nondefault working time. 3.Pendefinisian sumber daya (Resources) berupa input tenaga kerja. Proses input dilakukan pada resource sheet seperti pada Gambar 1 yaitu: x Pendefinisian semua nama sumberdaya dengan menginputnya pada kolom Resource Name x Pendefinisian tipe sumber daya (material atau work) pada kolom Type x Pendefinisian jumlah maximum yang tersedia (khusus untuk tipe work), 100% sama dengan 1, dan diinputkan pada kolom Max. Units Analisis Data Data-data yang akan dibutuhkan hanya mencakup data dari tugas proyek pekerjaan pembangunan. Data-data tersebut berupa: Master scheduling dalam bentuk Barchart. Sehingga perlu dilakukan penginterpretasian lebih lanjut agar data-data tersebut dapat diinput ke dalam software Microsoft project menjadi: a.Penjabaran kerja (WBS) j j j b.Penentuan hubungan antar kegiatan (logic sequence) beserta lead and lag time, c.Penentuan durasi, dan d.Penentuan kuantitas sumberdaya (labor) untuk tiap-tiap aktivitas pekerjaan This is an Creative Commons License This work is licensed under a Creative Commons Attribution-NonCommercial 4.0 International License. This is an Creative Commons License This work is licensed under a Creative Commons Attribution-NonCommercial 4.0 International License. HASIL DAN PEMBAHASAN Setelah data penelitian diolah kemudian diperoleh data yang siap dianalisis menggunakan microsoft project 2010 seperti gambar 1. Pada gambar 1 diagram batang yang berwarna merah menandakan waktu kritis. Gambar 1 Gantt Chart View Operator Sewing Gambar 1 Gantt Chart View Operator Sewing This is an Creative Commons License This work is licensed under a Creative Commons Attribution-NonCommercial 4.0 International License. 2731 Jurnal Minfo Polgan Volume 12, Nomor 2, Desember 2023 DOI : https://doi.org/10.33395/jmp.v12i2.13359 e-ISSN : 2797-3298 p-ISSN : 2089-9424 Gambar 2 Resource Graph Operator Sewing sebelum levelling Jurnal Minfo Polgan Volume 12, Nomor 2, Desember 202 DOI : https://doi.org/10.33395/jmp.v Jurnal Minfo Polgan Volume 12, Nomor 2, Desember 2023 DOI : https://doi.org/10.33395/jmp.v12i2.13359 e-ISSN : 2797-3298 p-ISSN : 2089-9424 Resource Graph Operator Sewing sebelum levelling Resource Graph Operator Sewing sebelum levelling Didapat Gambar 2 pada kondisi normal sebelum levelling pada operator sewing. Pada kondisi tersebut menunjukan terjadi overallocated (kelebihan alokasi) pada tanggal 7 Agustus 2023 sampai hari rabu tanggal 13 Agustus 2023 sebanyak 15 unit dihari senin, selasa, 14 unit dihari rabu, 14 unit dihari kamis,jumat, sabtu sedangkan maksimal unit dioperator sewing hanya 10 unit. Gambar 3 dibawah memperlihatkan bahwa setelah dilakukan levelling terjadi perubahan dimana semua hari menggunakan perkerja operator sewing maksimal 10 unit tidak ada yang melebihi dan minimal 1 unit tetapi dengan menambah waktu kerja sebanyak 2 hari. Gambar 3 Resource Graph Operator Sewing setelah levelling Gambar 3 Resource Graph Operator Sewing setelah levelling 2732 Jurnal Minfo Polgan Volume 12, Nomor 2, Desember 2023 DOI : https://doi.org/10.33395/jmp.v12i2.13359 e-ISSN : 2797-3298 p-ISSN : 2089-9424 Gambar 4 Gantt Chart Helper Jurnal Minfo Polgan Volume 12, Nomor 2, Desember 2023 DOI : https://doi.org/10.33395/jmp.v12i2.13359 e-ISSN : 2797-3298 p-ISSN : 2089-9424 Gambar 4 Gantt Chart Helper Gambar 5 Resource Graph Helper sebelum levelling Jurnal Minfo Polgan Volume 12, Nomor 2, Desember 2023 DOI : https://doi.org/10.33395/jmp.v12i2.13359 e-ISSN : 2797-3298 p-ISSN : 2089-9424 Gambar 4 Gantt Chart Helper Jurnal Minfo Polgan Volume 12, Nomor 2, Desember 2023 DOI : https://doi.org/10.33395/jmp.v12i2.13359 e-ISSN : 2797-3298 p-ISSN : 2089-9424 Gambar 4 Gantt Chart Helper Gambar 5 Resource Graph Helper sebelum levelling Gambar 4 Gantt Chart Helper Gambar 5 Resource Graph Helper sebelum levelling Resource Graph Helper sebelum levelling Gambar 5 adalah kondisi sebelum levelling pada resource Helper dimana terjadi overallocated (kelebihan alokasi) pada tanggal 1, 2 Agustus, dan tanggal 5 sampai tanggal 9 Agustus. Setelah dilakukan levelling terjadi perubahan seperti gambar 6. KESIMPULAN 1. Dengan levelling diharapkan adanya perataan sumber daya sehingga terjadi optimalisasi sumber daya yang tersedia untuk mencegah alokasi berlebihan atau penggunaan yang kurang. 1. Dengan levelling diharapkan adanya perataan sumber daya sehingga terjadi optimalisasi sumber daya yang tersedia untuk mencegah alokasi berlebihan atau penggunaan yang kurang. 2. Teknik levelling menyelesaikan proyek/pekerjaan tanpa sumber daya tambahan. 3. Perataan sumber daya dapat menghasilkan beban kerja yang seimbang, peningkatan efisiensi, dan meminimalkan biaya proyek 3. Perataan sumber daya dapat menghasilkan beban kerja yang seimbang, peningkatan efisiensi, dan meminimalkan biaya proyek y p y 4. Dengan leveling dapat membantu pengambil keputusan dalam perataan sumber daya. 4. Dengan leveling dapat membantu pengambil keputusan dalam perataan sumber daya. HASIL DAN PEMBAHASAN Gambar 5 adalah kondisi sebelum levelling pada resource Helper dimana terjadi overallocated (kelebihan alokasi) pada tanggal 1, 2 Agustus, dan tanggal 5 sampai tanggal 9 Agustus. Setelah dilakukan levelling terjadi perubahan seperti gambar 6. This is an Creative Commons License This work is licensed under a Creative Commons Attribution-NonCommercial 4.0 International License. 2733 terjadi perubahan seperti gambar 6. Gambar 6 Resource Helper setelah levelling Gambar 6 Resource Helper setelah levelling Gambar 6 Resource Helper setelah levelling This is an Creative Commons License This work is licensed under a Creative Commons Attribution-NonCommercial 4.0 International License. This is an Creative Commons License This work is licensed under a Creative Commons Attribution-NonCommercial 4.0 International License. 2733 Jurnal Minfo Polgan Volume 12, Nomor 2, Desember 2023 DOI : https://doi.org/10.33395/jmp.v12i2.13359 e-ISSN : 2797-3298 p-ISSN : 2089-9424 Gambar 6 terjadi perubahan dimana maksimal unit hanya 10 unit dan menambah waktu pengerjaan sebanyak 3 hari. This is an Creative Commons License This work is licensed under a Creative Commons Attribution NonCommercial 4 0 International License This is an Creative Commons License This work is licensed under a Creative Commons Attribution-NonCommercial 4.0 International License. Attribution-NonCommercial 4.0 International License. This is an Creative Commons License This work is licensed under a Creative Commons Attribution-NonCommercial 4.0 International License. Syah, M.S. 2004. Manajemen Proyek Kiat Sukses Mengelola Proyek. Gramedia. Jakarta Soeharto 1997 Manajemen Proyek dari Konseptual Sampai Operasional. Erlangga, Jakarta. Sugiyono 2007 Metode Penelitian Kuantitatif Kualitatif dan R&D Penerbit Alfabeta Bandung Victor Syah, M.S. 2004. Manajemen Proyek Kiat Sukses Mengelola Proyek. Gramedia. Jakarta Soeharto 1997 Manajemen Proyek dari Konseptual Sampai Operasional. Erlangga, Jakarta. Sugiyono. 2007. Metode Penelitian Kuantitatif Kualitatif dan R&D. Penerbit Alfabeta, Bandung Victor Yani1 , Albert Chandra2 dan Paulus Nugraha3 Penerapan Resource Allocation dan Levelling Tenaga Kerja Dengan Menggunakan Microsoft Project 2010 Pada Suatu Proyek Konstruksi REFERENSI Adianto, Y.L.D. dan Putro, D.L. 2007. Analisis Resources Leveling Tenaga Kerja. Jurnal Teknik Sipil. Fakultas Teknik Universitas Maranatha. p.113-126. Ardentius 2014. Analisa Perataan Sumber Daya Menggunakan Metode Burgess Dengan Alat Bantu Primavera Project Planner Pada Pembangunan Proyek Gedung PT Bank Muamalat Cabang Malang. Skripsi. Malang. g p g Ervianto, W.I. 2005. Manajemen Proyek Konstruksi. Edisi Revisi. Penerbit Andi. Yogyakarta. Gray, C.F d L E W 2007 M j P k P M j i l P bit A di Y k t Ervianto, W.I. 2005. Manajemen Proyek Konstruksi. Edisi Revisi. Penerbit Andi. Yogyakarta. Gray, C.F dan Larson, E. W. 2007. Manajemen Proyek Proses Manajerial. Penerbit Andi. Yogyakarta. Dipohusodo, I. 1996. Manajemen Proyek dan Konstruksi. Kanisius. Yogyakarta Harris, Paul E. (2010). Calculation Differences when Importing from Microsoft Project 2003-2010. Eastwood Harris Pty Ltd. Melbourne Hermawan, Aris.(2006). Penggunaan Perangkat Lunak dalam Pengelolaan Proyek Konstruksi.Jurnal Teknik Sipil Fakultas Teknik Unika Soegijapranata, volume III, No.1, 1-7. Kastor, A., &K.Sirlakouis.(2008). The Effectiveness of Resource Levelling Tools for Resource Constraints Project Scheduling Problem.International Journal of Project Management, Page1. Raja,K. & S.Kumanan.2007.Resource Leveling Using Petrinet and Memetic Approach. AM. J. Applied Sci., 4: 317-322 Rudi Waluyo dan Subrata Aditama Pengaruh Resource Levelling Terhadap Alokasi Tenaga Kerja Pada Proyek Konstruksi. Husen, A. 2011. Manajemen Proyek Perencanaan Penjadwalan dan Pengendalian Proyek. Penerbit Andi. Yogyakarta. Kurniyawan, D. 2007. Analisa Anggaran Biaya dan Resource Leveling untuk Efisiensi Tenaga kerja pada Proyek Pembangunan Gedung Sekolah Menengah Umum Al-Azhar di Bumi Serpong Damai. Skripsi. Jakarta. Mandey, J.C.N. 2013. Perataan Tenaga Kerja Menggunakan Microsoft Project pada Peningkatan Jalan. Skripsi. Manado. 2734 Jurnal Minfo Polgan Volume 12, Nomor 2, Desember 2023 DOI : https://doi.org/10.33395/jmp.v12i2.13359 e-ISSN : 2797-3298 p-ISSN : 2089-9424 Syah, M.S. 2004. Manajemen Proyek Kiat Sukses Mengelola Proyek. Gramedia. Jakarta Soeharto 1997 Manajemen Proyek dari Konseptual Sampai Operasional. Erlangga, Jakarta. Sugiyono. 2007. Metode Penelitian Kuantitatif Kualitatif dan R&D. Penerbit Alfabeta, Bandung Victor Syah, M.S. 2004. Manajemen Proyek Kiat Sukses Mengelola Proyek. Gramedia. Jakarta Soeharto 1997 Manajemen Proyek dari Konseptual Sampai Operasional. Erlangga, Jakarta. Sugiyono. 2007. Metode Penelitian Kuantitatif Kualitatif dan R&D. Penerbit Alfabeta, Bandung Victor Yani1 , Albert Chandra2 dan Paulus Nugraha3 Penerapan Resource Allocation dan Levelling Tenaga Kerja Dengan Menggunakan Microsoft Project 2010 Pada Suatu Proyek Konstruksi Sugiyono. 2007. Metode Penelitian Kuantitatif Kualitatif dan R&D. Penerbit Alfabeta, Bandung Victor Yani1 , Albert Chandra2 dan Paulus Nugraha3 Penerapan Resource Allocation dan Levelling Tenaga Kerja Dengan Menggunakan Microsoft Project 2010 Pada Suatu Proyek Konstruksi 2735
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A qualitative study about enriching programming and algorithm teaching with flipped classroom approach
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Article Type: Research Paper Original Title of Article: A qualitative study about enriching programming and algorithm teaching with flipped classroom approach Turkish Title of Article: Programlama ve algoritma öğretiminin ters yüz sınıf yaklaşımı ile zenginleştirilmesine yönelik nitel bir çalışma Author(s): Özcan ÖZYURT, Hacer ÖZYURT For Cite in: Özyurt, Ö., & Özyurt, H. (2017). A qualitative study about enriching programming and algorithm teaching with flipped classroom approach. Pegem Eğitim ve Öğretim Dergisi, 7(2), 189-210, http://dx.doi.org/10.14527/pegegog.2017.007 Makale Türü: Özgün Makale Orijinal Makale Başlığı: A qualitative study about enriching programming and algorithm teaching with flipped classroom approach Makalenin Türkçe Başlığı: Programlama ve algoritma öğretiminin ters yüz sınıf yaklaşımı ile zenginleştirilmesine yönelik nitel bir çalışma Yazar(lar): Özcan ÖZYURT, Hacer ÖZYURT Kaynak Gösterimi İçin: Özyurt, Ö., & Özyurt, H. (2017). A qualitative study about enriching programming and algorithm teaching with flipped classroom approach. Pegem Eğitim ve Öğretim Dergisi, 7(2), 189-210, http://dx.doi.org/10.14527/pegegog.2017.007 Article Type: Research Paper g A qualitative study about enriching programming and algorithm teaching with flipped classroom approach Turkish Title of Article: Turkish Title of Article: Programlama ve algoritma öğretiminin ters yüz sınıf yaklaşımı ile zenginleştirilmesine yönelik nitel bir çalışma *Author/Yazar: oozyurt@ktu.edu.tr A Qualitative Study about Enriching Programming and Algorithm Teaching with Flipped Classroom Approach Article Info DOI: 10.14527/pegegog.2017.007 Article History: Received Revised Accepted Online 09 June 2016 07 February 2017 10 February 2017 08 April 2017 Keywords: Educational technology, Engineering education, Flipped classroom approach. Article Type: Research paper Abstract This study aims to detect the students’ views about enriching programming and algorithm teaching with flipped classroom approach. The study was conducted with freshman students in Karadeniz Technical University, Faculty of Technology; Software Engineering Department in fall semester of 2015-2016 academic year. Qualitative research method was used in this study. Semi-structured interview form, which was developed by the researchers, was used as data collecting tool. The study was carried out with the participation of 94 students in the scope of Introduction to Programing and Algorithm course during 14 weeks and this course was designed and carried out in accordance with flipped classroom approach. At the end of the semester, interviews were held with 32 voluntary students among the students taking the course. The data analyzed through content analysis. According to the results of the study, majority of the students expressed positive views about the flipped classroom approach. With regard to the findings of the study, it can be said that flipped classroom approach can be used effectively in programming and coding based courses. Programlama ve Algoritma Öğretiminin Ters Yüz Sınıf Yaklaşımı ile Zenginleştirilmesine Yönelik Nitel Bir Çalışma Author(s): Özcan ÖZYURT, Hacer ÖZYURT For Cite in: Özyurt, Ö., & Özyurt, H. (2017). A qualitative study about enriching programming and algorithm teaching with flipped classroom approach. Pegem Eğitim ve Öğretim Dergisi, 7(2), 189-210, http://dx.doi.org/10.14527/pegegog.2017.007 Makale Türü: Özgün Makale Orijinal Makale Başlığı: A qualitative study about enriching programming and algorithm teaching with flipped classroom approach Makalenin Türkçe Başlığı: Programlama ve algoritma öğretiminin ters yüz sınıf yaklaşımı ile zenginleştirilmesine yönelik nitel bir çalışma Yazar(lar): Özcan ÖZYURT, Hacer ÖZYURT Kaynak Gösterimi İçin: Özyurt, Ö., & Özyurt, H. (2017). A qualitative study about enriching programming and algorithm teaching with flipped classroom approach. Pegem Eğitim ve Öğretim Dergisi, 7(2), 189-210, http://dx.doi.org/10.14527/pegegog.2017.007 For Cite in: Özyurt, Ö., & Özyurt, H. (2017). A qualitative study about enriching programming and algorithm teaching with flipped classroom approach. Pegem Eğitim ve Öğretim Dergisi, 7(2), 189-210, http://dx.doi.org/10.14527/pegegog.2017.007 Introduction Studies on education focus on rather student centered education environment than teacher centered education environments in accordance with the current modern education understanding. In this regard, use of information communication technologies in education in different ways becomes prominent. Educational use of such tools as blog, wiki, online learning environments and social networks has become widespread thanks to the developing technology (Mazman & Usluel, 2011). These technologies have changed not only in form and content of the communication but also habits and understanding regarding the learning. Thanks to different technologies, creation of learning environments in which students take the central position and take responsibility for their learning has become possible (Andrews, Leonard, Colgrove, & Kalinowski, 2011; Bergmann & Sams, 2012; Davies, Dean, & Ball, 2013). One of the approaches to studies on student centered teaching is Flipped Classroom Approach (FCA). FCA can be typically described as doing the work in class which should be done at home, and doing the work at home which should be done in class and studying the course material before the course time (Bergmann & Sams, 2012; Moravec, Williams, Aguilar-Roca, & O’Dowd, 2010; Sever, 2014; Turan & Göktaş, 2015). FCA takes the constructivist approach as a basis in education, and videos and materials about the course are studied by the students before the course time. Tasks, projects and practices are carried out in class environment following this process. Here, the aim is to make students to come the class as prepared to learn life (Bristol, 2014; Demiralay & Karataş, 2014; Doğan, 2015). Fundamental philosophy of this approach is that such activities as understanding, comprehending and thinking about the subject are realized by the students before the course time. FCA can be thought as turning information transmission in crowded class environments into individual learning and pave the way for individual learning (Filiz & Kurt, 2015). One of the most important aspects of the FCA is that giving information to students about the course in limited course hours and carrying out some of the processes such as understanding these information and making practice which take long time outside of the class (Doğan, 2015; Kong, 2014). Thanks to this, the environment, source and time required for internalizing the subject and knowledge the students have to learn are provided to them (Davies et al., 2013). Programlama ve Algoritma Öğretiminin Ters Yüz Sınıf Yaklaşımı ile Zenginleştirilmesine Yönelik Nitel Bir Çalışma Makale Bilgisi DOI: 10.14527/pegegog.2017.007 Makale Geçmişi: Geliş Düzeltme Kabul Çevrimiçi 09 Haziran 2016 07 Şubat 2017 10 Şubat 2017 08 Nisan 2017 Anahtar Kelimeler: Eğitim teknolojisi, Mühendislik eğitimi, Ters yüz sınıf yaklaşımı. Makale Türü: Özgün makale Bu çalışmanın amacı programlama ve algoritma öğretiminin ters yüz sınıf yaklaşımı ile zenginleştirilmesine ilişkin öğrenci görüşlerinin belirlenmesidir. Çalışma 2015-2016 eğitim öğretim yılı güz yarıyılında Karadeniz Teknik Üniversitesi, Teknoloji Fakültesi, Yazılım Mühendisliği birinci sınıf öğrencileri ile yapılmıştır. Araştırmada nitel araştırma yöntemi kullanılmıştır. Veri toplama aracı olarak araştırmacılar tarafından geliştirilen yarı yapılandırılmış mülakat formu kullanılmıştır. Çalışma Programlamaya Giriş ve Algoritma dersi kapsamında 14 hafta boyunca 94 öğrencinin katılımıyla sürmüş ve ders ters yüz sınıf yaklaşımına göre tasarlanmış ve yürütülmüştür. Dönemin sonunda çalışmaya katılan öğrencilerden gönüllü olan 32 öğrenci ile mülakat yapılmıştır. Çalışmadan elde edilen veriler içerik analizine tabi tutulmuştur. Çalışmanın sonuçlarına göre öğrencilerin büyük çoğunluğu ters yüz sınıf yaklaşımına ilişkin olumlu görüş belirtmişlerdir. Çalışmanın bulgularına göre, ters yüz sınıf yaklaşımının programlama ve kodlama ağırlıklı derslerde etkin bir şekilde kullanılabileceği söylenebilir. Özcan ÖZYURT, Hacer ÖZYURT – Pegem Eğitim ve Öğretim Dergisi, 7(2), 2017, 189-210 Introduction It can be said that the studies expand from primary school level to high school level (Filiz & Kurt, 2015; Turan & Göktaş, 2015). It is seen that the studies at higher education level are conducted in various fields, such as language teaching, accounting training, nursing education and also with various study groups such as candidate teachers in different branches of education faculty. Additionally, rarity of the studies conducted with candidate engineers draw attention. While the studies in this field became widespread in the middle of 2000s abroad, such studies gained speed in recent years in our country (Abeysekera & Dawson, 2015; Chen, Wang, Kinskuh, & Chen, 2014; Filiz & Kurt, 2015; Turan & Göktaş, 2015). It can be said that the studies expand from primary school level to high school level (Filiz & Kurt, 2015; Turan & Göktaş, 2015). It is seen that the studies at higher education level are conducted in various fields, such as language teaching, accounting training, nursing education and also with various study groups such as candidate teachers in different branches of education faculty. Additionally, rarity of the studies conducted with candidate engineers draw attention. However, it is difficult to come across studies in this field conducted with the students in engineering departments. Mason et al. (2013) emphasized that the goal of the engineering education is to raise individuals who can solve problems, have strong technical knowledge, are responsible for their own learning and the FCA can contribute to engineering education. The fact that engineering departments concentrate more on application, and the abundance of project based applications show that such applications can be carried out with these learner groups. Furthermore, the scarcity of the studies conducted in this field make this study important and necessary. In this regard, it is necessary to determine the potentiality of the use of FCA in engineering education and assess the views of the students about this approach in order to utilize it. In this sense, this study deals with the views of the freshman software engineering students regarding the use of this approach in introduction to programming and algorithm course. Main research question of the study is that “what are the views of the students about the use of FCA in programming and algorithm learning?” Research Design The study has been conducted as a specific case study. Specific case study aims to make a deep analysis on a subject (Büyüköztürk, Çakmak, Akgün, Karadeniz, & Demirel, 2009). Qualitative research method has been used in this study in order to analyze the views of the students with a deeper view. Participants The study group of the research consists of 94 freshman students (19 female, 75 male) from Karadeniz Technical University, Of Faculty of Technology, Software Engineering Department. The study was conducted in fall semester of 2015-2016 academic year. At the end of the study, interviews were conducted with 32 students (8 female, 24 male) who volunteered to participate. Introduction Enrichment and diversification of learning environments through the technology has an important role in the creation and spread of FCA. Especially the development of internet technologies makes it easy to include the information communication tools such as blog, wiki, social networks into the teaching and education process (Doğan, 2015; Friedman & Friedman, 2013; Jacot, Noren, & Berge, 2014). In this regard, Facebook, one of the social network websites, has been used effectively in many studies with this purpose for realizing FCA. (Doğan, 2015; Turan & Göktaş, 2015). Examples for implementation of FCA can be found in the literature. This approach has been applied in various disciplines from educational studies to nursing and medical science (Arnold-Garza, 2014; Doğan, 2015; Hawks, 2014). There are studies which examine the views of students about this method in terms of the courses in which this approach is used. Majority of the views found out in such studies are positive, while there are also negative views though in a limited number about the FCA. Positive views about FCA can be listed as students’ taking active role and responsibility during the learning process (Arnold-Garza, 2014; Başal, 2012; Gannod, Burge, & Helmick, 2008; Hwang, Lai, & Wang, 2015; Mason, Shuman, & Cook, 2013; Musib, 2014), making it easy to learn and providing a better learning (Doğan, 2015; Findlay-Thompson & Mombourquette, 2014; Mok, 2014; Zappe, Leicht, Messner, Litzinger, & Lee, 2009; Turan & Göktaş, 2015), and more communication (Doğan, 2015), developing positive attitude toward the course, increasing motivation (Abeysekera & Dawson, 2015; Butt, 2014; Gaughan, 2014; Davis et al. 2013; Kong, 2014; Sever, 2014), and decreasing the level of anxiety (Marlowe, 2012). It is also possible to come across with the studies which emphasize the negative aspects of the FCA despite the positive views about this approach. That the students come to the course unprepared (Bristol, 2014), and lack of communication (Doğan, 2015) can be mentioned as the negative aspects of this approach. 190 Özcan ÖZYURT, Hacer ÖZYURT – Pegem Eğitim ve Öğretim Dergisi, 7(2), 2017, 189-210 While the studies in this field became widespread in the middle of 2000s abroad, such studies gained speed in recent years in our country (Abeysekera & Dawson, 2015; Chen, Wang, Kinskuh, & Chen, 2014; Filiz & Kurt, 2015; Turan & Göktaş, 2015). Procedure The main objective of the Introduction to Programming and Algorithm Course is to help students to gain fundamental programming skill and teach them algorithm design. It is aimed in this course to teach C# programming language in Visual Studio environment of Microsoft. The content of the course consists of fundamental algorithm concepts, flow diagrams and programing constituents (variables, control phrases, loops, series, matrixes, functions, sequence algorithms, search algorithms and exemplary practices about them). Before starting the activity, a Facebook group where all the materials about the course would be shared was set up and all the students taking the course became a member of it. In addition, fundamental information about the method to be utilized during the course was given to the students at the first week of the course. The students taking the course were informed that the course would be taught according to the FCA and Facebook would be used for the share of course sources and materials and discussions about FCA, how to apply it in the course, and the roles of the students and instructor were introduced to the students. Furthermore, students were also informed that their opinions would be taken in terms of assessing the course taught in accordance with FCA in order to generate a kind of awareness among the students. Afterwards, necessary sources such as video, material, web site about the subjects to be taught during the next course were weekly shared through the Facebook group after course time in each week. The instructor was not the only person who shared the sources; the students were also advised to share materials about the subject of the related course. Materials shared by the students were examined and approved by the instructor, and then they were included in the group. Besides, exercises, practices and small projects were also sent through the Facebook group and thanks to this, students came to the course in an informed manner about the subject and tasks. Furthermore, the students had the opportunity to study on the practice, project and the task to be dealt with during the course time and these activities were realized during the course time. Computer laboratory at school was used for the course which lasts 4 hours in a week. The students reviewed the information about the course in laboratory and tried to carry out the practice/project to be performed in that course. Instrument Semi-structured interview form created by the researchers was used as data collecting tool in this study. While creating the interview form, it was deliberately planned that the questions were not elaborated in order not to lead the students through a specific direction. In other words, by asking such general questions, a basis was provided for students to express their opinions about the implementation from a broader framework without being dependent on questions. The interview form was examined by two experts working in the same university, one of whom studies on assessment and evaluation and the other studies Turkish Language. After the examination of the interview form by two experts, some modifications were made on the questions and the interview form was put into its final form. At the end of the semester, interviews were conducted with students individually. The interview form was distributed to the students and students were asked to express their opinions in a written form. The interview questions are as follows: 191 191 Özcan ÖZYURT, Hacer ÖZYURT – Pegem Eğitim ve Öğretim Dergisi, 7(2), 2017, 189-210 • What do you think about carrying out the Introduction to Programming and Algorithm course through the Facebook with this method? • What do you think about carrying out the Introduction to Programming and Algorithm course through the Facebook with this method? • What do you think about carrying out the Introduction to Programming and Algorithm course through the Facebook with this method? a) What are the positive aspects of it according to you? b) What are the negative aspects of it according to you? • Do you want such applications for other courses? • Do you have any other opinion/suggestion(s) about this matter? Procedure This process continued during one semester. At the end of the semester, interviews were conducted with the voluntary students who took the course. The screen shot of the posts of two students and the post of the instructor of the course are given in Figure 1 and 2. Names and profile pictures of the instructor and the students were given unrevealingly. Source sharing of the instructor about the functions is presented in Figure 1. This post consists of web sites and videos in which there are function descriptions, and types in C# programming language and concepts, and model applications regarding the describing and calling function, returning value from a function. The students examined the concepts about the subject and studied on them in accordance with FCA in addition to these sources. During the course time, concepts were rapidly discussed and coding practices were realized on computer as the second stage of FCA. These activities were carried out as programming activities to put into practice the concepts that students study on. For example, one of the products resulting at the end of this study is the creation and coding of the function by taking two whole numbers as the exponent and power and calculating the result and return it to the main program. 192 Özcan ÖZYURT, Hacer ÖZYURT – Pegem Eğitim ve Öğretim Dergisi, 7(2), 2017, 189-210 Özcan ÖZYURT, Hacer ÖZYURT – Pegem Eğitim ve Öğretim Dergisi, 7(2), 2017, 189-210 Figure 1. Screenshot of a post about functions sent by the instructor. Figure 2. Screenshot of posts send by two students. hows the source sharing of two students about C# programming basics and sw as examined by the instructor and broadcasted on Facebook group. The first pos deos about C# programming language and the second post is a about conditiona ce can be thought as a source used for general goals, but the second source the subject of the course. The students obtained information about multip the programming language if-else-if structure) with the second source. Exempla ing this subject was carried out during course time One of the implementatio Figure 1. Screenshot of a post about functions sent by the instructor. Figure 2. Screenshot of posts send by two students. Figure 2. Screenshot of posts send by two students. Figure 2 shows the source sharing of two students about C# programming basics and switch-case. Procedure The sharing was examined by the instructor and broadcasted on Facebook group. The first post includes the general videos about C# programming language and the second post is a about conditional phrases. The first source can be thought as a source used for general goals, but the second source is directly related with the subject of the course. The students obtained information about multiple control structure (for the programming language if-else-if structure) with the second source. Exemplary coding activity regarding this subject was carried out during course time. One of the implementations carried out during this course is the coding activity calculating an input grade between 0-100 turns into which letter grade within the predefined intervals with switch-case structure. 193 Özcan ÖZYURT, Hacer ÖZYURT – Pegem Eğitim ve Öğretim Dergisi, 7(2), 2017, 189-210 The study was carried on for 14 weeks in the scope of Introduction to programming and Algorithm Course. In summary, materials appropriate for the subject of the week were presented systematically to the students before the course time and thanks to this students came to the course with comprehensive knowledge about the subject. Coding practices were carried out directly during the course. Course plan followed during the semester, subjects dealt with weekly and activities prepared regarding these subjects including coding practices are shown on Table 1. Table 1. Table 1. Lists of Weekly Subjects and Activities. Weeks Subject List of Activities 1 Giving general information about course, discussion about FCA 2 Problem solving and algorithm Finding out whether a given number is prime number or not Finding prime numbers till a given number is the factorial of another number or not Finding out whether an input number 3 Flow Diagrams Creating the flow diagrams of algorithms in the first week. 4 Programming languages and C# Visual Studio code environment recognition 5 Data types and variables Developing simple applications about the data types 6 Assignment, operator, data type transformation Developing simple application 7 İnput/output Operations conditional phrases. Printing message on the screen Conditional Blocks Finding letter equivalent of an input grade 8 Loops Calculating a power b for the input a and whole numbers (separately with for, while, and do..while) Writing ascii code of the character as long as the input character is different from A Finding the Fibonacci numbers until a whole number which is externally input. Finding the Fibonacci number closest to a number which is externally input. Finding out whether an externally input number is the perfect number or not. 9 Midterm Exam 10 Functions Verification of the operations carried out in 8th week with function. 11 One-dimensional arrays Finding lowest and greatest element of the sequence Finding out how many times each character repeats Inverting the sequence Listing the consecutive elements which make the greatest sum. 12 Two-dimensional arrays (matrix) Written on the screen in the form of matrix Matrix operations (addition, multiplication) Finding the lowest and greatest element on each line of the matrix 13 Recursive Functions Writing recursive function Finding factorial with recursive function Finding Fibonacci numbers with recursive function Exponentiation with recursive function 14 Sorting Algorithm Implementation of sorting algorithms (bubble, selection, insertion and merge) 15 Searching Algorithm Implementation of linear search Implementation of binary search 16 Final Exam Lists of Weekly Subjects and Activities. 194 Özcan ÖZYURT, Hacer ÖZYURT – Pegem Eğitim ve Öğretim Dergisi, 7(2), 2017, 189-210 Results In this chapter, the results are presented with the content analysis of the answers that were given by the students for the interview form. Themes obtained as a result of the analysis are presented on tables with direct allocations. Some allocations are given under more than one theme, because they include more than one theme on their body. Themes resulting from the analysis are presented under two main themes as positive and negative views. Positive Views Table 2 presents the frequency information and subthemes under which positive opinions of students about the environment created on Facebook in accordance with FCA for the programming and algorithm learning were collected. According to Table 2, it is observed that students’ positive opinions about this application are collected under ten subthemes. The frequencies of these sub themes vary between 24 and 1. Positive views are expressed as with 24 repetitions coming to course preparedly and with 1 repetition making the student active. Data Analysis Students were coded as Std1, Std2, … , Std32. Qualitative data obtained as a result of the interviews were subjected to content analysis. Content analysis is a kind of research method through which classification and comparison operations are made on the texts to obtain some results from the qualitative data (Cohen, Manion, & Morrison, 2007). The texts taken from the students in a written form were coded categorically. Themes were obtained from these coding. Some factors were taken into consideration in order to increase the validity and reliability of the research. In order to provide reliability, the students were allowed to fill the form whenever they want and they were not limited in terms of the time while filling the form and they were also allowed to change their opinions in case that they see it necessary. Students ID information were not placed on the form. During the content analysis process, interview forms were read and analyzed by two researchers separately. Both researchers made coding and obtained themes according to the answers given to the interview questions. Then, the results of these two analyses were compared and final themes were decided. It can be said that there is a consensus at high level in terms of the results of analysis of two researchers. Finally, opinions of the students were given without adding them any comments. Qualitative data obtained from the students were analyzed systematically through these operations; opinions taken from the answers of the students were grouped under two themes as positive and negative. These main themes and related sub themes and also frequency information about them are presented. Negative Views Frequency information and themes under which students’ negative views about this environment are given in Table 3. 195 Özcan ÖZYURT, Hacer ÖZYURT – Pegem Eğitim ve Öğretim Dergisi, 7(2), 2017, 189-210 Table 2. Information about Positive Aspects of FCA according to Students. Themes f Students Views Coming to course preparedly 24 Std5: …It was good for my preparation for the course that the sources about the courses were given before the course time… Std7: …We know which subject will be taught before we come to the course and we learn something before the course, we don’t learn only during the course time, which is we actually learn before the course, this is beneficial for us... Std10: …It helps me become familiar with the subjects taught during the course to study the materials before the course… Cooperation/communi cation outside of the class 16 Std2: …We can help each other about the subject, it increases the communication between us, and almost everybody communicate with each other... Std9: …An interaction is created among us… Std14: … This environment increased our communication… Std16: We had the opportunity for the beneficial sharing among us… Making understanding easy 5 Std5: …It became easier for me to understand the course because I have an opinion about the subject before the course... Std9: …Thanks to this, I think I have more comprehensive knowledge about the subject... Std30: …It was good for me to understand the subject and to make information Exchange with my friend with whom I am at the same level in terms of knowledge... Suitability for the coding weight courses 5 Std15: …I think its utilization in coding weight courses will be beneficial… Std32: …Including such practices in professional courses is beneficial for the motivation for research and learning, for this reason it should be used in Professional courses more frequently... Motivating for the research 4 Std10: …It leads a person to research more and wander about the subject, it is very good for this reason... Table 2. Table 2. Information about Positive Aspects of FCA according to Students. Information about Negative Aspects of FCA according to Students. Themes f Views of Students Timid personality 4 Std4: …as I am a timid person, I hesitate for asking question, because individuals who are active in group, make progress in the course. As I fall behind, I do not write anything as I thing that my problems may be underestimated… Self-Learning 4 Std3: …Some of my friends who cannot understand the subject on their own did not want to come to the course… Std15: …I can learn by listening, the lecturing style of the sources is not appropriate for individuals with low level. I cannot learn the subjects well in this way… Obligation for making preparation 2 Std1: …When I did not study on the subjects before the course, I became unfamiliar with the subject during the course time and I did not understand… Std13: …I have difficulty during the course time, when I do not know the subject before and when I come to the course without studying before... Negative Views Making more time for studying 3 Std6: …Knowing the subjects and assignments before the course increases the time we make for study, we make more time for study… Std15: …We have more time to research… Becoming aware of one’s own deficiencies 2 Std6: …We see our deficiencies and mistakes and we solve them by discussing in group… Increasing the interest for the course 2 Std26: …It increased our interest for the course… Std29: …We tried and made effort for learning on our own, this familiarized us to the course, it made me feel more close to the course… Making more time for the practice during the course time 2 Std8: …The sources and examples are shared, we carry out the lecturing part of the course before and more time is left for the practice... Std29: …Time is saved in this way, more time is left for the examples and practices... Making student active 1 Std9: …It helped us to be active… Table 2. Information about Positive Aspects of FCA according to Students. Discussion, Conclusion & Implementation This study presents the students’ views about enrichment of algorithm and programming learning through Facebook group created in accordance with FCA. In other words, reflections from the utilization of FCA in Introduction to Programming and Algorithm Course are explored. According to the results of the study, FCA can be effectively used in programing and algorithm learning. It can be said that positive views are more than the negative views about the effect of this approach on programming learning, according to the findings obtained from the study. While the positive views are categorized under ten subthemes, the negative views are grouped under three different subthemes. This finding supports that FCA can be used as an important tool in programing and algorithm learning. With regards to the positive views found out in the study, it is possible to say that FCA provides enrichment to the students in terms of many different aspects and makes important contributions to their learning. When the themes representing the positive cases are analyzed, it is seen that this situation comes out with different aspects such as coming to course prepared, increasing the cooperation and interaction outside of the class, making understanding easy and encouraging to do research. There are also studies in the literature concluding the same results (Davis et al., 2013; Doğan, 2015; Findlay-Thompson & Mombourquette, 2014; Musib, 2014; Turan & Göktaş, 2015). The study reaches that when the students come to the course by structuring their foreknowledge about the subject regarding coding and algorithm, this influences their learning positively. The results of the study are in parallel with the results of many studies in the literature, and also this study presents important findings about the programing and algorithm course in which FCA is utilized. The students’ views reveal important information about the suitability of the FCA for the coding and programing weight courses. The students stated that they had the opportunity to make more practices during the course time thanks to this approach and this kind of practices can be used in specifically coding weight courses and all the practice oriented courses in general. It is thought that students’ coming to the course prepared for the subjects of the course and makes more practices during the course time become influential on this view. It is very important to make time for practice for the comprehension of the coding and programming weight courses. Table 3. Information about Negative Aspects of FCA according to Students. Information about Negative Aspects of FCA according to Students. Information about Negative Aspects of FCA according to Students. Themes f Views of Students Timid personality 4 Std4: …as I am a timid person, I hesitate for asking question, because individuals who are active in group, make progress in the course. As I fall behind, I do not write anything as I thing that my problems may be underestimated… Self-Learning 4 Std3: …Some of my friends who cannot understand the subject on their own did not want to come to the course… Std15: …I can learn by listening, the lecturing style of the sources is not appropriate for individuals with low level. I cannot learn the subjects well in this way… Obligation for making preparation 2 Std1: …When I did not study on the subjects before the course, I became unfamiliar with the subject during the course time and I did not understand… Std13: …I have difficulty during the course time, when I do not know the subject before and when I come to the course without studying before... 196 Özcan ÖZYURT, Hacer ÖZYURT – Pegem Eğitim ve Öğretim Dergisi, 7(2), 2017, 189-210 As Table 3 displays, students’ negative views about this application are grouped under 3 subthemes which can be regarded as more limited in comparison to the positive views. The frequencies of these subthemes vary between 4 and 2, which is also less than that of positive views. Negative views are expressed as with 4 repetitions timid personality and not achieving self-learning and with 2 repetitions the obligation for preparation. Discussion, Conclusion & Implementation In this regard, problems arise from giving both theoretical and practical information during the course in terms of the planning of the course hours. With the use of FCA, this problem can be overcome and the opportunity can be created for making time for practice during the course time. According to the results obtained from the study, there are negative views about FCA even in limited number even though students’ views are mostly positive about the use of FCA approach in programming and algorithm learning. In terms of the negative views, the first factor that attracts the attention is that students with timid personalities cannot adapt to this environment. It is thought that this situation arises from the characters of the students participated in the study. And this finding is not directly related with FCA as a negative aspect but it is thought as an indicator for the timid personality of the students in terms of using the communication and cooperation opportunities provided them with FCA through Facebook. This result of the study corresponds with the negative view in the study of Doğan (2015). Doğan (2015) shows the hesitation of the students who cannot express themselves effectively, and domination of some students as negative aspects of FCA. Such individuals should be encouraged and motivated to participate in the courses in which FCA is utilized. Another negative aspect is the views of the students who cannot achieve self-learning. Actually this situation is thought to arise from the habits brought by traditional teaching. Students who have this view state that they learn the subject by 197 Özcan ÖZYURT, Hacer ÖZYURT – Pegem Eğitim ve Öğretim Dergisi, 7(2), 2017, 189-210 listening to it in the class environment and cannot learn the subject on their own, and this situation affects their learning negatively. It is also thought that the fact that students do not or cannot take the responsibility of their own learning becomes effective in the rise of such views. In order to eliminate this negative situation, assignments can be given to students in order to make them aware of their responsibility in learning. Additionally, students’ learning habit can be changed by including such practices in traditional teaching process more frequently and applying it in different courses. Discussion, Conclusion & Implementation In this way, students can be provided with opportunities in order to adapt themselves to this approach and internalize that taking one’s own responsibility for learning, which is the key this approach. And the last negative view is that coming to the course unprepared causes difficulties in understanding the subject of the course. In another words, it is found out that not reviewing the materials presented before the course time poses an obstacle for the use of FCA. There is a similarity between this situation and the result in the study of Bristol (2004). When the negative views are assessed as a whole it can be seen that these problems do not arise from the structural features of the FCA but rather from individual characteristics and study habits of the students. By taking this factor into consideration, it can be said that some kind of habits rising from traditional teaching are still influential on the integration of FCA into real class environments. In order to overcome this problem, to motivate the students and to use such environments more commonly can be effective. When the results of the study are dealt with as a whole, it is seen that students mostly have positive opinions about the use of FCA in programming and algorithm learning, but there are also few negative views about it. These negative views show that integration of such applications into the real class environment causes some difficulties. Negative views about these environments should be carefully taken into consideration and removed in order to maintain such practices better. In other words, this process can be made better by taking into consideration the negative views rather than the positive views. In addition, it can be said that the use of FCA in different courses will have contributions specifically for programming and algorithm learning and for engineering education in general. Mason et al. (2013) regard the rising of individuals who can achieve self-learning as the most important goals of engineering education. In this regard, FCA can be used as an effective tool. The fact that this study was carried out with students in limited number in the scope of introduction to programming and algorithm course and it deals with only the views of the students can be regarded as the limitations of this study. Giriş Eğitim araştırmaları günümüz modern eğitim anlayışı doğrultusunda öğretmen merkezli öğrenme ortamlarından çok öğrenci merkezli ortamlarda yürütülmesi üzerine yoğunlaşmaktadır. Bu doğrultuda bilgi iletişim teknolojilerinin eğitimde farklı biçimlerde kullanımı öne çıkmaktadır. Gelişen teknoloji ile birlikte blog, viki, çevrimiçi öğrenme ortamları ve sosyal ağlar gibi araçların da eğitim amaçlı olarak kullanımı yaygınlaşmıştır (Mazman & Usluel, 2011). Söz konusu teknolojiler yalnızca iletişimin biçimini ve içeriğini değiştirmemiş, aynı zamanda öğrenmeye ilişkin alışkanlıkları ve anlayışı da değiştirmiştir. Farklı teknolojilerin işe koşulması ile öğrencilerin merkezde olduğu, kendi öğrenmelerinin sorumluluğunu aldıkları öğrenme ortamları mümkün hale gelmektedir (Andrews, Leonard, Colgrove, & Kalinowski, 2011; Bergmann & Sams, 2012; Davies, Dean, & Ball, 2013). Öğretimin öğrenci merkezli yapılmasına yönelik çalışmalarla ilgili ortaya atılan yaklaşımlardan birisi Flipped Classroom - Ters Yüz Sınıf (TYS) yaklaşımıdır. Bu yaklaşım genel olarak sınıfta yapılan işlerin evde, evde yapılacak işlerin sınıfta yapılması ve dersle ilgili materyallerin dersten önce incelenmesi olarak tanımlanmaktadır (Bergmann & Sams, 2012; Moravec, Williams, Aguilar-Roca, & O’Dowd, 2010; Sever, 2014; Turan & Göktaş, 2015). Eğitimde yapılandırmacı yaklaşımı esas alan TYS’de ders ile ilgili videolar, materyaller öğrenci tarafından dersten önce incelenir, çalışılır. Ödevler, projeler ve uygulamalar ise bu süreçten sonra sınıf ortamında yürütülür. Buradaki temel amaç öğrenenlerin sınıfa öğrenme yaşantılarına hazır bir şekilde gelmesini sağlamaktır (Bristol, 2014; Demiralay & Karataş, 2014; Doğan, 2015). Bu yaklaşımın altında yatan temel felsefe, öğrenmenin hazırlık aşaması olarak kabul edilebilecek anlama, kavrama, konu üzerinde düşünme gibi aktivitelerin öğrenciler tarafından sınıfa gelmeden ders öncesinde gerçekleştirilmesidir. TYS yaklaşımı bu yönü ile kalabalık sınıf ortamlarında gerçekleştirilen bilgi aktarımının bireysel öğrenme şekline dönüştürülmesi ve bireysel öğrenmenin önünü açması olarak düşünülebilir (Filiz & Kurt, 2015). TYS yaklaşımının en önemli taraflarından birisi de sınırlı ders saatleri içerisinde öğrencilere dersle ilgi bilgi verme, bunların anlaşılması ve uygulama yapma gibi çok zaman alan süreçlerin bir kısmının ders dışına taşınmasıdır (Doğan, 2015; Kong, 2014). Bu sayede öğrenenlerin öğrenmeleri gereken konu ve bilgileri içselleştirmeleri için gerekli ortam, kaynak ve zaman öğrenciye sunulmuş olmaktadır (Davies et al., 2013). TYS yaklaşımının ortaya çıkışında ve yaygınlaşmasında öğrenme ortamlarının teknolojiye bağlı olarak zenginleşmesi ve çeşitlenmesi önemli bir rol oynamıştır. Özellikle internet teknolojilerinin gelişmesi, blog, wiki, sosyal ağlar gibi bilgi iletişim araçlarının eğitim öğretim süreçlerine dâhil edilmesinin önünü açmıştır (Doğan, 2015; Friedman & Friedman, 2013; Jacot, Noren, & Berge, 2014). Bu bağlamda TYS yaklaşımının hayata geçirilmesinde sosyal ağ sitelerinden biri olan Facebook ortamı bu amaçla birçok çalışmada etkin bir şekilde kullanılmıştır (Doğan, 2015; Turan & Göktaş, 2015). Discussion, Conclusion & Implementation As the FCA includes important differences from the traditional teaching, various studies can be conducted with different study groups and by applying different research designs specifically in programing teaching and in engineering education in general. The effects of FCA on students’ academic success and study habits can be analyzed in these studies. It will be possible to apply the FCA in higher education and diversify the student centered studies by conducting such studies. 198 Özcan ÖZYURT, Hacer ÖZYURT – Pegem Eğitim ve Öğretim Dergisi, 7(2), 2017, 189-210 Giriş Literatürde yükseköğretimde TYS yaklaşımına ilişkin uygulamaların yapıldığından söz edilebilir. Bu yaklaşım eğitim bilimlerinden hemşirelik ve tıp bilimlerine kadar farklı birçok disiplinde uygulanmıştır (Arnold-Garza, 2014; Doğan, 2015; Hawks, 2014). Bu çalışmalar kapsamında TYS’nin uygulandığı derslerde bu yönteme ilişkin öğrenci görüşlerinin değerlendirildiği çalışmalardan söz edilebilir. Bu çalışmalarda TYS yaklaşımına ilişkin büyük oranda olumlu görüş ortaya konulmuşken sınırlı sayıda da olumsuz görüşle karşılaşılmaktadır. TYS’ye ilişkin olumlu görüşlerin arasında; öğrencinin öğrenme sürecinde aktif rol ve sorumluluk almaları (Arnold-Garza, 2014; Başal, 2012; Hwang, Lai, & Wang, 2015; Mason, Shuman, & Cook, 2013; Musib, 2014), öğrenmeyi kolaylaştırması ve daha iyi öğrenmenin gerçekleşmesi (Doğan, 2015; Findlay- Thompson & Mombourquette, 2014; Mok, 2014; Turan & Göktaş, 2015), daha fazla iletişim (Doğan, 2015), derse karşı olumlu tutum geliştirme, motivasyonu ve güdülenmeyi artırma (Abeysekera & 199 Özcan ÖZYURT, Hacer ÖZYURT – Pegem Eğitim ve Öğretim Dergisi, 7(2), 2017, 189-210 Dawson, 2015; Butt, 2014; Gaughan, 2014; Davis et al., 2013; Kong, 2014; Sever, 2014), kaygıyı azaltma (Marlowe, 2012) gibi durumlar sayılabilir. TYS yaklaşımına ilişkin olumsuz görüşler arasında öğrencilerin derse hazırlıksız gelmeleri (Bristol, 2014) ve iletişim eksikliği (Doğan, 2015) sayılabilir. Dawson, 2015; Butt, 2014; Gaughan, 2014; Davis et al., 2013; Kong, 2014; Sever, 2014), kaygıyı azaltma (Marlowe, 2012) gibi durumlar sayılabilir. TYS yaklaşımına ilişkin olumsuz görüşler arasında öğrencilerin derse hazırlıksız gelmeleri (Bristol, 2014) ve iletişim eksikliği (Doğan, 2015) sayılabilir. Literatüre bakıldığında yurt dışında bu yaklaşımı ele alan çalışmaların 2000’li yılların ortalarından itibaren yaygınlaştığı görülmekte iken ülkemizde son yıllarda yoğunlaştığı görülmektedir (Abeysekera & Dawson, 2015; Chen, Wang, Kinskuh, & Chen, 2014; Filiz & Kurt, 2015; Turan & Göktaş, 2015). Bu çalışmaların ilköğretim seviyesinden yükseköğretime kadar hemen her seviyede olduğu söylenebilir (Filiz & Kurt, 2015; Turan & Göktaş, 2015). Yükseköğretim seviyesindeki çalışmaların ise eğitim fakültelerinin farklı branşlarındaki öğretmen adayları, dil öğretimi, muhasebe ve hemşire eğitimi gibi çok farklı alanlarda yapıldığı görülmektedir. Bununla birlikte mühendis adayları ile yapılan çalışmaların azlığı dikkat çekmekte olup bu çalışmaların da yurtdışında yapıldığı görülmektedir. Ülkemizde ise mühendislik öğrencileri ile bu alanda yürütülmüş bir çalışmaya rastlanmamıştır. Mason vd. (2013) tarafından yapılan çalışmada mühendislik eğitiminin hedefinin problem çözebilen, güçlü teknik bilgiye sahip ve kendi öğrenmelerinden sorumlu bireyler yetiştirmek olduğunu, TYS yaklaşımının modern mühendislik eğitimine yardımcı olabileceğine vurgu yapmışlardır. Mühendislik bölümlerinin uygulamaya ağırlık vermesi, proje tabanlı uygulamaların çokluğu bu öğrenen grupları ile bu tür uygulamaların yapılabilirliğini göstermektedir. Ayrıca bu alanda yapılan çalışmaların azlığı bu çalışmayı gerekli ve önemli kılmaktadır. Yöntem Çalışmanın bu bölümünde araştırma modeli, çalışma grubu, veri toplama araçları, deneysel uygulama ve verilerin analizi kısımlarına yer verilmiştir. Katılımcılar Araştırmanın çalışma grubunu Karadeniz Teknik Üniversitesi, Of Teknoloji Fakültesi, Yazılım Mühendisliği birinci sınıf öğrencilerinden toplam 94 öğrenci (19 kız; 75 erkek) oluşturmaktadır. Çalışma 2015-2016 eğitim öğretim yılının güz döneminde yürütülmüştür. Çalışmanın sonunda çalışma grubu içerisinden amaçlı örnekleme seçimine göre gönüllü olarak mülakata katılan 32 öğrenci (8 kız, 24 erkek) ile mülakat yapılmıştır. Giriş Bu bağlamda, TYS’nin mühendislik eğitiminde kullanımına ilişkin potansiyelin belirlenmesi ve bundan faydalanılması için öğrencilerin bu yaklaşıma ilişkin görüşlerinin değerlendirilmesi önem arz etmektedir. Bu doğrultuda çalışmada yazılım mühendisliği birinci sınıf öğrencilerinin programlamaya giriş ve algoritma dersinde bu yaklaşımın kullanılmasına ilişkin görüşleri belirlenmeye çalışılmıştır. Bu doğrultuda çalışmanın ana araştırma sorusu “Öğrencilerin programlama ve algoritma öğreniminde ters yüz sınıf yaklaşımı kullanımına ilişkin görüşleri nelerdir?” şeklinde belirlenmiştir. Araştırma Modeli Çalışma bir özel durum çalışması olarak yürütülmüştür. Özel durum çalışmasının amacı bir konu hakkında derinlemesine inceleme yapmaktır (Büyüköztürk, Çakmak, Akgün, Karadeniz, & Demirel, 2009). Araştırmada öğrenci görüşlerinin derinlemesine incelenmesi amaçlandığı için nitel araştırma yöntemi kullanılmıştır. Veri Toplama Aracı Çalışmada veri toplama aracı olarak araştırmacılar tarafından geliştirilmiş yarı yapılandırılmış mülakat formu kullanılmıştır. Mülakat formu oluşturulurken öğrencileri yönlendirmemesi için soruların fazla detaylandırılmaması özellikle düşünülmüştür. Diğer bir ifade ile öğrencilere bu şekilde genel sorular 200 Özcan ÖZYURT, Hacer ÖZYURT – Pegem Eğitim ve Öğretim Dergisi, 7(2), 2017, 189-210 sorarak onların görüşlerini belirtirken sadece sorulara bağlı kalmadan, uygulamaya ilişkin tüm görüşlerini daha geniş bir çerçevede ifade edebilmelerine zemin hazırlanmıştır. Oluşturulan mülakat formu aynı üniversitede görev yapan bir ölçme değerlendirme ve bir Türkçe alanında çalışan olmak üzere iki uzmanı tarafından incelenmiş, bu sayede soruların açık ve anlaşılır olması sağlanmıştır. Bu inceleme sonucunda sorular düzeltilmiş ve mülakat formuna son hali verilmiştir. Öğrencilerle dönem sonunda bireysel olarak görüşme yapılmıştır. Mülakat formu öğrencilere dağıtılmış öğrencilerin görüşlerini yazılı olarak iletmeleri istenmiştir. Mülakat soruları aşağıdaki gibidir: • Programlamaya Giriş ve Algoritma dersinin Facebook aracılığıyla, bu şekilde yürütülmesi hakkında ne düşünüyorsunuz? • Programlamaya Giriş ve Algoritma dersinin Facebook aracılığıyla, bu şekilde yürütülmesi hakkında n düşünüyorsunuz? a) Sizce olumlu yönleri neler oldu? b) Sizce olumsuz yönleri neler oldu? • Bu tür uygulamaları diğer derslerde de ister misiniz? • Bu konuda söylemek istediğiniz farklı bir görüş/öneriniz var mı? Uygulama Süreci Programlamaya Giriş ve Algoritma dersinin amacı, öğrencilere temel programlama becerisi kazandırmak ve algoritma tasarımını öğretmektir. Derste programlama dili olarak Microsoft’un Visual Studio ortamında C# dilinin öğretilmesi amaçlanmıştır. Dersin içeriğini temel algoritma kavramları, akış diyagramları ve programlama bileşenleri (değişkenler, kontrol deyimleri, döngüler, diziler, matrisler, fonksiyonlar, sıralama algoritmaları, arama algoritmaları ve bunlarla ilgili örnek uygulamalar) yer almaktadır. Uygulama öncesinde dersi alan tüm öğrencilerin üye olacakları ve dersle ilgili tüm materyallerin paylaşılacağı Facebook grubu kurulmuştur. Buna ek olarak ilk hafta öğrencilere derste uygulanacak yönteme ilişkin temel bilgiler verilmiştir. Bu dersi alan öğrencilerle TYS yaklaşımı, bu yaklaşımın uygulanış biçimi, öğrenci ve ders sorumlusunun rolleri hakkında tartışmalar yürütülmüş ve öğrencilere, dersin dönem boyunca bu yönteme göre yürütüleceği, ders kaynakları ve materyallerin paylaşımı için Facebook’un kullanılacağı bilgisi verilmiştir. Bunlara ek olarak, öğrencilerde farkındalık oluşturma adına, dersin TYS yaklaşımına uygun olarak yürütülmesinin değerlendirilmesine yönelik dönem sonunda görüşlerinin alınacağı da ifade edilmiştir. Ardından haftalık olarak, her hafta ders saatinden sonra gelecek haftadaki derste işlenecek konulara ilişkin video, materyal, web sitesi gibi gerekli kaynaklar Facebook grubu aracılığıyla öğrencilerle paylaşılmıştır. Kaynak paylaşımı sadece dersin sorumlusu tarafından yapılmamış, gruba üye olan öğrencilerin de ilgili dersin konularla ilgili paylaşım yapmaları tavsiye edilmiştir. Grup üyesi öğrenciler tarafından paylaşılan kaynaklar dersin sorumlusu tarafından incelendikten ve onaylandıktan sonra grupta yer almaları sağlanmıştır. Bunların yanında, her hafta derste yapılacak alıştırma, uygulama ve küçük projeler de grup üzerinden verilmiş ve öğrencinin derse o konu ve ödevlerden haberdar olarak gelmesi sağlanmıştır. Derste geliştirilecek uygulama, proje ya da ödev üzerinde öğrenciler dersten önce çalışma fırsatı bulmuş, derste ise bu uygulamalar gerçekleştirilmiştir. Haftalık 4 saat olan bu dersin okulda işlenişi için bilgisayar laboratuvarı kullanılmıştır. Laboratuvarda öğrenciler derse ilişkin bilgileri kısaca gözden geçirmiş ve o derste yapacakları uygulama/proje gibi etkinlikleri yerine getirmeye çalışmıştır. Bu süreç bir dönem boyu olan ders sürecince sürdürülmüştür. Dönem sonunda dersi alan öğrencilerden gönüllü olanlar ile mülakat yapılmıştır. Şekil 1 ve şekil 2’de dersin yürütücüsü tarafından ve iki farklı öğrenci tarafından yapılan paylaşımlardan ekran görüntüsü verilmiştir. Dersin sorumlusu ve öğrencinin kullanıcı adı ve profil resimleri gizlenerek verilmiştir. 201 Özcan ÖZYURT, Hacer ÖZYURT – Pegem Eğitim ve Öğretim Dergisi, 7(2), 2017, 189-210 Şekil 1. Dersin sorumlusu tarafından fonksiyonlar konusu için yapılan bir paylaşımın ekran görüntüsü. Şekil 1. Dersin sorumlusu tarafından fonksiyonlar konusu için yapılan bir paylaşımın ekran görüntüsü. Şekil 1’de fonksiyonlar konusuna ilişkin ders sorumlusunun kaynak paylaşımı görülmektedir. Uygulama Süreci Bu paylaşımda öğrencilerin C# programlama dilinde fonksiyon tanımı, türleri, tanımlanması ve çağrılmasına ve fonksiyondan değer döndürmeye ilişkin kavram ve örnek uygulamaların yer aldığı internet siteleri ve video anlatım kaynakları yer almaktadır. Öğrenciler bu kaynaklarla birlikte TYS yaklaşımının temel özelliği uyarınca konuyla ilgili kavramları dersten önce incelemiş ve bunlar üzerinde çalışmışlardır. Ders saatinde ise TYS’nin ikinci aşaması olarak kavramlar üzerinden hızlı bir şekilde tartışmalar yürütülmüş ve bu kavramlara ilişkin bilgisayar ortamında kodlama uygulamaları yapılmıştır. Bu uygulamalar öğrencilerin çalıştıkları kavramları kodlama ortamında hayata geçirmeye yönelik programlama etkinlikleri olarak yürütülmüştür. Örneğin bu dersin sonunda ortaya çıkan ürünlerden biri, girilen iki tam sayıyı taban ve üs olarak alıp sonucunu hesaplayarak ana programa döndüren fonksiyonun geliştirilmesi ve kodlanmasıdır. Şekil 2. İki farklı öğrenci tarafından yapılan paylaşımlardan ekran görüntüsü. Şekil 2. İki farklı öğrenci tarafından yapılan paylaşımlardan ekran görüntüsü. 202 Özcan ÖZYURT, Hacer ÖZYURT – Pegem Eğitim ve Öğretim Dergisi, 7(2), 2017, 189-210 Şekil 2’de C# programlama temelleri ve switch-case konularına ilişkin öğrenciler tarafından yapılan kaynak paylaşımı görülmektedir. Bu paylaşımlar ders sorumlusu tarafından incelenmiş ve grupta yayımlanmıştır. Birinci paylaşım C# programlama dili ile ilgili genel videoları içerirken, ikinci paylaşım şart deyimleri ile ilgili bir kaynaktır. İlk kaynak genel amaçlı olarak düşünülebilir ancak ikinci kaynak doğrudan ders konusuna hitap etmektedir. Öğrenciler ikinci kaynakla çoklu kontrol yapısına (programlama dili için if-else-if yapısı) ilişkin bilgiler edinmişlerdir. Ders saatinde de buna yönelik örnek kodlama yapılmıştır. Bu derste yapılan uygulamalardan biri, girilen 0-100 arasındaki bir notun önceden tanımlı aralıklarda hangi harf notuna karşı düştüğünü switch-case yapısı ile hesaplayan kodlama etkinliğidir. Çalışma programlamaya giriş ve algoritma dersi kapsamında toplam 14 hafta yürütülmüştür. Özetle, sistematik bir biçimde her hafta işlenecek konu ile ilgili uygun materyaller önceden öğrencilere sunulmuş, öğrencilerin bu konulara hâkim bir biçimde derse gelmeleri sağlanmıştır. Derste bu konulara yönelik doğrudan kodlama uygulamaları yapılmıştır. Tablo 1’de dönem boyu ders planı, hafta hafta işlenen konular ve bu konulara ilişkin olarak hazırlanan ve kodlama uygulamalarını içeren etkinlikler verilmiştir. Bulgular Bu bölümde, öğrencilerin mülakat sorularına verdikleri yanıtların içerik analizi ile incelenmesi ile ortaya çıkan sonuçlar sunulmuştur. Analiz sonucunda elde edilen temalar doğrudan alıntılarla tablolar şeklinde sunulmuştur. Bazı alıntılar içinde birden fazla temayı barındırdığından birden fazla tema altında sunulmuştur. Analizden elde edilen temalar olumlu ve olumsuz görüşler olmak üzere iki ana temada sunulmuştur. Tablo 1. Haftalık Konu ve Etkinlik Listesi. Hafta Konu Etkinlik Listesi 1 Ders hakkında genel bilgilendirme, TYS yaklaşımı hakkında tartışma 2 Problem çözme ve algoritma Verilen bir sayının asal sayı olup olmadığını bulma Verilen bir sayıya kadar olan asal sayıları bulma Girilen bir sayının başka bir sayının faktöriyeli olup olmadığını bulma 3 Akış diyagramları İlk haftadaki algoritmaların akış diyagramlarının oluşturulması 4 Programlama dilleri ve C# Visual Studio kod ortamını tanıma 5 Veri tipleri, değişkenler Veri tipleri ile ilgili basit uygulamalar geliştirme 6 Atama, operatör, veri tipi dönüşümü Basit uygulamalar geliştirme 7 Girdi/çıktı işlemleri, koşul ifadeleri Ekrana mesaj yazdırma Klavyeden bilgi okuma Şart blokları Girilen bir notun harf karşılığını bulma 8 Döngüler Girilen a ve tam sayıları için a üzeri b’yi hesaplama (for, while, ve do..while ile ayrı ayrı) Girilen karakter A’dan farklı olduğu sürece o karakterin ascii kodunu yazma Dışarıdan girilen bir tam sayıya kadar olan Fibonacci sayılarını bulma Dışarıdan girilen sayıya en yakın Fibonacci sayısını bulma Dışarıdan girilen bir sayının mükemmel sayı olup olmadığını bulma 9 Ara sınav 10 Fonksiyonlar 8. haftada yapılan işlemlerin fonksiyonla gerçeklenmesi 11 Tek boyutlu diziler Dizinin en küçük, en büyük elemanının bulunması Dizi içerisinde her karakterin kaç kez tekrar ettiğinin bulunması Dizinin ters çevrilmesi Dizi içerisinde toplamı en büyük yapan ardışık elemanların listelenmesi 12 Çift boyutlu diziler (matrisler) Ekrana matris formunda yazdırma Matris işlemleri (toplama, çarpma) Matrisin her satırındaki en küçük, en büyük elemanı bulma 13 Öz yinelemeli (Recursive) fonksiyonlar Öz yinelemeli fonksiyon yazma Öz yinelemeli fonksiyon ile faktöriyel bulma Öz yinelemeli fonksiyon Fibonacci sayılarını bulma Öz yinelemeli fonksiyon ile üs alma 14 Sıralama algoritmaları Sıralama algoritmalarını (kabarcık, seçerek, eklemeli, birleştirmeli) gerçekleme 15 Arama algoritmaları Ardışık arama ile ilgili uygulamalar İkili arama ile ilgili uygulamalar 16 Dönem sonu sınavı 203 Özcan ÖZYURT, Hacer ÖZYURT – Pegem Eğitim ve Öğretim Dergisi, 7(2), 2017, 189-210 Verilerin Analizi Öğrenciler Ogr1, Ogr2, … , Ogr32 olarak kodlanmıştır. Mülakatlar sonucu elde edilen nitel veriler içerik analizine tabi tutulmuştur. İçerik analizi, nitel verilerden belirli sonuçlar çıkarmaya yönelik metinler üzerinde yapılan sınıflama ve karşılaştırma işlemlerinin yapıldığı bir araştırma tekniğidir (Cohen, Manion, & Morrison, 2007). Öğrencilerden yazılı metin olarak alınan metinler kategorik olarak kodlanmıştır. Bu kodlamalardan yola çıkılarak temalar elde edilmiştir. Araştırmanın geçerlik ve güvenirliğinin artırılmasına yönelik birtakım unsurlar göz önünde bulundurulmuştur. Geçerliğin sağlanması için öğrencilere formu istedikleri sürede ve zaman zarfında doldurmaları ve gerek görmeleri halinde görüşlerini düzeltebilme fırsatı verilmiştir. Form üzerinde öğrencilerin kimlik bilgilerine yer verilmemiştir. Ayrıca içerik analizi sürecinde mülakat formları iki araştırmacı tarafından ayrı ayrı okunmuş ve analiz edilmiştir. Her iki araştırmacı mülakat sorularına verilen yanıtlara göre kodlamalar yapmış ve temalar elde etmişlerdir. Daha sonra bu iki analiz sonuçları bir araya getirilerek incelenmiş ve nihai temalara karar verilmiştir. İki araştırmacının analiz sonuçlarına ilişkin görüş birliği uyumunun yüksek düzeyde olduğu söylenebilir. Son olarak öğrencilerin görüşleri herhangi bir yorum eklenmeden olduğu gibi verilmiştir. Öğrencilerden elde edilen nitel veriler bu işlemler doğrultusunda sistematik olarak analiz edilmiş, öğrenci cevaplarından elde edilen görüşler olumlu ve olumsuz olmak üzere iki ana tema altında toplanmıştır. Bu ana temalar ile her bir ana temaya ilişkin alt tema ve bunlara ilişkin frekans bilgileri elde edilmiş ve tablolarda sunulmuştur. Olumlu Görüşler Öğrencilerin programlama ve algoritma öğreniminde Facebook ortamında ters yüz sınıf yaklaşımına uygun oluşturulan ortama ilişkin olumlu görüşlerinin toplandığı alt temalar ve frekans bilgileri Tablo 2’de verilmiştir. Tablo 2 incelendiğinde öğrencilerin bu uygulamaya ilişkin olumlu görüşlerinin on alt tema altında toplandığı görülmektedir. Bu alt temaların frekansları ise 24 ile 1 arasında değişmektedir. Olumlu görüşler mülakata katılan öğrenciler tarafından 24 kez tekrar ile derse hazırlıklı gelme olarak ifade edilmişken 1 kez tekrar ile öğrenciyi aktifleştirme olarak ifade edilmiştir. 204 Özcan ÖZYURT, Hacer ÖZYURT – Pegem Eğitim ve Öğretim Dergisi, 7(2), 2017, 189-210 Tablo 2. Öğrencilere Göre TYS Yaklaşımının Olumlu Yönlerine İlişkin Bilgiler. Olumlu Görüşler 5 Ogr15: …Kod ağırlıklı diğer derslerde de kullanılmasının faydalı olacağını düşünüyorum… Ogr32: …Mesleki derslerde bu tür uygulamaların olması araştırmayı ve öğrenmeyi güdüleme açısından faydalı, bu açıdan meslek derslerinde daha sık kullanılmalı… 4 Ogr10: …İnsanı daha çok araştırmaya ve merak etmeye yöneltiyor, bu açıdan çok iyi… y 3 Ogr6: …Konuların ve ödevlerin önceden bilinmesi derse çalışma saatimizi artırıyor daha fazla zaman ayırıp çalışıyoruz… 3 Ogr6: …Konuların ve ödevlerin önceden bilinmesi derse çalışma saatimizi artırıyor daha fazla zaman ayırıp çalışıyoruz… Ogr15: …Araştırma için fazla zamanımız oluyor… g ç ş y daha fazla zaman ayırıp çalışıyoruz… Ogr15: …Araştırma için fazla zamanımız oluyor… y p ç ş y Ogr15: …Araştırma için fazla zamanımız oluyor… Ogr15: …Araştırma için fazla zamanımız oluyor… 2 Ogr6: …Eksik yönlerimizi, hatalarımızı görüyoruz ve gurupta tartışarak çözüyoruz… 2 Ogr26: …Derse olan ilgimi artırdı… 2 Ogr26: …Derse olan ilgimi artırdı… Ogr29: …Kendimiz öğrenmek için çabaladık uğraştık, bu bizi derse daha da yakınlaştırdı, dersle daha iç içe olduğumu hissettirdi… Ogr29: …Kendimiz öğrenmek için çabaladık uğraştık, bu bizi derse daha da yakınlaştırdı, dersle daha iç içe olduğumu hissettirdi… 2 Ogr8: …Kaynaklar, örnekler paylaşılıyor, dersin anlatım kısmını biz bir anlamda önceden yapmış oluyoruz, uygulamaya daha fazla zaman kalıyor… Ogr29: …Bu şekilde dersten zaman kazanılıyor ve örneklere ve uygulamalara daha 2 Ogr8: …Kaynaklar, örnekler paylaşılıyor, dersin anlatım kısmını biz bir anlamda önceden yapmış oluyoruz, uygulamaya daha fazla zaman kalıyor… Ogr29: …Bu şekilde dersten zaman kazanılıyor ve örneklere ve uygulamalara daha fazla zaman ayrılıyor… Ogr29: …Bu şekilde dersten zaman kazanılıyor ve örneklere ve uygulamalara daha fazla zaman ayrılıyor… Olumsuz Görüşler Öğrencilerin bu ortama ilişkin olumsuz görüşlerinin toplandığı temalar ve frekans bilgileri Tablo 3’te verilmiştir. Tablo 3. Olumlu Görüşler Temalar f Öğrenci Görüşleri Derse Hazırlıklı Gelme 24 Ogr5: …Derse gelmeden önce konuyla ilgili kaynakların verilmesi derse hazırlanmam açısından iyi oldu… Ogr7: …Derse gelmeden hangi konunun işleneceğini biliyoruz, dersteyken öğrenme değil de derse gelmeden bir şeyler öğrenmiş olarak geliyoruz, yani dersi dersten önce aslında öğrenmiş oluyoruz, bu da bizim için faydalı oluyor… Ogr10: …Önceden bakıp gelmek derste anlatılanlara yabancı kalmamamı sağlıyor… Ders dışı iş birliği/iletişim 16 Ogr2: …Konu hakkında birbirimizden yardım alabiliyoruz iletişimiz artıyor, neredeyse herkes birbiriyle iletişim kurmuş oluyor… Ogr9: …Kendi aramızda etkileşim oluyor… Ogr14: … Bu ortam iletişimimizi artırdı… Ogr16: Arkadaşlarımızla ders hakkında faydalı paylaşım fırsatı bulduk… Anlamayı kolaylaştırma 5 Ogr5: …Konu hakkında önceden fikrim olduğu için dersi anlamam daha kolay oldu… Ogr9: …Bu sayede derse daha kolay hâkim olabildiğimi düşünüyorum… Ogr30: …Aynı bilgi düzeyindeki sınıf arkadaşlarımla bilgi alış verişi yapmam anlama açısından iyi oldu… Kodlama ağırlıklı derslere uygunluk 5 Ogr15: …Kod ağırlıklı diğer derslerde de kullanılmasının faydalı olacağını düşünüyorum… Ogr32: …Mesleki derslerde bu tür uygulamaların olması araştırmayı ve öğrenmeyi güdüleme açısından faydalı, bu açıdan meslek derslerinde daha sık kullanılmalı… Araştırmaya özendirme 4 Ogr10: …İnsanı daha çok araştırmaya ve merak etmeye yöneltiyor, bu açıdan çok iyi… Ders çalışmaya daha fazla zaman ayırma 3 Ogr6: …Konuların ve ödevlerin önceden bilinmesi derse çalışma saatimizi artırıyor daha fazla zaman ayırıp çalışıyoruz… Ogr15: …Araştırma için fazla zamanımız oluyor… Eksikliklerinin farkına varma 2 Ogr6: …Eksik yönlerimizi, hatalarımızı görüyoruz ve gurupta tartışarak çözüyoruz… Derse karşı ilgiyi artırma 2 Ogr26: …Derse olan ilgimi artırdı… Ogr29: …Kendimiz öğrenmek için çabaladık uğraştık, bu bizi derse daha da yakınlaştırdı, dersle daha iç içe olduğumu hissettirdi… Ders içinde uygulamaya daha fazla zaman ayırma 2 Ogr8: …Kaynaklar, örnekler paylaşılıyor, dersin anlatım kısmını biz bir anlamda önceden yapmış oluyoruz, uygulamaya daha fazla zaman kalıyor… Ogr29: …Bu şekilde dersten zaman kazanılıyor ve örneklere ve uygulamalara daha fazla zaman ayrılıyor… Öğrenciyi aktifleştirme 1 Ogr9: …Aktif olmamızı sağladı… Tablo 2. Tablo 2. Öğrencilere Göre TYS Yaklaşımının Olumlu Yönlerine İlişkin Bilgiler. Tartışma, Sonuç ve Öneriler Bu çalışmada algoritma ve programlama öğreniminin Facebook aracılığı ile oluşturulmuş TYS yaklaşımı ile zenginleştirilmesine ilişkin öğrenci görüşleri ortaya konulmuştur. Diğer bir ifade ile TYS yaklaşımının programlama ve algoritma dersinde uygulanmasından yansımalar elde edilmiştir. Araştırmanın sonuçları, TYS yaklaşımının programlama ve algoritma öğreniminde etkin bir biçimde kullanılabileceğini ortaya koymuştur. Çalışmadan elde edilen bulgular doğrultusunda bu yaklaşımın programlama öğrenimi üzerindeki olumlu görüşlerin olumsuz görüşlere göre çok daha fazla olduğu söylenebilir. Nitekim olumlu görüşler on farklı tema altında gruplandırılmışken olumsuz görüşler sadece üç farklı tema altında gruplandırılmıştır. Ayrıca olumlu görüşlerin toplandığı temaların frekansları toplam 64 iken olumsuz görüşlerin toplandığı temaların frekansları toplam 10 olarak elde edilmiştir. Bu da TYS yaklaşımının programlama ve algoritma öğrenimini desteklemesi bağlamında önemli bir araç olarak kullanılabileceğini göstermektedir. Çalışmadan elde edilen olumlu görüşler incelendiğinde TYS yaklaşımının öğrencilere birçok açıdan zenginlik sağladığı ve önemli katkılar yaptığını söylemek mümkündür. Olumlu durumları temsil eden temalara bakıldığında derse hazırlanarak gelme, ders dışı iş birliği ve etkileşimi artırma, anlamayı kolaylaştırma ve araştırmayı özendirme gibi farklı açılarla bu durumun ortaya konulduğu görülmektedir. Literatürde benzer sonuçlara ulaşan çalışmalar bulunmaktadır (Daviset al., 2013; Doğan, 2015; Findlay- Thompson & Mombourquette, 2014; Musib, 2014; Turan & Göktaş, 2015). Çalışmada bu yönde sonuçlara ulaşılmış olması, öğrencilerin kodlama ve algoritma konularına ilişkin ön bilgilerini yapılandırarak derse gelmelerinin onların öğrenmeleri üzerinde olumlu yönde etkiler yaptığının bir göstergesi olarak kabul edilebilir. Çalışmanın sonuçları literatürdeki birçok çalışmanın sonucu ile paralellik göstermekle birlikte, bu çalışmada TYS yaklaşımının uygulandığı programlama ve algoritma dersine yönelik olarak da önemli ipuçları ortaya koymaktadır. Nitekim öğrencilerin görüşleri, TYS yaklaşımının kodlama ve programlama ağırlıklı derslere uygunluğu yönünde önemli bilgiler vermektedir. Öğrenciler bu yaklaşım sayesinde ders saatinde daha fazla uygulama yapma fırsatı bulduklarını, bu tür uygulamaların özelde kodlama ağırlıklı derslerde genelde ise uygulamaya dönük derslerin tümünde etkin bir biçimde kullanılabileceği görüşünü ortaya koymuşlardır. Bu görüş üzerinde öğrencilerin ders saati öncesinde ilgili konulara hazırlı gelmelerinin ve ders saatinde daha fazla uygulama yapmalarının etkili olduğu düşünülmektedir. Nitekim programlama ve kodlama ağırlıklı derslerin tam olarak kavranabilmesi için uygulama yapmaya yeterli zaman ayrılması oldukça önemlidir. Bu bakımdan ders saatleri içerisinde hem teorik hem de pratik bilgilerin verilmesi ders saatinin planlanması açısından sıkıntılar doğurabilmektedir. TYS yaklaşımın kullanılmasıyla bu problemin önüne geçilmiş ve ders saati içerisinde uygulamaya daha fazla zaman ayırabilme fırsatı doğmuştur. Çalışmadan elde edilen sonuçlara göre, programlama ve algoritma öğreniminde TYS yaklaşımının kullanımına yönelik öğrenci görüşleri büyük ölçüde olumlu olmakla birlikte sınırlı sayıda olumsuz görüşün de olduğu görülmüştür. Tablo 3. Öğrencilere Göre TYS Yaklaşımının Olumsuz Yönlerine İlişkin Bilgiler. Öğrencilere Göre TYS Yaklaşımının Olumsuz Yönlerine İlişkin Bilgiler. Öğrencilere Göre TYS Yaklaşımının Olumsuz Yönlerine İlişkin Bilgiler. Temalar f Öğrenci Görüşleri Çekimser kişilik 4 Ogr4: …Çekingen birisi olduğum için soru sormaya çekiniyorum, çünkü grupta aktif olan kişiler derste ilerlemiş oluyor, ben geriden geliyorum problemlerim küçümsenir diye yazmıyorum… Kendi kendine öğrenememe 4 Ogr3: …Kendi kendine anlayamayan bazı arkadaşlarım derse gelmek istemedi… Ogr15: …Ben dinleyerek öğrenen biriyim, kaynakların anlatım biçimleri, düşük seviyedeki biri için uygun değil, konuları bu şekilde iyi öğrenemedim… Hazırlık yapma zorunluluğu 2 Ogr1: …Konulara bakmadığım zaman, derste konular havada kalıyor, pek bir şey anlamıyorum… Ogr13: …Konuyu önceden bilmediğimde, derse çalışarak gelmediğimde derste zorluk çekiyorum… 205 Özcan ÖZYURT, Hacer ÖZYURT – Pegem Eğitim ve Öğretim Dergisi, 7(2), 2017, 189-210 Tablo 3 incelendiğinde öğrencilerin bu uygulamaya ilişkin olumsuz görüşlerinin olumlu görüşlere göre çok daha sınırlı sayılabilecek toplam 3 alt tema altında toplandığı görülmektedir. Bu alt temaların frekansları ise yine olumlulara kıyasla az olmakla birlikte 4 ile 2 arasında değişmektedir. Olumsuz görüşler mülakata katılan öğrenciler tarafından 4’er kez tekrar ile çekimser kişilik ve kendi kendine öğrenememe olarak ifade edilmişken 2 kez hazırlık yapma zorunluluğu olarak ifade edilmiştir. Tartışma, Sonuç ve Öneriler Olumsuz görüşlere bakıldığında ilk dikkati çeken faktörün çekimser kişilikteki öğrencilerin bu ortama adapte olamadıkları bulgusudur. Bu bulgunun çalışmaya katılan öğrencilerin kişilik özelliklerinden kaynaklandığı düşünülmektedir. Ayrıca bu bulgu aslında doğrudan TYS yaklaşımına yönelik bir olumsuzluk olmayıp öğrencinin Facebook ortamında TYS ile kendilerine sağlanmış olan iletişim ve işbirliği olanaklarını kullanmadaki çekingenliklerinin bir göstergesi olarak düşünülmektedir. Çalışmanın bu sonucu Doğan’ın (2015) çalışmasındaki olumsuz görüşle birebir örtüşmektedir. Nitekim Doğan (2015) çalışmasında, TYS sınıf yaklaşımının olumsuz yönü olarak öğrencilerin çekinmeleri, 206 Özcan ÖZYURT, Hacer ÖZYURT – Pegem Eğitim ve Öğretim Dergisi, 7(2), 2017, 189-210 kendilerini ifade edememeleri ve belirli kişilerin baskın olduğu sonucuna ulaşmıştır. Bu tür bireyler TYS yaklaşımı kullanılan derslere katılma konusunda cesaretlendirilmeli ve bu konuda motive edilmelidirler. Diğer bir olumsuzluk olarak ise kendi kendine öğrenemeyen bireylerin bu ortama ilişkin görüşleridir. Aslında bu durumun geleneksel öğretimin getirmiş olduğu alışkanlıklara bağlı olduğu düşünülmektedir. Nitekim bu görüşü ortaya koyan öğrenciler dersi derste dinleyerek öğrendikleri, kendi başlarına öğrenemedikleri, bunun da kendilerini olumsuz etkilediğini ifade etmişlerdir. Öğrencilerin kendi öğrenmelerinin sorumluluklarını almamalarının ya da alamamalarının bu görüşlerin ortaya çıkmasında etkili olduğu düşünülmektedir. Bu olumsuzluğun ortadan kaldırılmasına yönelik olarak öğrencilerin öğrenme sorumluluklarının farkına varmaları için onlara bu tür görevler verilebilir. Benzer şekilde bu tür uygulamaların geleneksel öğretim sürecine daha sık dahil edilmesi ve farklı derslerde uygulanması ile öğrencilerin öğrenme alışkanlıkları değiştirilmeye çalışılabilir. Böylece öğrencilerin bu yaklaşıma adapte olmaları ve bu yaklaşımın anahtar kelimelerinden biri olan öğrenme sorumluluğunu alma durumunu içselleştirmeleri konusunda onlara fırsatlar sunulabilir. Son olarak ortaya konan olumsuz görüş ise derse hazırlıksız gelmenin dersi anlamada zorluklara neden olduğudur. Diğer bir ifadeyle ders öncesinde sunulan ders materyallerinin incelenmemesinin TYS yaklaşımının kullanılmasına engel teşkil ettiği görüşü ortaya çıkmıştır. Bu durum Bristol’ün (2004) çalışmasındaki sonuçla benzerlik taşımaktadır. Olumsuz görüşler bir bütün olarak değerlendirildiğinde, bu sorunların TYS yaklaşımının yapısal özelliklerinden çok öğrencilerin bireysel özelliklerinden ve çalışma alışkanlıklarından kaynaklandığı görülmektedir. Bu durum göz önüne alındığında TYS yaklaşımının gerçek sınıf ortamlarına entegrasyonunda bireylerin geleneksel öğretimden gelen birtakım alışkanlıklarının hala etkili olduğu söylenebilir. Bunun yıkılması için öğrencilerin motive edilmesi ve bu tür ortamların daha yaygın bir şekilde kullanılması etkili olabilir. Çalışmanın sonuçlarına bir bütün olarak bakıldığında, TYS yaklaşımının programlama ve algoritma öğreniminde kullanımına ilişkin öğrencilerin büyük oranda olumlu baktığını ancak az da olsa olumsuz düşündüğünü görülmektedir. Bu olumsuzluklar bu tür uygulamaların gerçek sınıf ortamlarına dâhil edilebilmesinin birtakım zorlukları beraberinde getirdiğini göstermiştir. Bu tür ortamlara ilişkin olumsuz görüşler, uygulamaların daha sağlıklı yürütülebilmesi için özenle dikkate alınmalı ve ortadan kaldırılmaya çalışılmalıdır. Tartışma, Sonuç ve Öneriler Diğer bir ifadeyle, olumlu görüşlerden çok olumsuz görüşler dikkate alınarak bu süreç iyileştirilmeye çalışılabilir. Bununla birlikte, özelde programlama ve algoritma öğrenimi için genelde ise mühendislik eğitimi için farklı derslerde TYS yaklaşımının kullanımının, mühendislik eğitiminde önemli kazanımlar sağlayacağı söylenebilir. Nitekim Mason vd. (2013), mühendislik eğitiminin en önemli hedeflerinden birisi olarak kendi kendine öğrenebilen bireyler yetiştirmeyi göstermektedir. TYS yaklaşımı bu doğrultuda etkin bir araç olarak kullanılabilir. Bu çalışmanın, programlamaya giriş ve algoritma dersinde sınırlı sayıda öğrenci ile yapılmış olması ve sadece öğrenci görüşlerine yer verilmiş olması sınırlılığıdır. TYS yaklaşımı geleneksel öğretimden önemli farklılıklar içerdiğinden bu tür ortamların özelde programlama eğitiminde genelde ise mühendislik eğitiminde farklı çalışma grupları ile farklı araştırma desenlerinin uygulanması ile çeşitli çalışmalar yürütülebilir. Bu çalışmalarda TYS yaklaşımının öğrencilerin akademik başarıları, çalışma alışkanlıkları üzerindeki etkileri incelenebilir. Bu çalışmaların yapılması ile TYS yaklaşımının yükseköğretim seviyesinde uygulanması ve öğrenci merkezli çalışmaların çeşitlendirilmesi mümkün hale gelmiş olacaktır. 207 Özcan ÖZYURT, Hacer ÖZYURT – Pegem Eğitim ve Öğretim Dergisi, 7(2), 2017, 189-210 References Abeysekera, L. & Dawson, P. (2015). Motivation and cognitive load in the flipped classroom: Definition, rationale and a call for research. Higher Education Research & Development, 34(1), 1-14. Andrews, T., Leonard, M., Colgrove, C. & Kalinowski, S. (2011). Active learning not associated with student learning in a random sample of college biology courses. Life Sciences Education, 10(4), 394- 405. Arnold-Garza, S. (2014). The flipped classroom teaching model and its use for in formation literacy instruction. Communications in Information Literacy, 8(1), 7-22. Başal, A. (2012). The use of flipped classroom in language teaching, In Ekmekçi E (Ed.), Proceedings of The 3 rd Black Sea ELT Conference Technology, A Bridge to Language Learning(pp. 8-12), Samsun: Türkiye. Bergmann, J. & Sams, A. (2012). Before you flip, consider this. Phi Delta Kappan, 94(2), 25-25. Bristol, T. J. (2014). Educate, excite, engage. Teaching and Learning in Nursing, 9(2014), 43-46. Butt, A. (2014). Student views on the use of a flipped classroom approach: Evidence from Australia. Business Education & Accreditation, 6(1), 33-43. Büyüköztürk, Ş., Çakmak, E. K., Akgün, Ö. E., Karadeniz, Ş. & Demirel, F. (2009). Bilimsel araştırma yöntemleri (3. Ed.). Ankara: Pegem Akademi. Chen, Y., Wang, Y., Kinshuk, & Chen, N. S. (2014). Is FLIP enough? Or should we use the FLIPPED model instead?. Computers & Education, 79(2014), 16-27. Cohen, L., Manion, L. & Morrison, K. (2007) Research methods in education, (6th ed.). London: Routledge. Doğan, T. G. (2015). Sosyal medyanın öğrenme süreçlerinde kullanımı: ters-yüz edilmiş öğrenme yaklaşımına ilişkin öğrenen görüşleri. Açık öğretim Uygulamaları ve Araştırmaları Dergisi, 1(2), 24-48. Filiz, O. & Kurt, A. A. (2015). Flipped learning: Misunderstandings and the truth. Journal of Educational Sciences Research, 5(1), 215-229. Friedman, L. W. & Friedman, H. H. (2013). Using social media technologies to enhance online learning. Journal of Educators, 10(1), 1-22. Davies, R. S., Dean, D. L. & Ball, N. (2013). Flipping the classroom and instructional technology integration in a college-level information systems spread sheet course. Educational Technology Research and Development, 61(4), 563-580. Demiralay, Ö. G. R. & Karataş, S. (2014). Evde ders okulda ödev modeli. Eğitim ve Öğretim Araştırmaları Dergisi, 3(3), 333-340. Mok, H. N. (2014). Teaching tip: The flipped classroom. Journal of Information Systems Education, 25(1), 7-11. Findlay-Thompson, S. & Mombourquette, P. (2014). Evaluation of a flipped classroom in a undergraduate business course. Business Education & Accreditation, 6(1), 63-71. Gaughan, J. E. (2014). The flipped classroom in world history. The History Teacher, 47(2), 221-244. Jacot, M. T., Noren, J. & Berge, Z. L. (2014). The flipped classroom in training and development: Fad the future?. International Society for Performance Improvement, 53(9), 23-28. References Hawks, S. J. (2014). The flipped classroom: now or never?. Journal of the American Association of Nurse Anesthetists, 82(4), 264-269. Hwang, G. J., Lai, C. L. & Wang, S. Y. (2015). Seamless flipped learning: a mobile technology-enhanced flipped classroom with effective learning strategies. Journal of Computers in Education, 2(4), 449- 473. Jacot, M. T., Noren, J. & Berge, Z. L. (2014). The flipped classroom in training and development: Fad or the future?. International Society for Performance Improvement, 53(9), 23-28. 208 Özcan ÖZYURT, Hacer ÖZYURT – Pegem Eğitim ve Öğretim Dergisi, 7(2), 2017, 189-210 Kong, S. C. (2014). Developing information literacy and critical thinking skills through domain knowledge learning in digital classrooms: An experience of practicing flipped classroom strategy. Computers & Education, 78(2014), 160-173. Marlowe, C. (2012). The effect of the flipped classroom on student achievement and stress. Unpublished master’s thesis, Montana State University. Mason, G. S., Shuman, T. R. & Cook, K. E. (2013). Comparing the effectiveness of an inverted classroom to a traditional classroom in an upper-division engineering course. IEEE Transactions on Education, 56(4), 430-435. Mazman, S. & Usluel, Y. (2011). Bilgi ve iletişim teknolojilerinin öğrenme-öğretme süreçlerin entegrasyonu: Modeller ve göstergeler. Eğitim Teknolojisi Kuram Ve Uygulama, 1(1), 62-79. Mendez, J. P., Le, K. & De La Cruz, J. (2014). Integrating Facebook in the classroom: Pedagogic dilemmas. Journal of Instructional Pedagogies, 13, 1-6. Moravec, M., Williams, A., Aguilar-Roca, N. & O’Dowd, D. K. (2010). Learn before lecture: a strategy that improves learning outcomes in a large introductory biology class. CBE Life Sciences Education, 9(4), 473-481. Musib, M. K. (2014). Student perceptions of the impact of using the flipped classroom approach for an introductory-level multidisciplinary module. CDTL Brief, 17(2), 15-20. Sever, G. (2014). Bireysel çalgı keman derslerinde çevrilmiş öğrenme modelinin uygulanması. Journal of Qualitative Research in Education, 2(2), 27-42. Turan, Z. & Göktaş, Y. (2015). Yükseköğretimde yeni bir yaklaşım: Öğrencilerin ters yüz sınıf yöntemine ilişkin görüşleri. Yükseköğretim ve Bilim Dergisi, 5(2), 156-164. 209 210
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Retracted: Exhibition of Dielectric Property Based on Soil Class and Moisture Presence for Bengaluru District
Advances in materials science and engineering
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Hindawi Advances in Materials Science and Engineering Volume 2023, Article ID 9851803, 1 page https://doi.org/10.1155/2023/9851803 Retraction Retracted: Exhibition of Dielectric Property Based on Soil Class and Moisture Presence for Bengaluru District Advances in Materials Science and Engineering Received 26 December 2023; Accepted 26 December 2023; Published 29 December 2023 Copyright © 2023 Advances in Materials Science and Engineering. Tis 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. Tis article has been retracted by Hindawi, as publisher, following an investigation undertaken by the publisher [1]. Tis investigation has uncovered evidence of systematic manipulation of the publication and peer-review process. We cannot, therefore, vouch for the reliability or integrity of this article. Please note that this notice is intended solely to alert readers that the peer-review process of this article has been compromised. Wiley and Hindawi regret that the usual quality checks did not identify these issues before publication and have since put additional measures in place to safeguard research integrity. We wish to credit our Research Integrity and Research Publishing teams and anonymous and named external researchers and research integrity experts for contributing to this investigation. Te corresponding author, as the representative of all authors, has been given the opportunity to register their agreement or disagreement to this retraction. We have kept a record of any response received. References [1] S. Kumar, N. Ahalya, V. Singh et al., “Exhibition of Dielectric Property Based on Soil Class and Moisture Presence for Bengaluru District,” Advances in Materials Science and Engineering, vol. 2022, Article ID 6807204, 9 pages, 2022.
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Cultural transmission modes of music sampling traditions remain stable despite delocalization in the digital age
PloS one
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0.1 Primary OADA The results of the multiplicative NBDA model fit to the primary OADA with all fo The results of the multiplicative NBDA model fit to the primary OADA with all four individual-level variables. C o e f f i c i e n t s : Estimate Bounded se z p S o c i a l t r a n s m i s s i o n 1 1.334607 e−01 0.1177462 NA NA NA gender −1.050416e−01 NA 4.017186 e−02 −2.6148064 8.927804 e−03 p o p u l a r i t y −1.335417e−02 NA 1.465003 e−03 −9.1154550 0.000000 e+00 f o l l o w e r s −9.611204e−08 NA 1.956053 e−08 −4.9135695 8.943303 e−07 meandist −1.880816e−09 NA 1.361273 e−08 −0.1381659 8.901093 e−01 L i ke l i h oo d Ratio Test f o r S o c i a l Transmission : Null model i n c l u d e s a l l other s p e c i f i e d v a r i a b l e s S o c i a l t r a n s m i s s i o n and a s o c i a l l e a r n i n g assumed to combine m u l t i p l i c a t i v e l y Df LogLik AIC AICc LR p With S o c i a l Transmission 5 7354.4 14719 14719 143.09 0 Without S o c i a l Transmission 4 7425.9 14860 14860 The results of all NBDA models fit to the primary OADA. In the “Additive?” column TRUE means the model was additive, FALSE means the model was multiplicative, and NA means the model was asocial. In the “ILVs”, or individual- level variables, column the numbers correspond to the variables included in the model (1: gender; 2: popularity; 3: followers; 4: mean distance). Additive ? ILVs S o c i a l ? Mason Youngblooda,b,1 Mason Youngblooda,b,1 aDepartment of Psychology, The Graduate Center, City University of New York, New York, NY, USA bDepartment of Biology, Queens College, City University of New York, Flushing, NY, USA 1myoungblood@gradcenter.cuny.edu Cultural transmission modes of music sampling traditions remain stable despite delocalization in the digital age S1 Appendix aDepartment of Psychology, The Graduate Center, City University of New York, New York, NY, USA bDepartment of Biology, Queens College, City University of New York, Flushing, NY, USA 1myoungblood@gradcenter.cuny.edu 0.1 Primary OADA AICc deltaAICc FALSE 1 2 3 4 s o c i a l 14718.7305939155 0 FALSE 2 3 4 s o c i a l 14723.2581626229 4.53 FALSE 1 2 4 s o c i a l 14749.7210576547 30.99 FALSE 2 4 s o c i a l 14755.0075144196 36.28 FALSE 1 3 4 s o c i a l 14795.6248094134 76.89 FALSE 3 4 s o c i a l 14796.5052668663 77.77 FALSE 4 s o c i a l 15956.6213244064 1237.89 FALSE 1 4 s o c i a l 15957.1346280933 1238.4 FALSE 1 2 3 s o c i a l 32229.4897515171 17510.76 FALSE 1 2 s o c i a l 32260.0747802103 17541.34 FALSE 2 3 s o c i a l 32267.3112186711 17548.58 FALSE 2 s o c i a l 32298.2544538564 17579.52 FALSE 1 3 s o c i a l 32356.8941850595 17638.16 FALSE 3 s o c i a l 32389.9528866174 17671.22 FALSE 1 s o c i a l 43609.4787479712 28890.75 TRUE 1 s o c i a l 43612.45988987 28893.73 NA 0 s o c i a l 43662.7306996825 28944 NA 1 a s o c i a l 43779.4569488198 29060.73 NA 0 a s o c i a l 43815.27922266 29096.55 Additive ? ILVs S o c i a l ? 0.1 Primary OADA AICc deltaAICc FALSE 1 2 3 4 s o c i a l 14718.7305939155 0 FALSE 2 3 4 s o c i a l 14723.2581626229 4.53 FALSE 1 2 4 s o c i a l 14749.7210576547 30.99 FALSE 2 4 s o c i a l 14755.0075144196 36.28 FALSE 1 3 4 s o c i a l 14795.6248094134 76.89 FALSE 3 4 s o c i a l 14796.5052668663 77.77 FALSE 4 s o c i a l 15956.6213244064 1237.89 FALSE 1 4 s o c i a l 15957.1346280933 1238.4 FALSE 1 2 3 s o c i a l 32229.4897515171 17510.76 FALSE 1 2 s o c i a l 32260.0747802103 17541.34 FALSE 2 3 s o c i a l 32267.3112186711 17548.58 FALSE 2 s o c i a l 32298.2544538564 17579.52 FALSE 1 3 s o c i a l 32356.8941850595 17638.16 FALSE 3 s o c i a l 32389.9528866174 17671.22 FALSE 1 s o c i a l 43609.4787479712 28890.75 TRUE 1 s o c i a l 43612.45988987 28893.73 NA 0 s o c i a l 43662.7306996825 28944 NA 1 a s o c i a l 43779.4569488198 29060.73 NA 0 a s o c i a l 43815.27922266 29096.55 1 TRUE 2 s o c i a l I n f I n f NA 2 a s o c i a l I n f I n f TRUE 1 2 s o c i a l I n f I n f NA 1 2 a s o c i a l I n f I n f TRUE 3 s o c i a l I n f I n f NA 3 a s o c i a l I n f I n f TRUE 1 3 s o c i a l I n f I n f NA 1 3 a s o c i a l I n f I n f TRUE 2 3 s o c i a l I n f I n f NA 2 3 a s o c i a l I n f I n f TRUE 1 2 3 s o c i a l I n f I n f NA 1 2 3 a s o c i a l I n f I n f TRUE 4 s o c i a l I n f I n f NA 4 a s o c i a l I n f I n f TRUE 1 4 s o c i a l I n f I n f NA 1 4 a s o c i a l I n f I n f TRUE 2 4 s o c i a l I n f I n f NA 2 4 a s o c i a l I n f I n f TRUE 1 2 4 s o c i a l I n f I n f NA 1 2 4 a s o c i a l I n f I n f TRUE 3 4 s o c i a l I n f I n f NA 3 4 a s o c i a l I n f I n f TRUE 1 3 4 s o c i a l I n f I n f NA 1 3 4 a s o c i a l I n f I n f TRUE 2 3 4 s o c i a l I n f I n f NA 2 3 4 a s o c i a l I n f I n f TRUE 1 2 3 4 s o c i a l I n f I n f NA 1 2 3 4 a s o c i a l I n f I n f TRUE 2 s o c i a l I n f I n f NA 2 a s o c i a l I n f I n f TRUE 1 2 s o c i a l I n f I n f NA 1 2 a s o c i a l I n f I n f TRUE 3 s o c i a l I n f I n f NA 3 a s o c i a l I n f I n f TRUE 1 3 s o c i a l I n f I n f NA 1 3 a s o c i a l I n f I n f TRUE 2 3 s o c i a l I n f I n f NA 2 3 a s o c i a l I n f I n f TRUE 1 2 3 s o c i a l I n f I n f NA 1 2 3 a s o c i a l I n f I n f TRUE 4 s o c i a l I n f I n f NA 4 a s o c i a l I n f I n f TRUE 1 4 s o c i a l I n f I n f NA 1 4 a s o c i a l I n f I n f TRUE 2 4 s o c i a l I n f I n f NA 2 4 a s o c i a l I n f I n f TRUE 1 2 4 s o c i a l I n f I n f NA 1 2 4 a s o c i a l I n f I n f TRUE 3 4 s o c i a l I n f I n f NA 3 4 a s o c i a l I n f I n f TRUE 1 3 4 s o c i a l I n f I n f NA 1 3 4 a s o c i a l I n f I n f TRUE 2 3 4 s o c i a l I n f I n f NA 2 3 4 a s o c i a l I n f I n f TRUE 1 2 3 4 s o c i a l I n f I n f NA 1 2 3 4 a s o c i a l I n f I n f 0.2 Additional OADA The eight songs in the “Most Sampled Tracks” on WhoSampled that were released after 1990. The fifth song, “I’m Good” by YG, was excluded from the additional OADA because it is a producer tag used by a single artist. 1. “Crash Goes Love (Yell Apella)” by Loleatta Holloway (1992) 1. “Crash Goes Love (Yell Apella)” by Loleatta Holloway (1992) 2. “Shook Ones Part II” by Mobb Deep (1994) 3. “C.R.E.A.M.” by Wu-Tang Clan (1993) 4. “Sound of Da Police” by KRS-One (1993) 5. “I’m Good” by YG (2011) [excluded producer tag] 6. “Juicy” by The Notorious B.I.G. (1994) 7. “Sniper” by DJ Trace and Pete Parsons (1999) 8. “Who U Wit?” by Lil Jon and The East Side Boyz (1997) ( ) 2. “Shook Ones Part II” by Mobb Deep (1994) ( 3. “C.R.E.A.M.” by Wu-Tang Clan (1993) ( ) 4. “Sound of Da Police” by KRS-One (1993) ( ) 5. “I’m Good” by YG (2011) [excluded producer tag] 6. “Juicy” by The Notorious B.I.G. (1994) y y ( ) 7. “Sniper” by DJ Trace and Pete Parsons (1999) ( ) 8. “Who U Wit?” by Lil Jon and The East Side Boyz (1997) The results of the additive NBDA model fit to the additional OADA. Remember that the fifth song was excluded, so the transmission estimates for five, six, and seven here are actually for six, seven, and eight. The results of the additive NBDA model fit to the additional OADA. Remember that the fi ransmission estimates for five, six, and seven here are actually for six, seven, and eight. 0.2 Additional OADA Summary of Additive S o c i a l Transmission Model Order of a c q u i s i t i o n data Unbounded p a r a m e te ris a tio n C o e f f i c i e n t s Estimate Bounded S o c i a l t r a n s m i s s i o n 1 0.13558602 0.11939740 S o c i a l t r a n s m i s s i o n 2 0.28805974 0.22363849 S o c i a l t r a n s m i s s i o n 3 0.05184340 0.04928814 S o c i a l t r a n s m i s s i o n 4 0.60154771 0.37560399 S o c i a l t r a n s m i s s i o n 5 0.06816578 0.06381573 S o c i a l t r a n s m i s s i o n 6 0.07600555 0.07063677 S o c i a l t r a n s m i s s i o n 7 0.01547410 0.01523830 Summary of Additive S o c i a l Transmission Mode Order of a c q u i s i t i o n data Unbounded p a r a m e te ris a tio n C o e f f i c i e n t s Estimate Bounded S o c i a l t r a n s m i s s i o n 1 0.13558602 0.11939740 S o c i a l t r a n s m i s s i o n 2 0.28805974 0.22363849 S o c i a l t r a n s m i s s i o n 3 0.05184340 0.04928814 S o c i a l t r a n s m i s s i o n 4 0.60154771 0.37560399 S o c i a l t r a n s m i s s i o n 5 0.06816578 0.06381573 S o c i a l t r a n s m i s s i o n 6 0.07600555 0.07063677 S o c i a l t r a n s m i s s i o n 7 0.01547410 0.01523830 L i ke l i h oo d Ratio Test f o r S o c i a l Transmission : L i ke l i h oo d Ratio Test f o r S o c i a l Transmission : Null model i n c l u d e s a l l other s p e c i f i e d v a r i a b l e s S o c i a l t r a n s m i s s i o n and a s o c i a l l e a r n i n g assumed to combine a d d i t i v e l y Null model i n c l u d e s a l l other s p e c i f i e d v a r i a b l e s S o c i a l t r a n s m i s s i o n and a s o c i a l l e a r n i n g assumed to combine a d d i t i v e l y Df LogLik AIC AICc LR p Df LogLik AIC AICc LR p With S o c i a l Transmission 7 6450 12914 12914 101.99 0 Without S o c i a l Transmission 0 6501 13002 13002 Df LogLik AIC AICc LR p With S o c i a l Transmission 7 6450 12914 12914 101.99 0 Without S o c i a l Transmission 0 6501 13002 13002 With S o c i a l Transmission 7 6450 12914 12914 101.99 0 Without S o c i a l Transmission 0 6501 13002 13002 With S o c i a l Transmission 7 6450 12914 12914 101.99 0 Without S o c i a l Transmission 0 6501 13002 13002 2 obs min mean max MC p−value STERGM nodematch . gender . 1 5.313 e−01 1.117 e−01 0 4.757 < 1e−04 *** −−− S i g n i f . codes : 0 ’*** ’ 0.001 ’** ’ 0.01 ’* ’ 0.05 ’ . ’ 0.1 ’ ’ 1 Null Deviance : 6349494 on 4580192 degrees of freedom Residual Deviance : 7664 on 4580185 degrees of freedom AIC : 7678 BIC : 7772 ( Smaller i s b e t t e r . ) Formula : y . form ˜ edges + nodecov (” meandist ”) + a b s d i f f (” p o p u l a r i t y ”) + a b s d i f f (” f o l l o w e r s ”) + nodematch (” gender ” , d i f f = TRUE) <environment : 0x1cb31da8> Formula : y . form ˜ edges + nodecov (” meandist ”) + a b s d i f f (” p o p u l a r i t y ”) + a b s d i f f (” f o l l o w e r s ”) + nodematch (” gender ” , d i f f = TRUE) <environment : 0x1cb31da8> I t e r a t i o n s : 11 out of 20 Monte Carlo MLE Results : Estimate Std . Error MCMC % z value Pr(>| z | ) edges −9.382 e+00 1.089 e−01 0 −86.175 < 1e−04 *** nodecov . meandist −1.292e−07 3.371 e−08 0 −3.833 0.000126 *** a b s d i f f . p o p u l a r i t y −1.618e−02 3.284 e−03 0 −4.927 < 1e−04 *** a b s d i f f . f o l l o w e r s 1.194 e−08 2.579 e−08 0 0.463 0.643396 nodematch . gender .−1 1.926 e+00 3.293 e−01 0 5.851 < 1e−04 *** nodematch . gender . 0 3.478 e−01 1.965 e−01 0 1.770 0.076773 . nodematch . gender . 1 5.313 e−01 1.117 e−01 0 4.757 < 1e−04 *** −−− S i g n i f . codes : 0 ’*** ’ 0.001 ’** ’ 0.01 ’* ’ 0.05 ’ . STERGM The results of all formation models of the STERGM fit to the data from 1984-1999. In the “ILVs”, or individual-level variables, column the numbers correspond to the variables included in the model (1: gender; 2: popularity; 3: followers; 4: mean distance). ILVs AIC deltaAIC 1 2 4 7676.380 0.00000 1 2 3 4 7678.174 1.79348 1 2 7693.425 17.04473 1 2 3 7695.203 18.82240 1 4 7702.003 25.62300 1 3 4 7702.160 25.77921 2 4 7710.403 34.02256 2 3 4 7711.909 35.52898 1 7718.147 41.76695 1 3 7718.390 42.00953 2 7727.194 50.81323 2 3 7728.701 52.32017 4 7737.373 60.99249 3 4 7738.094 61.71319 0 7753.228 76.84742 3 7753.985 77.60457 ILVs AIC deltaAIC 1 2 4 7676.380 0.00000 1 2 3 4 7678.174 1.79348 1 2 7693.425 17.04473 1 2 3 7695.203 18.82240 1 4 7702.003 25.62300 1 3 4 7702.160 25.77921 2 4 7710.403 34.02256 2 3 4 7711.909 35.52898 1 7718.147 41.76695 1 3 7718.390 42.00953 2 7727.194 50.81323 2 3 7728.701 52.32017 4 7737.373 60.99249 3 4 7738.094 61.71319 0 7753.228 76.84742 3 7753.985 77.60457 The results of the best-fitting formation model of the STERGM with the most individual-level variables fit to the data from 1984-1999. ========================== Summary of model f i t ========================== Formula : y . form ˜ edges + nodecov (” meandist ”) + a b s d i f f (” p o p u l a r i t y ”) + a b s d i f f (” f o l l o w e r s ”) + nodematch (” gender ” , d i f f = TRUE) <environment : 0x1cb31da8> I t e r a t i o n s : 11 out of 20 Monte Carlo MLE Results : Estimate Std . Error MCMC % z value Pr(>| z | ) edges −9.382 e+00 1.089 e−01 0 −86.175 < 1e−04 *** nodecov . meandist −1.292e−07 3.371 e−08 0 −3.833 0.000126 *** a b s d i f f . p o p u l a r i t y −1.618e−02 3.284 e−03 0 −4.927 < 1e−04 *** a b s d i f f . f o l l o w e r s 1.194 e−08 2.579 e−08 0 0.463 0.643396 nodematch . gender .−1 1.926 e+00 3.293 e−01 0 5.851 < 1e−04 *** nodematch . gender . 0 3.478 e−01 1.965 e−01 0 1.770 0.076773 . Goodness−of−f i t f o r edgewise shared partner STERGM p o p u l a r i t y 16092.87 15023.48 16140.46 17764.91 0.94 a b s d i f f . f o l l o w e r s 631702714.34 538012952.78 636527414.86 770413121.94 1.00 nodematch . gender .−1 20.00 13.00 20.16 28.00 1.00 nodematch . gender . 0 68.00 56.00 68.37 80.00 1.00 nodematch . gender . 1 384.00 361.00 385.54 424.00 1.00 The results of all formation models of the STERGM fit to the data from 2000-2017. In the “ILVs”, or individual-level variables, column the numbers correspond to the variables included in the model (1: gender; 2: popularity; 3: followers; 4: mean distance). ILVs AIC deltaAIC 1 2 3 14194.16 0.00000 1 2 3 4 14196.11 1.94688 2 3 14365.84 171.67787 2 3 4 14367.30 173.13943 1 2 14409.22 215.06168 1 2 4 14410.98 216.82145 1 3 14563.71 369.55351 1 3 4 14565.71 371.55212 2 14599.55 405.39275 2 4 14600.59 406.43284 1 14636.97 442.80822 1 4 14638.95 444.78763 3 14748.97 554.80763 3 4 14750.71 556.55346 0 14836.01 641.84666 4 14837.57 643.40921 ILVs AIC deltaAIC 1 2 3 14194.16 0.00000 1 2 3 4 14196.11 1.94688 2 3 14365.84 171.67787 2 3 4 14367.30 173.13943 1 2 14409.22 215.06168 1 2 4 14410.98 216.82145 1 3 14563.71 369.55351 1 3 4 14565.71 371.55212 2 14599.55 405.39275 2 4 14600.59 406.43284 1 14636.97 442.80822 1 4 14638.95 444.78763 3 14748.97 554.80763 3 4 14750.71 556.55346 0 14836.01 641.84666 4 14837.57 643.40921 The results of the best-fitting formation model of the STERGM with the most individual-level variables fit to the data from 2000-2017. ===================== Summary of model f i t Formula : y . form ˜ edges + nodecov (” meandist ”) + a b s d i f f (” p o p u l a r i t y ”) + a b s d i f f (” f o l l o w e r s ”) + nodematch (” gender ” , d i f f = TRUE) <environment : 0x1ad107308> I t e r a t i o n s : 10 out of 20 Monte Carlo MLE Results : Estimate Std . Error MCMC % z value Pr(>| z | ) edges −8.530 e+00 7.639 e−02 0 −111.660 < 1e−04 *** nodecov . meandist −3.907e−09 1.702 e−08 0 −0.230 0.81847 a b s d i f f . p o p u l a r i t y −4.764e−02 2.799 e−03 0 −17.022 < 1e−04 *** a b s d i f f . f o l l o w e r s 1.726 e−07 9.188 e−09 0 18.786 < 1e−04 *** nodematch . gender .−1 8.030 e−01 3.605 e−01 0 2.227 0.02592 * nodematch . gender . 0 −7.953e−01 2.582 e−01 0 −3.080 0.00207 ** nodematch . gender . 1 8.877 e−01 7.878 e−02 0 11.269 < 1e−04 *** −−− S i g n i f . codes : 0 ’*** ’ 0.001 ’** ’ 0.01 ’* ’ 0.05 ’ . ’ 0.1 ’ ’ 1 Null Deviance : 7195553 on 5190494 degrees of freedom Residual Deviance : 14182 on 5190487 degrees of freedom AIC : 14196 BIC : 14290 ( Smaller i s b e t t e r . ) Formula : y . form ˜ edges + nodecov (” meandist ”) + a b s d i f f (” p o p u l a r i t y ”) + a b s d i f f (” f o l l o w e r s ”) + nodematch (” gender ” , d i f f = TRUE) <environment : 0x1ad107308> Formula : y . STERGM ’ 0.1 ’ ’ 1 Null Deviance : 6349494 on 4580192 degrees of freedom Residual Deviance : 7664 on 4580185 degrees of freedom AIC : 7678 BIC : 7772 ( Smaller i s b e t t e r . ) The results of the goodness-of-fit analysis of the formation model of the STERGM with the most individual-level variables fit to the data from 1984-1999. The results of the goodness-of-fit analysis of the formation model of the STERGM with the most individual-level variables fit to the data from 1984-1999. obs min mean max MC p−value 0 10698 10388 10484.50 10553 0.00 1 801 1032 1101.97 1200 0.00 2 148 89 104.41 126 0.00 3 43 16 20.71 29 0.00 4 15 5 8.01 11 0.00 5 0 0 0.38 2 1.00 6 6 0 0.95 2 0.00 7 1 0 0.07 1 0.14 8 12 4 6.55 7 0.00 9 1 0 0.42 3 0.62 10 1 0 0.03 1 0.06 11 2 0 0.91 1 0.00 12 2 0 1.00 2 0.14 13 0 0 0.08 1 1.00 14 0 0 0.01 1 1.00 Goodness−of−f i t f o r edgewise shared partner Goodness−of−f i t f o r edgewise shared partner Goodness−of−f i t f o r edgewise shared partner 3 esp0 533 608 645.34 700 0 esp1 92 43 43.01 44 0 esp2 42 19 19.01 20 0 esp3 6 3 3.00 3 0 esp7 71 36 36.00 36 0 esp8 1 0 0.00 0 0 Goodness−of−f i t f o r minimum g e o d e s i c d i s t a n c e Goodness−of−f i t f o r minimum g e o d e s i c d i s t a n c e obs min mean max MC p−value 1 745 709 746.36 801 0.92 2 421 186 212.11 249 0.00 3 243 46 67.21 102 0.00 4 138 14 22.30 45 0.00 5 60 6 8.67 22 0.00 6 19 0 1.07 7 0.00 7 5 0 0.06 3 0.00 I n f 68788954 68789399 68789527.22 68789605 0.00 obs min mean max MC p−value edges 745.00 709.00 746.36 801.00 0.92 nodecov . meandist −298388294.47 −366967354.28 −300622250.67 −216526380.89 0.94 a b s d i f f . ===================== Summary of model f i t Goodness−of−f i t f o r degree Goodness−of−f i t f o r edgewise shared partner obs min mean max MC p−value esp0 1176 1324 1379.71 1458 0 esp1 294 144 144.42 147 0 esp2 75 35 36.03 37 0 esp3 22 10 10.02 11 0 Goodness−of−f i t f o r minimum g e o d e s i c d i s t a n c e obs min mean max MC p−value edges 1567.00 1514.00 1570.18 1.648000 e+03 0.90 nodecov . meandist −52499302.28 −196776194.24 −55329463.86 1.010890 e+08 0.96 a b s d i f f . p o p u l a r i t y 25911.58 24355.87 25912.42 2.714093 e+04 0.98 a b s d i f f . f o l l o w e r s 2958736083.69 2685506866.45 2938426320.54 3.215706 e+09 0.86 nodematch . gender .−1 16.00 10.00 16.04 2.400000 e+01 1.00 nodematch . gender . 0 31.00 23.00 31.33 4.200000 e+01 1.00 nodematch . gender . 1 1012.00 956.00 1014.21 1.069000 e+03 0.94 The results of the formation models of the STERGM with all individual-level variables assum The results of the formation models of the STERGM with all individual-level variables assuming different transition years. The top and bottom tables show the results for before and after each transition year. The number of unique artists in each time period is included in the second row. Regardless of the transition year, mean distance and gender (F and M) had the same significance pattern and direction of effect observed in the main analysis. The results for popularity only varied from the main analysis in the first time period when the transition year was 1994 or 1996, which could be the result of lower sample sizes. The results for followers were consistent with the main analysis in the second time period, but fluctuated dramatically across transition years in the first time period. ===================== Summary of model f i t form ˜ edges + nodecov (” meandist ”) + a b s d i f f (” p o p u l a r i t y ”) + a b s d i f f (” f o l l o w e r s ”) + nodematch (” gender ” , d i f f = TRUE) <environment : 0x1ad107308> I t e r a t i o n s : 10 out of 20 Monte Carlo MLE Results : Estimate Std . Error MCMC % z value Pr(>| z | ) edges −8.530 e+00 7.639 e−02 0 −111.660 < 1e−04 *** nodecov . meandist −3.907e−09 1.702 e−08 0 −0.230 0.81847 a b s d i f f . p o p u l a r i t y −4.764e−02 2.799 e−03 0 −17.022 < 1e−04 *** a b s d i f f . f o l l o w e r s 1.726 e−07 9.188 e−09 0 18.786 < 1e−04 *** nodematch . gender .−1 8.030 e−01 3.605 e−01 0 2.227 0.02592 * nodematch . gender . 0 −7.953e−01 2.582 e−01 0 −3.080 0.00207 ** nodematch . gender . 1 8.877 e−01 7.878 e−02 0 11.269 < 1e−04 *** −−− S i g n i f codes : 0 ’*** ’ 0 001 ’** ’ 0 01 ’* ’ 0 05 ’ ’ 0 1 ’ ’ 1 −−− S i g n i f . codes : 0 ’*** ’ 0.001 ’** ’ 0.01 ’* ’ 0.05 ’ . ’ 0.1 ’ ’ 1 Null Deviance : 7195553 on 5190494 degrees of freedom Residual Deviance : 14182 on 5190487 degrees of freedom Null Deviance : 7195553 on 5190494 degrees of freedom Residual Deviance : 14182 on 5190487 degrees of freedom AIC : 14196 BIC : 14290 ( Smaller i s b e t t e r . ) 4 The results of the goodness-of-fit analysis of the formation model of the STERGM with the most individual-level variables fit to the data from 2000-2017 are below. The results of the goodness-of-fit analysis of the formation model of the STERGM with the most individual-level variables fit to the data from 2000-2017 are below. The results of the goodness-of-fit analysis of the formation model of the STERGM with the most individual-level variables fit to the data from 2000-2017 are below. ===================== Summary of model f i t Pre −1994 Pre −1996 Pre −1998 Pre −2000 n = 205 n = 286 n = 370 n = 450 Estimate p−value Estimate p−value Estimate p−value Estimate p−value Mean Distance −2.0e−07 9.0 e−04 −1.0e−07 1.1 e−02 −1.1e−07 3.2 e−03 −1.3e−07 1.3 e−04 Popularity −5.1e−03 2.9 e−01 −5.9e−03 1.6 e−01 −1.2e−02 1.5 e−03 −1.6e−02 8.4 e−07 Followers −2.3e−07 8.0 e−03 −2.4e−07 1.9 e−03 −8.3e−08 5.5 e−02 1.2 e−08 6.4 e−01 Gender (F) 1.5 e+00 1.0 e−02 1.3 e+00 3.1 e−02 1.3 e+00 1.3 e−02 1.9 e+00 4.9 e−09 Gender (M) 5.8 e−02 7.3 e−01 2.6 e−01 7.4 e−02 4.7 e−01 1.4 e−04 5.3 e−01 2.0 e−06 Pre −2002 Pre −2004 Pre −2006 n = 520 n = 593 n = 659 Estimate p−value Estimate p−value Estimate p−value −1.1e−07 1.6 e−04 −1.2e−07 1.2 e−05 −1.1e−07 2.0 e−05 −1.8e−02 1.7 e−09 −2.0e−02 9.9 e−13 −2.2e−02 4.4 e−17 2.8 e−08 2.0 e−01 3.9 e−08 4.3 e−02 4.6 e−08 8.0 e−03 1.8 e+00 5.1 e−09 1.7 e+00 6.1 e−08 1.5 e+00 1.6 e−06 5.7 e−01 2.0 e−08 6.7 e−01 5.8 e−13 6.7 e−01 7.5 e−15 Pre −2002 Pre −2004 Pre −2006 n = 520 n = 593 n = 659 Estimate p−value Estimate p−value Estimate p−value −1.1e−07 1.6 e−04 −1.2e−07 1.2 e−05 −1.1e−07 2.0 e−05 −1.8e−02 1.7 e−09 −2.0e−02 9.9 e−13 −2.2e−02 4.4 e−17 2.8 e−08 2.0 e−01 3.9 e−08 4.3 e−02 4.6 e−08 8.0 e−03 1.8 e+00 5.1 e−09 1.7 e+00 6.1 e−08 1.5 e+00 1.6 e−06 5.7 e−01 2.0 e−08 6.7 e−01 5.8 e−13 6.7 e−01 7.5 e−15 5 Post −1994 Post −1996 Post −1998 Post −2000 n = 876 n = 836 n = 781 n = 725 Estimate p−value Estimate p−value Estimate p−value Estimate p−value Mean Distance −2.0e−08 2.1 e−01 −2.2e−08 1.7 e−01 −9.3e−09 5.8 e−01 −3.9e−09 8.2 e−01 Popularity −4.3e−02 9.3 e−72 −4.4e−02 2.4 e−70 −4.7e−02 1.7 e−68 −4.8e−02 5.7 e−65 Followers 1.6 e−07 2.6 e−74 1.6 e−07 1.6 e−77 1.7 e−07 1.1 e−75 1.7 e−07 9.9 e−79 Gender (F) 1.3 e+00 3.7 e−07 1.3 e+00 9.2 e−07 8.3 e−01 1.4 e−02 8.0 e−01 2.6 e−02 Gender (M) 8.9 e−01 7.3 e−37 9.0 e−01 2.0 e−35 8.6 e−01 2.8 e−30 8.9 e−01 1.9 e−29 Post −2002 Post −2004 Post −2006 n = 667 n = 607 n = 544 Estimate p−value Estimate p−value Estimate p−value 1.2 e−09 9.4 e−01 1.7 e−08 3.4 e−01 2.2 e−08 2.6 e−01 −4.9e−02 3.4 e−61 −5.3e−02 2.4 e−58 −5.5e−02 3.1 e−52 1.8 e−07 3.2 e−77 1.9 e−07 1.9 e−81 2.0 e−07 1.2 e−83 8.7 e−01 1.5 e−02 9.7 e−01 7.6 e−03 1.2 e+00 1.4 e−03 8.6 e−01 1.5 e−25 8.4 e−01 4.7 e−21 9.2 e−01 5.6 e−21 6 6
https://openalex.org/W3208432688
https://link.springer.com/content/pdf/10.1007/s10811-021-02628-4.pdf
English
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Improving fermentation of Saccharina latissima and Alaria esculenta silages with additives for preserving biomass and antioxidants
Journal of applied phycology
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cc-by
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* Margarita Novoa‑Garrido margarita.novoa-garrido@nord.no Abstract Rapid deterioration of harvested macroalgal biomass is a challenge for macroalgal industry and can be overcome with the inexpensive ensiling preservation. To improve silage quality, Saccharina latissima and Alaria esculenta biomass was sub- jected to ensiling conditions following a 2 × 4 factorial design, with 2 prewilting treatments (no-prewilting and prewilted to 300 g DM ­kg−1 fresh biomass) and 4 additive treatments (no additive, formic acid, single and two species of Lactobacillus inoculant), and ensiled for 3 or 12 months at 15 °C. Acetate was the main fermentation product in these seaweed silages. Prewilting reduced the acetate, mannitol, and ­NH3 content in silages. In S. latissima silages without additives, prewilting led to less acidification (pH = 5.7). Also, prewilting caused protein and phlorotannin degradation. When treated with formic acid, the silage pH was below 4 regardless of the biomass’s moisture content. The use of Lactobacillus spp. inoculants was essential for lactate production in seaweed silages, and it significantly lowered silage pH in S. latissima and prewilted A. esculenta compared to silages with no additives. A high level of the phlorotannin content was preserved (> 90%) in the 3-month A. esculenta silages without prewilting. However, major reduction of antioxidant activity was observed in 12-month silages in both seaweed species. In conclusion, ensiling is a viable method for preserving Alaria and Saccharina biomass. Prewilting restricted silage fermentation, and both formic acid and bacterial additives facilitated silage acidification. However, there was no clear benefit of these treatments in preserving the antioxidant activity. Keywords  Macroalgae · Saccharina latissima · Alaria esculenta · Phlorotannin · Chemical composition · Antioxidant activity Keywords  Macroalgae · Saccharina latissima · Alaria esculenta · Phlorotannin · Chemical composition · Antioxidant activity Improving fermentation of Saccharina latissima and Alaria esculenta silages with additives for preserving biomass and antioxidants Ying Yen1 · Martin Riis Weisbjerg2 · Ralf Rautenberger3 · Adriána Fečkaninová4 · Margarita Novoa‑Garrido1 Received: 12 July 2021 / Revised and accepted: 7 October 2021 / Published online: 27 October 2021 © The Author(s) 2021 Journal of Applied Phycology (2021) 34:625–636 https://doi.org/10.1007/s10811-021-02628-4 Journal of Applied Phycology (2021) 34:625–636 https://doi.org/10.1007/s10811-021-02628-4 1 Animal Science, Production and Welfare Division, Faculty of Biosciences and Aquaculture, Nord University, Post box 1490, 8049 Bodø, Norway Keywords  Macroalgae · Saccharina latissima · Alaria esculenta · Phlorotannin · Chemical composition · Antioxidant activity Experimental design Ensiling treatments followed a 2 × 2 × 4 factorial design with two prewilting treatments (no-prewilting and prewil- ted to 300 g DM ­kg−1 fresh biomass), two chopping times (20 s and 1 min), and four additive treatments (no addi- tive, formic acid, single and two species of Lactobacillus inoculant) (n = 3). However, since the chopping time did not have an effect on our results, this factor was removed, and the results were pooled for statistical analysis as a 2 × 4 factorial design (n = 6). So far, there are only a few studies available that used either chemical or LAB additives in Saccharina silages (Cabrita et al. 2017; Campbell et al. 2020; Novoa-Garrido et al. 2020). However, it is challenging to compare these results due to the differences in seaweed biomass and ensil- ing conditions. Besides, the silage production of Alaria has not been studied yet despite this alga’s commercial signifi- cance. Moreover, the effects of additives were found to dif- fer in silages made of fresh and prewilted seaweed biomass (Gallagher et al. 2021). Seaweed cultivation Ensiling is a common agricultural method to preserve forage for livestock. During ensilage, the freshly harvested biomass is preserved by anerobic fermentation in which epiphytic lactic acid bacteria (LAB) convert sugars into lactate (pKa of 3.86) and decrease the pH. The increased acidity and osmotic pressure arrest the microbial activities, and the nutrient content is preserved. Ensiling requires low mechanical and energy inputs. This is of great advantage for the preservation of harvested seaweeds in countries with climate conditions unfavorable for sun-drying and high labor costs (e.g., Norway). Moreover, ensiling potentially enables a year-round supply with biomass, batch process, and the possibility to avoid drying in several downstream processes which are designed to use wet biomass (Alvarado-Morales et al. 2013; Bach et al. 2014). Saccharina latissima and Alaria esculenta were grown at the commercial floating aquaculture facility of Lofoten Blue Harvest in Austre Vågan on Lofoten, Norway (N68, E15). The seeding material was prepared from locally col- lected parental material by Hortimare AS (Bergen, Nor- way). Ropes were seeded before deployed to the sea in October 2017, and the macroalgae were allowed to grow for 8 months until they were harvested in June 2018. The biomass was washed with seawater on the vessel right after harvest and then packed in Styrofoam boxes to be trans- ported (4–7 °C) to the Research Station of Nord University in Bodø. Upon arrival and within 24 h after harvest, the macroalgae were transferred to 600 L water tanks with running seawater set to 7 ±  1 °C and constant aeration to mitigate potential degradation. The macroalgae were maintained at 150 µmol photons ­m−2 ­s−1, measured at the water surface of the tanks, until further treated for silage preparation within 48 h. However, studies have shown difficulties in reaching adequate acidification of silage with the brown seaweeds Ascophyllum nodosum and Fucus vesiculosus due to the high moisture content, low fermentable carbohydrates, and lack of the natural epiphytic LAB (Black 1955; Herrmann et al. 2015; Campbell et al. 2020). For Saccharina, the high carbon to nitrogen ratio (C:N) of the biomass supports an adequate fermentation activity to reach a low silage pH, but nutrients losses were reported during ensilage (Herrmann et al. 2015; Cabrita et al. 2017; Campbell et al. 2020). Hence, common management strategies of moisture reduc- tion and the use of silage additives were recommended to improve silage quality (Herrmann et al. 2015). Introduction valuable components for feed, food, pharmaceuticals, and biofuels application (Penalver et al. 2020). In particular, large amounts of brown seaweeds are processed into bioactive extracts for food and pharmaceuticals industry due to its antioxidant properties (Cherry et al. 2019; Penalver et al. 2020). In feed, seaweed extracts are included in the diets of monogastric animals for health benefits, and the dairy industry is exploring the use of intact seaweeds as alternative feed ingredients (Makkar et al. 2016; Gaillard et al. 2018). Ecologically, macroalgae aquaculture is a sustainable production of biomass with the advantages of not requiring fertilizer, arable land, or freshwater. The commercial cultivation of seaweeds is a globally growing industry, which accounted with 32.3 million tonnes of fresh weight for 28% of the entire aquaculture sector worldwide (FAO 2020). In Norway, there is a growing aquaculture activity for the two brown macroalgae Saccharina latissima (thereafter called Saccharina) and Alaria esculenta (thereafter called Alaria), with an estimated potential of producing 150–200 Brown marine macroalgae or seaweeds are characterized by their fast growth and their high contents in carbohydrates (e.g., alginate), minerals, and phlorotannin, which are 1 Animal Science, Production and Welfare Division, Faculty of Biosciences and Aquaculture, Nord University, Post box 1490, 8049 Bodø, Norway 2 Department of Animal Science, AU‑Foulum, Aarhus University, 8830 Tjele, Denmark 3 Division of Food Production and Society, Norwegian Institute of Bioeconomy Research (NIBIO), Postbox 115, 1431 Ås, Norway 4 Department of Pharmaceutical Technology, Pharmacognosy and Botany, University of Veterinary Medicine and Pharmacy in Košice, Kosice, Slovakia (0121 3456789) 3 Journal of Applied Phycology (2021) 34:625–636 626 Material and method Seaweed cultivation t fresh biomass per hectare per year (Broch et al. 2019; Fiskeridirektoratet 2020). Meanwhile, the rapid post-harvest deterioration of macroalgal biomass is a known limitation to its further utilization as nutrients and bioactive ingredients. Chemical composition analysis butcher’s cutter (TONDO5, ADE Germany GmbH, Ger- many) in batches of 3 kg to a particle size of about 1–4 ­cm2. butcher’s cutter (TONDO5, ADE Germany GmbH, Ger- many) in batches of 3 kg to a particle size of about 1–4 ­cm2. Seaweed samples were extracted by blending 80 g of bio- mass with 750 mL of ­dH2O twice for 40 s with an inter- val break of 40 s in a 4-L blender with stainless steel con- tainer (Warning Commercial, USA). The blended juice was poured into two 50-mL tubes and centrifuged at 2300 × g for 20 min at 10 °C. Silage pH was determined by the aver- age pH of supernatant from the two tubes using pH meter (PHM240; Radiometer Medical ApS, Denmark) for each sample. For fermentation product analysis, 8 mL of super- natant was mixed with 2 mL of 25% meta-phosphoric acid (MPA) and stored at − 20 °C. Short-chain fatty acids (SCFA) including acetate, propionate, butyrate, valerate, iso-butyrate, iso-valerate, and caproate were measured by the gas chromatography methods described in Kristensen et al. (1996). Ammonia ­(NH3) content was measured using the commercial kit based on glutamate dehydrogenase (AM 1015; Randox Laboratories Ltd., UK) and the Cobas Mira auto-analyzer (Roche Diagnostics, Switzerland). L-lactate content was measured using YSI 2900 Biochemistry Ana- lyzer (YSI Inc., USA) with membrane-immobilized substrate specific oxidases (L-lactate oxidase). To measure mannitol content, the same supernatant used for measuring pH was further extracted with 1:2 water-EtOH solution under con- stant stirring. After centrifugation, the supernatant was ana- lyzed with an enzymatic fluorimetric method, equivalent to the method used for determination of glutamic acid (Larsen After chopping, 1  kg of noPW biomass and the equivalent weight of PW biomass (Alaria: 310  g, Saccharina: 280 g) were placed in vacuum plastic bags as small-scale lab silos (Lavezzini, Fiorenzuola d’Arda, Italy; dimentions 20 × 60 cm). Different additives were added to each lab silos under the following treatments, CON: no additives = control, FA: 4 g formic acid per bag (WVR, Norway), LABh: 5 × ­109 CFU Lactobacillus plantarum R2 Biocenol™ (CCM 8674) per bag, and LABm: 2.5 × ­109 CFU L. plantarum (CCM 8674) and 2.5 × ­109 CFU Lactobacillus fermentum R3 Biocenol™ (CCM 8675) per bag. Both LAB strains were isolated from the intestinal content of farmed healthy juvenile rainbow trout (Fečkaninová et  al. 2019). Silage preparation The silage preparation framework is shown in Fig. 1. Macroalgal biomass was washed in three sequential water baths with decreasing salinity: 100% seawater, 70% sea- water and freshwater (10 s at each step). Some of the excess water was drained by hand squeezing. Pre-ensiling samples were collected before washing (n = 1) and after draining (n = 1) and stored at − 40 °C until further analy- sis. For the prewilting treatment, half of the washed and drained biomass was processed with its original moisture content (noPW). The other half of the washed and drained biomass was oven-dried at 37 ± 4 °C (using a fan) to reach approximately 300 g dry matter per kg biomass (PW). The PW and noPW biomass were then chopped using a The aim of the present study was to increase our knowl- edge of ensiled seaweed biomass with respect to its quality (fermentation pattern), antioxidant activity, and chemical composition in the different ensiling conditions, managed by means of moisture reduction (prewilting) and the use of common ensiling additives, in order to make a decisive approach towards ensiling. One hypothesis tested was that LAB additive will promote the lactic fermentation process in seaweed biomass. A second hypothesis tested was that lower moisture content will substantially affect the fermen- tation pattern. 1 3 3 Journal of Applied Phycology (2021) 34:625–636 627 Fig. 1   The silage preparation framework per seaweed species Fig. 1   The silage preparation framework per seaweed species Chemical characteristics of pre‑ensiling seaweeds Pre-ensiling and ensiled seaweed samples (3 and 12 months) were freeze dried at − 55 °C, milled to pass 1.0-mm screen using a cell mill (Cyclotec 193 Sample Mill; Tecator, Swe- den), and extracted by mixing 50–150 mg of milled powder with 1 mL of 70% (v/v) aqueous acetone with constant shak- ing at room temperature for 60 min, followed by centrifu- gation (10,000 × g, 6 min, 4 °C). The extraction step was repeated four to six times to extract more than 95% of the soluble phlorotannins from the macroalgal samples accord- ing to Koivikko et al. (2005). The collected supernatant was used to measure the total soluble phlorotannins (TSP) and the 2,2-diphenyl-1-picrylhydrazyl (DPPH) radical scaveng- ing capacity, photometrically using Multiskan Sky micro- plate spectrophotometer (Thermo Scientific, USA). The absorbance was read at 730 nm for TSP assay and 520 nm for DPPH assay. The TSP contents were analyzed follow- ing a modified protocol described by Rautenberger et al. (2015), using phloroglucinol to set up the standard curve. Briefly, the extract was incubated with freshly prepared 1 N Folin-Ciocalteu phenol reagent (Merck KGaA, Germany) for 5 min, and then, the 20% (w/v) ­NaCO3 was added to the mixture and incubated for 60 min at room temperature. The DPPH assay was performed following the Rautenberger et al. (2015), modified from Fukumoto and Mazza (2000). Briefly, the extract was diluted to different concentrations (1:1–1:160) using 70% (v/v) acetone and incubated with The average DM content (n = 3) was 93.1 ± 6.8 g ­kg−1 fresh matter in Alaria, and 84.3 ± 4.9 g ­kg−1 fresh matter in Saccharina before washing. The pH was neutral, and the C and mannitol contents were similar in both seaweed species (Table 1). In Alaria, the N and aNDF contents were 2 times higher, the TSP content was 4 times higher, and the DPPH radical scavenging capacity was 18 times stronger compared to Saccharina (Table 1). Washing and draining numerically reduced the ash content from 33.1 to 29.9% DM in Alaria, and from 28.7 to 23.9% DM in Saccharina. Statistics Data was subjected to two-way analysis of variance with the fixed effects of silage additive treatment, prewilting treat- ment, and their interactions using the analysis of variance model (aov) program of R studio (Version 1.2.5033, RStu- dio, Inc., USA). As mentioned above, the fixed effect of chopping time (20 s, 1 min) from the original design was omitted from the original model, and there were 6 replicates per treatments. For TSP and DPPH-IC50, the storage time (3 and 12 months) was included as the third fixed effect, with- out their interaction in the model. Effects were considered significant when p value ≤ 0.05, and a trend when 0.05 ≤ p value ≤ 0.10. Differences between means within the sepa- rated level of the prewilting treatments were tested using the Tukey’s multiple comparison test (p < 0.05). The data are presented as mean ± standard deviation from the biological replicates unless otherwise stated. Chemical composition analysis For iodine, the extraction was carried out with tetramethylammonium hydroxide. The iAs was deter- mined using hydride generation atomic absorption spectrom- etry (HG-AAS). Chemical composition analysis The LAB inoculants were prepared fresh prior to ensiling. After adding the additives, the lab silos were gently massaged by hand to homogenize the macroalgal material with the ensiling additives, and vacuum-sealed using a heat- sealing mechanism. All silages were ensiled in the dark in a temperature-controlled room at 15 ±  1 °C for 3 or 12 months, simulating summer temperature conditions in Norway. At each sampling time, six lab silos per treatment were opened to terminate fermentation, and the biomass was transferred to another bag and stored at − 40 °C until further analysis. 1 3 1 3 628 Journal of Applied Phycology (2021) 34:625–636 freshly prepared 165 µM DPPH (Sigma-Aldrich, Germany) for 18 h in dark at room temperature. The 50% inhibition of DPPH radical reduction (DPPH-IC50) was calculated and expresses as mg DM seaweed ­mL−1 DPPH. freshly prepared 165 µM DPPH (Sigma-Aldrich, Germany) for 18 h in dark at room temperature. The 50% inhibition of DPPH radical reduction (DPPH-IC50) was calculated and expresses as mg DM seaweed ­mL−1 DPPH. freshly prepared 165 µM DPPH (Sigma-Aldrich, Germany) for 18 h in dark at room temperature. The 50% inhibition of DPPH radical reduction (DPPH-IC50) was calculated and expresses as mg DM seaweed ­mL−1 DPPH. and Fernández 2017), to determine D-mannitol concentra- tion after reaction with mannitol dehydrogenase. Dry matter (DM) content was determined by freeze drying the frozen samples (− 82 °C, 0.77 mbar). Dried samples from the same treatments were pooled together and milled to pass 1.0 mm filter for ash, nitrogen (N), carbon (C), and neutral deter- gent fiber (aNDF) analysis. Crude ash was determined after incinerated at 525 °C for 6 h (AOAC International, 2000). N and C content was measured by the Dumas method (Hansen, 1989), using Vario MAX CN (Elementar Analysesysteme GmbH, Germany). The aNDF content was analyzed using neutral detergent extraction according to Mertens (2002) with a Fibertec M6 System (Foss, Denmark) using heat-sta- ble amylase and corrected for ash. The iodine (I) and heavy metal contents including lead (Pb), cadmium (Cd), mercury (Hg), arsenic (As), and inorganic As (iAs) were measured in a commercial laboratory by the inductively coupled plasma (ICP-MS) method. To make extracts, 1 g of freeze-dried samples were mixed with acid solution (39% ­HNO3 + 1.8% HCl) followed by a pressured microwave digestion (up to 235 °C, 1.5 to 2 h). Silage pH, fermentation products, and mannitol content in 3‑month silages plantarum and 2.5 × ­109 CFU Lactobacillus fermentum per silo bag 2 Dry matter = g ­kg−1 fresh matter 3 a,b,c—Mean values with different superscripts differed in PW or noPW treatment, respectively (p < 0.05) 4 Total SCFA = Ac + Llac + Pr + Bu + Cap + Val + IBu + Ival 5 n.d.: not detected, entered in the analysis with the value zero 6 DPPH-IC50: the 50% inhibition of DPPH radical reduction (mg DM seaweed ­mL−1 DPPH) Without prewilting (noPW) Prewilted (PW) p-value Item CON FA LABh LABm CON FA LABh LABm SEM Additive Prewilting Interaction   ­DM2 112a3 123b 120ab 113a 301 302 291 288 3.54 0.015  < 0.001 0.080 Parameters in silage extracts at 3 months (g ­kg−1 DM)   pH 4.84b 3.69a 4.54b 4.62b 4.68c 3.55a 4.46b 4.42b 0.072  < 0.001 0.006 0.866   Total ­SCFA4 29.6b 19.2a 24.6ab 25.9b 10.0a 8.22a 17.5b 15.9b 1.09  < 0.001  < 0.001  < 0.001   Acetate 25.5c 18.8a 22.5b 23.8bc 9.04b 7.66ab 7.88ab 6.38a 0.602  < 0.001  < 0.001  < 0.001   L-lactate 0.019a 0.031a 0.807b 0.461ab 0.311a 0.015a 8.83b 8.96b 0.345  < 0.001  < 0.001  < 0.001   Propionate 3.5 n.d.5 0.921 1.07 n.d n.d n.d n.d 0.763 0.141 0.015 0.141   Butyrate n.d n.d n.d n.d n.d n.d 0.211 n.d 0.075 0.403 0.323 0.403   Caproate 0.564 0.332 0.347 0.552 0.205 0.1 0.137 0.14 0.061 0.022  < 0.001 0.286   Valerate n.d n.d n.d n.d n.d n.d n.d n.d - - - -   Iso-butyrate n.d n.d n.d n.d 0.225 0.222 0.232 0.19 0.014 0.455  < 0.001 0.455   Iso-valerate n.d n.d n.d n.d 0.227 0.225 0.233 0.192 0.014 0.453  < 0.001 0.453   ­NH3 0.126b 0.004a 0.041a 0.041a 0.001 n.d n.d n.d 0.009  < 0.001  < 0.001  < 0.001   Mannitol 123.9 110.4 105.4 109.1 50.7 50.5 41.7 41.1 4.52 0.018  < 0.001 0.499 Total soluble phlorotannins and antioxidant activity at 3 months   TSP (g ­kg−1 DM) 27.1b 24a 25.6ab 25.4ab 14.5 13.6 12.5 13.1 0.689 0.024  < 0.001 0.211   DPPH-IC50 6 3.29a 5.51b 6.36b 6.6b 37.0 25.7 44.8 36.7 4.04 0.118  < 0.001 0.157 Total soluble phlorotannins and antioxidant activity at 12 months   TSP (g ­kg−1 DM) 7.26b 4.9a 5.76a 5.51a 4.08 3.53 3.51 3.69 0.229  < 0.001  < 0.001 0.002   DPPH-IC50 10.3a 38c 21.8b 29.5bc 59.7b 27.4a 66.4b 61.5b 5.49 0.056  < 0.001  < 0.001 Table 2   Characteristics of Alaria esculenta ­silages1 (n = 6) with a significantly lower content of total SCFA, acetate, propionate, and ­NH3 compared to CON. Silage pH, fermentation products, and mannitol content in 3‑month silages The silage pH and fermentation products were signifi- cantly affected by prewilting and silage additives (Tables 2 and 3). The total SCFA content was lower in PW-Alaria (noPW: 24.8 ± 4.3 g ­kg−1 DM, PW: 12.9 ± 4.5 g ­kg−1 DM), and PW-Saccharina (noPW:37.9 ± 8.8 g ­kg−1 DM, PW: 13.6 ± 4.3 g ­kg−1 DM). This reduction of total SCFA content led to a higher pH in Saccharina-CON (noPW: 4.56, PW: 5.71), but not in Alaria-CON (noPW: 4.84, PW: 4.68). The mannitol content was also lower in the PW-Alaria (noPW: 112.2 ± 14.2 g ­kg−1 DM, PW: 46.0 ± 9.2 g ­kg−1 DM) and 1 3 3 Journal of Applied Phycology (2021) 34:625–636 Journal of Applied Phycology (2021) 34:625–636 629 Table 1   Chemical composition of pre-ensiling Alaria esculenta and Saccharina latissima (n = 1) Table 1   Chemical composition of pre-ensiling Alaria esculenta and Saccharina latissima (n = 1) aNDF amylase neutral detergent fiber, TSP total soluble phlorotannins, DPPH-IC50 the 50% inhibition of DPPH radical reduction Seaweeds pH Ash C N aNDF Mannitol TSP DPPH-IC50 (% DM) (g ­kg−1 DM) (mg DM ­mL−1) Alaria esculenta   Before washed 7.25 33.1 32.0 1.60 15.9 119 28.0 2.24   Washed and drained 6.86 29.9 32.9 1.58 16.6 137 27.9 2.21 Saccharina latissima   Before washed 6.73 28.7 30.8 0.74 7.7 165 7.03 39.3   Washed and drained 6.90 23.9 33.4 0.88 4.5 112 7.36 36.1 Table 1   Chemical composition of pre-ensiling Alaria esculenta and Saccharina latissima (n = 1) aNDF amylase neutral detergent fiber, TSP total soluble phlorotannins, DPPH-IC50 the 50% inhibition of DPPH radical reduction Table 2   Characteristics of Alaria esculenta ­silages1 (n = 6) 1 CON: no additive = control; FA: 4  g of formic acid per silo bag; LABh: 5 × ­109  CFU Lactobacillus plantarum per silo bag; LABm: 2.5 × ­109 CFU L. Silage pH, fermentation products, and mannitol content in 3‑month silages In PW-Alaria, the pH was significantly lower in FA, LABh, and LABm, and the L-lactate content was significantly higher in LABh and LABm which led to a higher content of total SCFA. In noPW-Saccharina silages, the pH and ­NH3 contents were significantly lower in FA, LABh, and LABm, and PW-Saccharina (noPW: 236.8 ± 27.1 g ­kg−1 DM, PW: 208.5 ± 23.4 g ­kg−1 DM). The iso-butyrate and iso-valerate, potentially derived from degraded protein (valine and leu- cine), were only detected in the PW silages in both seaweed species. In noPW-Alaria, the pH was similar in CON, LABh, and LABm, and the FA reached the lowest pH (3.69) 1 Journal of Applied Phycology (2021) 34:625–636 630 Table 3   Characteristics of Saccharina latissima ­silages1 (n = 6) Table 3   Characteristics of Saccharina latissima ­silages1 (n = 6) 1 CON: no additive = control; FA: 4  g of formic acid per silo bag; LABh: 5 × ­109  CFU Lactobacillus plantarum per silo bag; LABm: 2.5 × ­109 CFU L. Silage pH, fermentation products, and mannitol content in 3‑month silages plantarum and 2.5 × ­109 CFU Lactobacillus fermentum per silo bag 2 Dry matter = g ­kg−1 fresh matter 3 a,b,c—Mean values with different superscripts differed in PW or noPW treatment, respectively (p < 0.05) 4 Total SCFA = Ac + Llac + Pr + Bu + Cap + Val + IBu + Ival 5 n.d.: not detected, entered in the analysis with the value zero 6 DPPH-IC50: the 50% inhibition of DPPH radical reduction (mg DM seaweed ­mL−1 DPPH) Without prewilting (noPW) Prewilted (PW) p-Value Item CON FA LABh LABm CON FA LABh LABm SEM Additive Prewilting Interaction   ­DM2 85a3 99.9b 97.0ab 92.3ab 286.3 271.5 279.8 272.8 5.24 0.746  < 0.001 0.050 Parameters in silage extracts at 3 months (g ­kg−1 DM)   pH 4.56c 3.58a 3.97b 3.69ab 5.71c 3.49a 4.38b 4.10b 0.117  < 0.001  < 0.001  < 0.001   Total ­SCFA4 38.2b 25.3a 43.4b 44.5b 9.65a 10.1a 16.6b 18.0b 1.91  < 0.001  < 0.001 0.004   Acetate 32.2b 25.0a 26.9a 28.3ab 8.57 9.33 8.93 9.14 0.95 0.010  < 0.001 0.001   L-lactate 1.85a n.d.a5 15.4b 15.8b 0.167a 0.08a 6.73b 8.13b 0.887  < 0.001  < 0.001  < 0.001   Propionate 2.39 n.d n.d n.d n.d n.d n.d n.d 0.843 0.403 0.323 0.403   Butyrate 1.45 n.d 0.714 n.d 0.435 0.217 0.453 0.235 0.45 0.204 0.520 0.474   Caproate 0.339 0.315 0.388 0.424 0.159 0.141 0.16 0.166 0.067 0.769  < 0.001 0.911   Valerate n.d n.d n.d n.d n.d n.d n.d n.d n.d - - -   Iso-butyrate n.d n.d n.d n.d 0.098 0.107 0.125 0.128 0.021 0.87  < 0.001 0.87   Iso-valerate n.d n.d n.d n.d 0.22 0.192 0.222 0.226 0.014 0.635  < 0.001 0.635   ­NH3 0.175b 0.114a 0.129a 0.126a 0.07c 0.043a 0.054b 0.049ab 0.007  < 0.001  < 0.001 0.066   Mannitol 255 226 237 229 196 220 235 224 10.1 0.755  < 0.001 0.081 Total soluble phlorotannins and antioxidant activity at 3 months   TSP (g ­kg−1 DM) 3.65c 2.66a 3.16b 3.06b 3.22b 2.77a 2.80a 2.77a 0.062  < 0.001  < 0.001  < 0.001   DPPH-IC50 6 45.7b 39.4ab 33.7a 29.5a 84.8c 34.4a 54.5b 46.3ab 3.29  < 0.001  < 0.001  < 0.001 Total soluble phlorotannins and antioxidant activity at 12 months   TSP (g ­kg−1 DM) 1.99c 0.79a 1.80b 1.81b 1.94b 1.08a 1.34a 1.34a 0.063  < 0.001  < 0.001  < 0.001   DPPH-IC50 50.3c 57.2d 16.1a 37.6b 68.0c 32.9a 44.5b 50.8b 2.16  < 0.001  < 0.001  < 0.001 biomass to 3.0 ± 0.34 g ­kg−1 DM after 3-month storage, and to 1.5 ± 0.4 g ­kg−1 DM after 12-month storage (p < 0.001). Silage pH, fermentation products, and mannitol content in 3‑month silages The average DPPH-IC50 increased from 39.3 mg DM ­mL−1 in the pre-ensiling biomass to 46.0 ± 18.3 mg DM ­mL−1 after 3-month storage and remained at 44.7 ± 15.8 mg DM ­mL−1 after 12-month storage (p = 0.013). the total SCFA content was the lowest in FA treatment. In Saccharina-PW silages, the effects of additives were similar to the noPW silages, except for a similar content of total SCFA in CON and FA. The L-lactate content was significantly higher in LABh and LABm in both noPW- and PW-Saccharina compared to CON. g Prewilting negatively affected the TSP content the DPPH radical scavenging capacity (Tables 2 and 3). The average TSP content in noPW-Alaria was 2 times higher after 3-month storage (noPW: 25.5 ± 1.9 g ­kg−1 DM, PW: 13.4 ± 1.8 g ­kg−1 DM) and was 1.5 times higher after 12-month storage (noPW: 5.86 ± 1.9  g  ­kg−1 DM, PW: 3.7 ± 1.8 g ­kg−1 DM). The average DPPH-IC50 in PW- Alaria was 5 times higher after 3-month storage (noPW: 5.44 ± 1.5 mg DM ­mL−1, PW: 36.1 ± 14.8 mg DM ­mL−1) and was 1.5 times higher after 12-month storage (noPW: 24.9 ± 12.2 mg DM ­mL−1, PW: 36.1 ± 22.8 mg DM ­mL−1). The average TSP content in noPW-Saccharina was 8.5% higher after 3-month storage and was 15.3% higher after 12-month storage compared to PW-Saccharina. The average Discussion Silage-making is a complicated biological process where the growth of desirable bacteria (e.g. Lactobacillus spp.) compete with undesirable bacteria responsible for the biomass spoilage (e.g. Enterobacteriaceae family and Clostridium genus). The silage outcome is affected by many factors such as the moisture content, the chemical composition, and the epiphytic bacteria of the harvested biomass (McDonald et al. 1991). In this study, common silage practices of prewilting and addition of silage additives were used to overcome the The triplicates from each ensiling treatments in the original design were pooled into one sample for chemical composition analysis, and the results shown in Table 4 were the average of 2 samples, replicates resulting from the omitted factor of chopping time. The ash, C, and N contents in the silages were in the same range of those in the pre- ensiling biomass (Tables 1 and 4). The aNDF content was numerically higher in silages than in the pre-ensiling biomass Table 4   The chemical composition (n = 2), iodine (n = 1), and heavy metal content (n = 1) of Alaria esculenta and Saccharina latissima silages aNDF amylase neutral detergent fiber, I iodine content (mg ­kg−1 DM), iAS inorganic As 1 CON: no additive = control; FA: 4 g of formic acid per silo bag; LABh: 5 × ­109 CFU Lactobacillus plan- tarum per silo bag; LABm: 2.5 × ­109 CFU L. TSP and DPPH radical scavenging capacity in 3‑ and 12‑month silages There was a strong reduction in the TSP content and the DPPH radical scavenging capacity of the silages over storage time (Tables 2 and 3). In Alaria, the average TSP content decreased from 27.9 g ­kg−1 DM in the pre-ensiling bio- mass to 19.5 ± 6.4 g ­kg−1 DM after 3-month storage and to 4.8 ± 1.4 g ­kg−1 DM after 12-month storage (p < 0.001). The DPPH-IC50 value increased from 2.2 to 20.7 ± 18.6 mg DM ­mL−1 after 3-month storage and to 39.3 ± 23.3 mg DM ­mL−1 after 12-month storage (p < 0.001). In Saccharina, the TSP content decreased from 7.4 g ­kg−1 DM in the pre-ensiled 1 3 Journal of Applied Phycology (2021) 34:625–636 631 in both seaweed species (Tables 1 and 4). Furthermore, the aNDF in PW-Alaria (23.6 ± 0.4% DM) was higher than noPW-Alaria (17.6 ± 0.7% DM). For iodine and heavy metal content, all 6 replicates from each ensiling treatments were pooled for analysis and presented in Table 4. The average iodine content was higher in Alaria (931.3 mg ­kg−1 DM) than in Saccharina (628.8 mg ­kg−1 DM). The Pb, Cd, and Hg contents were numerically higher in PW-Alaria (Pb: 0.4 mg ­kg−1 DM, Cd: 1.7 mg ­kg−1 DM, Hg: 0.006 mg ­kg−1 DM), than in noPW-Alaria (Pb: 0.28 mg ­kg−1 DM, Cd: 1.5 mg ­kg−1 DM, Hg: < 0.005 mg ­kg−1 DM). The Pb content was numerically higher in PW-Saccharina (0.35 mg ­kg−1 DM) than in noPW-Saccharina (0.24 mg ­kg−1 DM). DPPH-IC50 in PW-Saccharina was 32.6% higher after 3-month storage and was 17.8% higher after 12-month stor- age compared to noPW-Saccharina. The expected negative correlation between TSP content and DPPH-IC50 values was observed only in the Alaria silages (p < 0.05), but not Saccharina silages. In noPW- Alaria, the highest TSP and lowest DPPH-IC50 were in CON silages after 3- and 12-month storage. In PW-Alaria, there was no significant difference in the TSP content, and the DPPH-IC50 was significantly lower in FA after 12-month storage. In Saccharina, the highest TSP content was found in both PW-CON and noPW-CON, and the DPPH-IC50 was significantly lower in noPW-LAB and PW-FA after 3- and 12-month storage. i 1 CON: no additive = control; FA: 4 g of formic acid per silo bag; LABh: 5 × ­109 CFU Lactobacillus plan- tarum per silo bag; LABm: 2.5 × ­109 CFU L. plantarum and 2.5 × ­109 CFU Lactobacillus fermentum per silo bag aNDF amylase neutral detergent fiber, I iodine content (mg ­kg−1 DM), iAS inorganic As Discussion plantarum and 2.5 × ­109 CFU Lactobacillus fermentum per silo bag Ensiling treatments Chemical composition (% DM) Heavy metal content (mg ­kg−1 DM) Prewilting Additives1 Ash C N aNDF I Pb Cd Hg As iAs Alaria esculenta   noPW CON 27.4 34.2 1.64 17.1 960 0.29 1.4  < 0.005 39  < 0.1 FA 26.2 34.7 1.66 18.5 1100 0.28 1.6  < 0.005 38  < 0.1 LABh 27.3 34.2 1.66 17.2 960 0.28 1.5  < 0.005 37  < 0.1 LABm 28.1 33.7 1.66 17.4 910 0.27 1.4  < 0.005 38  < 0.1   PW CON 27.9 34.8 1.91 23.7 860 0.41 1.8 0.005 34  < 0.1 FA 27.2 34.9 1.82 23.1 870 0.42 1.6 0.006 37  < 0.1 LABh 29.2 34.5 1.9 23.7 880 0.41 1.6 0.006 34  < 0.1 LABm 28.8 34.5 1.88 23.9 910 0.37 1.8 0.006 35  < 0.1 Saccharina latissima   noPW CON 27.3 31.9 0.942 11.8 670 0.25 0.56 0.026 50 0.22 FA 24.4 33.3 0.932 11.5 570 0.25 0.51 0.035 42 0.21 LABh 25.0 33.3 0.973 12.0 600 0.24 0.49 0.028 35 0.59 LABm 25.8 32.9 0.965 12.0 650 0.22 0.51 0.027 36 0.23   PW CON 25.5 32.9 0.958 11.8 630 0.34 0.48 0.026 34 0.27 FA 23.9 34.1 1.23 13.8 630 0.35 0.48 0.026 37 0.26 LABh 25.5 33.1 0.988 13.6 640 0.35 0.50 0.032 36 0.26 LABm 25.4 33.1 0.945 11.6 640 0.34 0.47 0.024 34 0.28 Table 4   The chemical composition (n = 2), iodine (n = 1), and heavy metal content (n = 1) of Alaria esculenta and Saccharina latissima silages Table 4   The chemical composition (n = 2), iodine (n = 1), and heavy metal content (n = 1) of Alaria esculenta and Saccharina latissima silages 1 632 Journal of Applied Phycology (2021) 34:625–636 Mannitol is the primary photosynthetic product in brown seaweeds and is nearly indigestible in monogastric animals with an unknown digestibility in ruminants. Meanwhile, mannitol has been widely applied in the food and pharma- ceutical industries, and thus is an interesting component to preserve (Mišurcová 2011). The mannitol content in the pre- ensiling Alaria and Saccharina (before wash) was similar to a previous study (Stévant et al. 2017). After 90-day ensil- ing storage, an unchange mannitol content was observed in the noPW-Alaria in the present study and in other brown seaweed silages reported by Herrmann et al. (2015). Pre‑ensiling biomass The DM content of pre-ensiling Alaria and Saccharina in present study was low but within the previously reported range of 5 to 36% DM in macroalgae (Zhang & Thomsen 2019) and was lower than that of the wild biomass collected in a close region (Tayyab et al. 2016; Novoa-Garrido et al. 2020). The chemical composition was within the range of the reported seasonal variation (Table 1) (Schiener et al., 2015). Rinsing the seaweed biomass with water led to a lower ash content, as observed previously, thus rinsing is recommended in the seaweed silage making procedure (Novoa-Garrido et al. 2020). The prewilting and additives treatment significantly affected the seaweed silage fermentation (p < 0.01). Reduc- ing moisture content by prewilting is a normal practice in agriculture to facilitate the fermentation process (Borreani, et al, 2018), and it makes the handling and transportation of seaweed biomass easier. When the moisture content is reduced, the silage fermentation can reach the stable stage with less acidification because of the increased osmotic pressure (McDonald et al., 1991). In the present study, the DM content (g ­kg−1 fresh matter) was 116.9 ±  7.2 in noPW-Alaria, 295.5 ±  11.9 in PW-Alaria, 93.5 ±  9.1 in noPW-Saccharina, and 277.6 ±  16.5 in PW-Saccharina. When using the earlier published equation for grass silages ‘pH = 0.00359 DM + 3.44’ (Haigh, 1987) to calculate the theoretically desirable pH, the desired pH would be about 3.8 for our noPW silages and about 4.5 for our PW silages. In noPW silages, the pH was above the desired 3.8 in CON- and LAB-Alaria, and in CON-Saccharina. In PW silages, the pH was close to the desired 4.5 in all silages but CON- Saccharina. A significant reduction of undesirable fermen- tation products (propionate, caproate, and ­NH3) was also observed in the PW silages. However, the prewilting treat- ment in the present study led to an increase of protein and TSP degradation. Further, the acetate content was reduced from a normal range of 1–3% of DM in noPW silages to below 1% of DM in PW silages, which might result in a higher spoilage risk once opened, as acetate plays an impor- tant role in aerobic stability (Danner et al. 2003). Discussion To the authors’ best knowledge, this is the first time the reduction of mannitol in PW-Alaira and the increase of mannitol in Saccharina silages is reported. These differences in the man- nitol contents between seaweed species might be explained by the different level of sugar metabolites including mannitol and fructose in different brown seaweed species as shown in the metabolome profiling (Hamid et al. 2019). The profile of these fermentable sugars can affect the mannitol content in silages, due to the ability of some microorganisms to ferment fructose to mannitol (Groisillier et al. 2013) or mannitol to lactate (Plaisance & Hammer 1921) during silage fermen- tation. Further research on the fermentable carbohydrate composition of the seaweed and seaweed silages is needed to explain the change of mannitol content during ensiling. known difficulties in ensiling macroalgal biomass (Herrmann et al. 2015; Schiener et al. 2015; Cabrita et al. 2017). The silage pH, fermentation products, and mannitol content were measured to evaluate and better understand the silage quality and fermentation process in seaweed. The TSP and DPPH scavenging capacity were measured to assess the preservation of antioxidant activity in seaweed biomass after ensiling and long-term storage. The chemical composition was measured to estimate the level of fiber (aNDF), protein (N), carbohydrate, and ash content in the silages as essential parameters to evaluate for ruminant feed application. And finally, the iodine and heavy metal contents were measured for safety concerns in feed and food applications. known difficulties in ensiling macroalgal biomass (Herrmann et al. 2015; Schiener et al. 2015; Cabrita et al. 2017). The silage pH, fermentation products, and mannitol content were measured to evaluate and better understand the silage quality and fermentation process in seaweed. The TSP and DPPH scavenging capacity were measured to assess the preservation of antioxidant activity in seaweed biomass after ensiling and long-term storage. The chemical composition was measured to estimate the level of fiber (aNDF), protein (N), carbohydrate, and ash content in the silages as essential parameters to evaluate for ruminant feed application. And finally, the iodine and heavy metal contents were measured for safety concerns in feed and food applications. TSP and DPPH radical scavenging capacity in 3‑ and 12‑month silages Thus, ensilage is less suitable for long-term storage when TSP is the tar- geted substance. However, ensilage seems promising for 3-month storage providing that the loss in TSP content remains at the level found in Alaria silages (3%), which is much better than the loss when freezing (11—16%) and drying (25—34%) reported by Obluchinskaya and Daurtseva (2020). Campbell et al. (2020) also reported an unchanged TSP content in F. vesiculosus and S. latissima silages after 3-month storage. The progressive decline in the DPPH radical scaveng- ing capacity of Saccharina and Alaria over the 12-month ensiling can be ascribed to the gradual degradation of TSP in the samples under the storage conditions. However, the TSP degradation does not necessarily reduce DPPH radical scavenging capacity in the case of the Saccharina silages with additives. This might be explained by a pos- sibly alteration of the phlorotannins’ chemical structure and/or an increase in the functional peptides in the sam- ples due to LAB fermentation (Virtanen et al. 2007; Sun et al. 2009) and soaking in the acids. Unfortunately, it was not possible to compare our results with other stud- ies on ensiled seaweeds as this is the first one conducting DPPH assay in such seaweed products. Further antioxidant activity assays and different analytical methods capable of detecting phlorotannins structures are required to con- firm and further explain this enhanced antioxidant activity in seaweed silages due to the known limitation of DPPH assay (Foti 2015; Ford et al. 2019). The interactions of prewilting and additives treatments were significant on the DM content and fermentation products (Tables 2 and 3). The DM content in FA was significantly higher than in CON in noPW silages, but not in the PW silages in both Alaria and Saccharina. The same interaction was reported in Palmaria palmata silages using acids-based additive (Gallagher et al. 2021). Also using acids-based additive was reported to increase DM density in wet grass silages (Randby & Bakken 2021). However, this interaction was not seen in our previous publication under a similar setup in Porphyra umbilicalis and S. latissima silages (Novoa-Garrido et al. 2020). Both prewilting and FA additives restricted fermentation activ- ity, indicated by a lower total SCFA and acetate content. However, a similar content in PW-CON and PW-FA indi- cated that the fermentation restriction did not intensify by combining both prewilting and FA treatments. Silage pH, fermentation products, and mannitol content There was no excessive production of propionate, butyrate, and ­NH3 in any silage, indicating limited spoiling bacterial activity, and thus a well fermented silage (Tables 2 and 3). The total SCFA was higher in Saccharina silages than in Alaria silages, as expected from Saccharina’s higher C:N ratio. However, the total fermentation products were low in both seaweed silages (0.5–5% of DM) compared to common legume silages (0.8–11% DM) reported by Kung et al. (2018), indicating a lower fermentation activity when ensiling seaweeds. Unlike terrestrial crops silages, where lactate is the major fermentation product, acetate was the major component in our seaweed silages, in accordance with results reported in a previous study (Novoa-Garrido et  al. 2020). High acetate and low lactate content in silages indicated limited lactic acid bacteria fermentation, and it can be explained by (1) the lack of epiphytic LAB in seaweed (< ­103 CFU ­g−1 fresh biomass) (Uchida et al. 2004; Herrmann et al. 2015), (2) the low fermentation temperature (15 °C) used in present study, and (3) the high moisture content of biomass (DM < 30%) which prolonged the fermentation period required for the silage pH to be sufficiently low to favor the growth of Lactobacillus spp. 1 3 3 Journal of Applied Phycology (2021) 34:625–636 633 It has been reported that applying 0.4% (w/w) formic acid could significantly reduce the silage pH to below 4.0 in Saccharina (Novoa-Garrido et al. 2020), but, to our knowledge, this is the first time such results are reported in Alaria. Our results confirmed that the use of LAB addi- tives had the benefits of facilitating lactate fermentation, regardless of using a one-strain culture or a two-strain culture, as suggested by Novoa-Garrido et al. (2020). In contrast to our findings, Herrmann et al. (2015) reported 50 g ­kg−1 DM lactate content in 3-month S. latissima silages, and a LAB growth from less than ­102 CFU ­g−1 fresh biomass to ­108 CFU ­g−1 fresh biomass. Cabrita et al. (2017) also reported a high lactate content (200 g ­kg−1 DM) in S. latissima silage after 9 weeks without the addi- tion of LAB inoculant. The difference in the fermentation patterns can be partially explained by higher ensiling tem- perature (20 °C), which is more favorable for the growth of LAB, partially by the difference in biomass composition, as well as by different silage processing methods. Silage pH, fermentation products, and mannitol content It should also be considered that in the present study, we analyzed for L-lactate instead of the total lactate content. We based our approach in earlier findings showing that the average ratio of L- and D-lactate is close to 1:1 in whole crop and grass silages, making it possible to use 2 × L-lactate as an estimate for total lactate content. However, this estimation was found to be invalid in Saccharina silages (ratio of L-lactate and total lactate: 0.09) (Johansen et al. 2020) and might not be valid for other seaweed silages as well. To verify that the L-lactate measurement was not inhibited by the complex seaweed matrix, Johansen et al. (2020) spiked seaweed samples with a known amount of L-lactate and observed full recovery. Therefore, the L-lactate content in present study is valid but does not provide information of the total lactate content in silages. was not observed in our Saccharina silages, and there is unfortunately a lack of publication for comparison. TSP and DPPH radical scavenging capacity in 3‑ and 12‑month silages Phlorotannins are oligomeric and polymeric derivatives of phloroglucinol (1,3,5-trihydroxybenzene) and are only found in brown macroalgae (Wang et al. 2009). Phloro- tannins are valuable cellular compounds to preserve in brown seaweeds storage due to their antioxidant proper- ties (Roleda et al. 2019; Gager et al. 2020). Based on the Folin-Ciocalteu assay, the TSP level in pre-ensiling Alaria was nearly 4 × higher than in Saccharina (Table 1), which is similar to previous studies where a range from 2.8 × to 5.0 × was reported (Stévant et al. 2017; Roleda et al. 2019). There was a loss of 73–88% TSP across all treatments in the 12-month silages in both seaweed species (Tables 2 and 3). The TSP loss was much higher compared to con- ventional preservation methods as freezing (− 25 °C) and air-drying (20 °C, > 85% DM), where around 25% and 50% TSP loss was observed, respectively in brown seaweeds (Obluchinskaya and Daurtseva 2020). Thus, ensilage is less suitable for long-term storage when TSP is the tar- geted substance. However, ensilage seems promising for 3-month storage providing that the loss in TSP content remains at the level found in Alaria silages (3%), which is much better than the loss when freezing (11—16%) and drying (25—34%) reported by Obluchinskaya and Daurtseva (2020). Campbell et al. (2020) also reported an unchanged TSP content in F. vesiculosus and S. latissima silages after 3-month storage. Phlorotannins are oligomeric and polymeric derivatives of phloroglucinol (1,3,5-trihydroxybenzene) and are only found in brown macroalgae (Wang et al. 2009). Phloro- tannins are valuable cellular compounds to preserve in brown seaweeds storage due to their antioxidant proper- ties (Roleda et al. 2019; Gager et al. 2020). Based on the Folin-Ciocalteu assay, the TSP level in pre-ensiling Alaria was nearly 4 × higher than in Saccharina (Table 1), which is similar to previous studies where a range from 2.8 × to 5.0 × was reported (Stévant et al. 2017; Roleda et al. 2019). p There was a loss of 73–88% TSP across all treatments in the 12-month silages in both seaweed species (Tables 2 and 3). The TSP loss was much higher compared to con- ventional preservation methods as freezing (− 25 °C) and air-drying (20 °C, > 85% DM), where around 25% and 50% TSP loss was observed, respectively in brown seaweeds (Obluchinskaya and Daurtseva 2020). Conclusions The results suggest that ensiling is a viable method for pre- serving Alaria and Saccharina biomass. The ensiling out- comes were significantly affected by prewilting and additive treatments (p < 0.001). In Alaria, prewilting led to a desir- able silage pH of 4.5, a reduction of acetate, proprionate and ­NH3, and higher production of L-lactate in the LAB treatments. In Saccharina, a reduction of acetate, L-lactate, caproate, and ­NH3 was observed in PW treatment, and it led to insufficient silage acidification (pH = 5.7) when no addi- tive was applied. Unfortunately, the prewilting process in the present study caused protein and TSP degradation, and a nymerically higher aNDF content indicated the losses of other small molecules. Future studies on alternative mois- ture reduction methods are therefore needed to minimize the loss. The silage pH dropped to below 3.8 when ensiled with FA in both noPW and PW silages. Adding FA also reduced the acetate and ­NH3 content in noPW silages. Adding LAB inoculant enabled lactate production except in the noPW- Alaria. The antioxidant activity was preserved at a promis- ing level (> 90%) in noPW-Alaria after 3-month storage; however, major loss of antioxidant activity was observed after 12-month storage in both seaweed silages. The prewilt- ing and additive treatment appeared to negatively affect the TSP preservation, and the FA and LAB additive appeared to enhance the DPPH radical scanvenging capacity in Saccha- rina silages. Further studies on the carbyhydrate and phloro- tannin composition in the silages are needed to explain these changes during ensiling. Seaweeds can accumulate heavy metals from its sur- rounding seawater and post a risk to human and animal health when being consumed. The European Union has established recommendations for the maximum levels of heavy metal contents in seaweed in food and feed products in the Official Journal of the European Union (OJEU L78/16, 2018). Following the recommendation, the present study measured the Pb, Cd, Hg, As, and inorganic As content in the silages (Table 4). The level of Hg and Pb in present study was low and is in accordance with previous records of Saccharina and Alaria collected in the Norwegian coasts (Biancarosa et al. 2018; Afonso et al. 2020). The total As content was generally high, but this could be mainly ascribed to the less toxic organic As since iAs was less than 5% of total, which is commonly observed in marine organisms. TSP and DPPH radical scavenging capacity in 3‑ and 12‑month silages Finally, the use of LAB inoculants facilitated lactate production in PW-Alaria, however, not in noPW-Alaria. This interaction 1 3 3 634 Journal of Applied Phycology (2021) 34:625–636 2018; Afonso et al. 2020). If our silages were subjected to whole food application, the safe consumption level will be limited to 2 g DM per week, according to the recommend iodine consumption for an adult person (Russel 2001). Chemical composition, iodine, and heavy metal composition The aNDF content, which measures the leftover fiber after dissolving protein, sugars, lipids, and other substance in neutral detergent, is routinely analyzed in ruminant feed ingredients as it affects the energy concentration in the feed. Compared to the aNDF content reported in whole plant corn and corn silages (> 400 g ­kg−1 DM), the aNDF content in our seaweeds and seaweed silages were low, likely due to a different cell wall structure (Gheller et al. 2021). Compared to the pre-ensiling seaweed biomass, the aNDF content was higher in the seaweed silages as seen in previous study (Novoa-Garrido et al. 2020), indicated substance losses dur- ing ensiling process. Moreover, loss of small molecules dur- ing prewilting might led to the much higher aNDF content in the PW treatment in Alaria. It is worth noting that the higher content of both TSP and aNDF in Alaria has pre- viously been reported to be unfavorable for rumen diges- tion (Campbell et al. 2020). Further studies are needed to investigate the protein and fiber digestibility of seaweeds in ruminant animals. The prewilting treatment led to numerically higher con- tent of Pb, Cd, and Hg in Alaria, and higher content of Pb in Saccharina. However, the content of heavy metals and iodine were not expected to change during ensilage, as these elements are not supposed to disappear due to silage fer- mentation. Thus, the differences in concentration between treatments were likely due to the losses of chemical com- pounds in the effluents or during the prewilting process. Additionally, the concentration of heavy metals and iodine in the DM based unit are expected to be slightly higher than the pre-ensiling biomass due to the loss of carbon in ­CO2 format during fermentation. Due to the lack of this data on pre-ensiling biomass, the exact change was not available. 3 Conclusions On the other hand, careful attention should be paid to the Cd content as it was found to exceed the maximum levels regulated by the EU recommendation (OJEU L78/16, 2018) in sample of all silages. Brown seaweed is a natural source for dietary iodine. Iodine is an essential mineral for thyroid hormones syn- thesis, but both deficient and excessive iodine intake can disturb the body metabolism (Rohner et al. 2014). In the present study, the iodine content of Saccharina silages (630 mg ­kg−1 DM) was relatively low compared to the con- centrations reported in other investigations, where levels above 2000 mg ­kg−1 DM and up to 4600 mg ­kg−1 DM have been reported in both wild harvested and cultivated biomass from central and northern Norway, while a high iodine con- tent was found in Alaria silages (930 mg ­kg−1 DM) com- pared to other studies (Biancarosa et al. 2018; Roleda et al. Acknowledgements  The farmed seaweeds were kindly provided by our industry collaborator Lofoten Blue Harvest. We thank Heidi Hovland Ludviksen, Ingvild Berg, and Bente Sunde from the Faculty 3 635 Journal of Applied Phycology (2021) 34:625–636 of Biosciences and Aquaculture at Nord University for their help in processing the seaweed biomass prior to ensiling, and to Per Magnus Hansen from the Norwegian Institute of Bioeconomy Research for his help in making silages and sample preparation for the antioxidant analysis. Campbell M, Ortuño J, Ford L, Davies DR, Koidis A, Walsh PJ, Theodoridou K (2020) The effect of ensiling on the nutritional composition and fermentation characteristics of brown seaweeds as a ruminant feed ingredient. Animals 10:1019 Cherry P, Yadav S, Strain CR, Allsopp PJ, McSorley EM, Ross RP, Stanton C (2019) Prebiotics from seaweeds: an ocean of opportu- nity? Mar Drugs 17:327 Funding  Open access funding provided by Nord University. This study has been funded by a grant from MABIT (program for Marine Biotech- nology in northern Norway) project number AF0083. Danner H, Holzer M, Mayrhuber E, Braun R (2003) Acetic acid increases stability of silage under aerobic conditions. Appl Envi- ron Microbiol 69:562 FAO (2020). FAO yearbook. Fishery and Aquaculture Statistics 2018. FAO, Rome Data availability  The datasets generated during and/or analyzed dur- ing the current study are available from the corresponding author on reasonable request. 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Marrying Up by Marrying Down: Status Exchange between Social Origin and Education in the United States
Sociological science
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Abstract Intermarriage plays a key role in stratification systems. Spousal resemblance reinforces social boundaries within and across generations, and the rules of intermarriage govern the ways that social mobility may occur. We examine intermarriage across social origin and education boundaries in the United States using data from the 1968–2013 Panel Study of Income Dynamics. Our evidence points to a pattern of status exchange—that is, persons with high education from modest backgrounds tend to marry those with lower education from more privileged backgrounds. Our study contributes to an active methodological debate by pinpointing the conditions under which the results pivot from evidence against exchange to evidence for exchange and advances theory by showing that the rules of exchange are more consistent with the notion of diminishing marginal utility than the more general theory of compensating differentials. Author Manuscript Marrying Up by Marrying Down: Status Exchange between Social Origin and Education in the United States Christine R. Schwartza, Zhen Zengb, and Yu Xiec aUniversity of Wisconsin-Madison bU.S. Department of Justice cPrinceton University and Peking University Christine R. Schwartza, Zhen Zengb, and Yu Xiec aUniversity of Wisconsin-Madison bU.S. Department of Justice cPrinceton University and Peking University Author Manuscript This is an open-access article distributed under the terms of the Creative Commons Attribution License, which permits unrestricted use, distribution, and reproduction in any medium, provided the original author and source are credited. Christine R. Schwartz: Department of Sociology, University of Wisconsin-Madison. cschwart@ssc.wisc.e Zhen Zeng: U.S. Department of Justice, Bureau of Justice Statistics. Zhen.Zeng@ojp.usdoj.gov g p , g jp j g Yu Xie: Department of Sociology, Princeton University; Center for Social Research, Peking University. yuxie@princeton.e ristine R. Schwartz: Department of Sociology, University of Wisconsin-Madison. cschwart@ssc.wisc.edu Z U S D t t f J ti B f J ti St ti ti Zh Z @ j d j 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. Christine R. Schwartz: Department of Sociology, University of Wisconsin-Madison. cschwart@ssc.wisc.edu Zhen Zeng: U.S. Department of Justice, Bureau of Justice Statistics. Zhen.Zeng@ojp.usdoj.gov HHS Public Access Author Manuscript Published in final edited form as: Sociol Sci. 2016 November ; 3: 1003–1027. doi:10.15195/v3.a44. Sociol Sci. 2016 November ; 3: 1003–1027. doi:10.15195/v3.a44. 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. Christine R. Schwartz: Department of Sociology, University of Wisconsin-Madison. cschwart@ssc.wisc.edu Zhen Zeng: U.S. Department of Justice, Bureau of Justice Statistics. Zhen.Zeng@ojp.usdoj.gov Yu Xie: Department of Sociology, Princeton University; Center for Social Research, Peking University. yuxie@princeton.edu ne R. Schwartz: Department of Sociology, University of Wisconsin-Madison. cschwart@ss eng: U.S. Department of Justice, Bureau of Justice Statistics. Zhen.Zeng@ojp.usdoj.gov p y p g Christine R. Schwartz: Department of Sociology, University of Wisconsin-Madison. cschwart@ssc.wisc.edu Zhen Zeng: U.S. Department of Justice, Bureau of Justice Statistics. Zhen.Zeng@ojp.usdoj.gov Yu Xie: Department of Sociology, Princeton University; Center for Social Research, Peking University. yuxie@princeton.edu Keywords Previous studies have focused on whether there is sorting on social origin over and above sorting on education but have not examined the relationship between the two forms of matching. We test the long-standing hypothesis that departures from spousal resemblance are characterized by status exchange—the notion that individuals compensate for the lack of one trait by offering other desirable traits to potential mates (e.g., Davis 1941; Merton 1941). In this context, status exchange marriages are those in which people with high social origins but low educational attainment marry those with low social origins but high educational attainment—in other words, people marry up in education by marrying down in social origin (and vice versa). Author Manuscript As Davis (1941) argues, intermarriage plays an important role in stratification systems. Whereas endogamy serves to reinforce social boundaries within and across generations, the rules of intermarriage govern the ways in which social mobility may occur. Popular accounts of socioeconomic status exchange often feature the social mobility of talented young men who marry women from wealthy backgrounds, a phenomenon captured by the phrase “marrying the boss’s daughter.” Such marriages may represent an exchange of wives’ future wealth inheritance for husbands’ current income stream or an exchange of inherited cultural and/or social capital for educational capital (Bourdieu 1984). From the perspective of social stratification and mobility, the exchange of social origin and education is particularly interesting because these two traits represent two dimensions of class standing—ascribed and achieved status. The relative importance of ascribed and achieved status in the allocation of life chances is seen as an indicator of the “openness” of a society’s stratification system (Hout 1988). Numerous studies have documented that achieved traits, education in particular, are increasingly important markers of social status as well as criteria of mate selection, whereas the roles of ascribed traits such as race, ethnicity, and religious background have weakened (e.g., Blau and Duncan 1967; Kalmijn 1991; Buss et al. 2001; Schwartz and Mare 2005; Qian and Lichter 2007; Rosenfeld 2008; Economic Policy Institute 2012: Figure 4N). In this article, we reexamine the role of social origin vis-à-vis education in mate selection by asking: to what extent do Americans leverage their class background to marry up in education? Sociol Sci. Author manuscript; available in PMC 2017 November 01. Keywords exchange marriage; intermarriage; homogamy; social stratification A common theme in theories of family change is that as societies modernize, parents lose control over their children’s choice of mates, and romantic love triumphs as the basis of partner selection (Goode 1963; Blau and Duncan 1967; Kalmijn 1991). Although the romantic love ideal is widespread in the United States (Buss et al. 2001), there is evidence that social background also plays an important role in mate selection. There are few studies of this topic, but those that do exist suggest a persistent tendency to match on social origin spanning from at least the 1940s through the 1980s (Blau and Duncan 1967; Burgess and Wallin 1943; Centers 1949; Kalmijn 1991; Charles, Hurst, and Killewald 2013). Author Manuscript Author Manuscript Furthermore, matching on social origin does not appear to be explained by the tendency for individuals with similar educational attainments to marry one another (Blau and Duncan Page 2 Schwartz et al. 1967; Kalmijn 1991; Charles et al. 2013), suggesting that social background plays a direct role in mate selection and is not just a product of sorting on individuals’ own education. 1967; Kalmijn 1991; Charles et al. 2013), suggesting that social background plays a direct role in mate selection and is not just a product of sorting on individuals’ own education. Author Manuscript Author Manuscript In this article, we extend the literature on marital sorting by social background by examining the conditions under which departures from matching on social origin and education occur. Previous studies have focused on whether there is sorting on social origin over and above sorting on education but have not examined the relationship between the two forms of matching. We test the long-standing hypothesis that departures from spousal resemblance are characterized by status exchange—the notion that individuals compensate for the lack of one trait by offering other desirable traits to potential mates (e.g., Davis 1941; Merton 1941). In this context, status exchange marriages are those in which people with high social origins but low educational attainment marry those with low social origins but high educational attainment—in other words, people marry up in education by marrying down in social origin (and vice versa). In this article, we extend the literature on marital sorting by social background by examining the conditions under which departures from matching on social origin and education occur. Keywords We demonstrate that models that control for the correlation between education and social origin within individuals consistently yield positive evidence on exchange; on the other hand, simple tests that do not control for this correlation consistently reject the exchange hypothesis. In light of the debate on the appropriateness of log-linear analyses in the literature on status exchange (see Rosenfeld 2005; Gullickson and Fu 2010; Kalmijn 2010), we also review and synthesize the methods that have been used to evaluate the exchange hypothesis. Our methodological discussion focuses on methods of separating exchange from other social forces that influence mate selection (such as a tendency for men or women to choose partners similar to themselves) and is part of continuing efforts to clarify the important methodological and substantive implications of this debate (Gullickson and Torche 2014). We apply a “step-by-step” approach to the study of exchange, adding controls one by one to identify the most important confounders. Previous research has debated the value of various log-linear models to identify exchange but has not systematically identified why different specifications yield different results. We demonstrate that models that control for the correlation between education and social origin within individuals consistently yield positive evidence on exchange; on the other hand, simple tests that do not control for this correlation consistently reject the exchange hypothesis. Author Manuscript Finally, we advance exchange theory by refining the usual version of the exchange hypothesis, which is based on the notion of compensating differentials, with a more specific hypothesis based on diminishing marginal utility. We show that observed matching patterns support the more specific version of exchange based on the notion of diminishing marginal utility. Author Manuscript Sociol Sci. Author manuscript; available in PMC 2017 November 01. Keywords Research on status-exchange marriage in the United States has often examined the exchange of socioeconomic status (SES) for racial status (e.g., Schoen and Wooldredge 1989; Kalmijn 1993; Qian 1997; Fu 2001; Gullickson and Torche 2014; Torche and Rich 2016). As part of a recent debate concerning whether or not race–SES exchange exists in the United States, Kalmijn (2010:1262) proposed that research on exchange be expanded to other contexts: specifically, to different ethnic groups or countries. Another way of extending the literature is to examine how generalizable exchange is to other characteristics (for example, social background and educational attainment). Indeed, while a large fraction of research on exchange has focused on race–SES exchange, a major focus of Davis’s seminal work on intermarriage was the exchange of social background for other desirable traits such as Author Manuscript Schwartz et al. Page 3 Page 3 “achievement, beauty, intelligence, youth, [and] wealth” (1941:386). Consistent with the exchange of social background for education, Blackwell (1998) found that parental education improves women’s chances of marrying highly educated men net of women’s own education, but she did not directly test whether individuals trade their relative advantage on one trait for their spouses’ relative advantage on another. Rather, she conceptualized parental education as a resource allowing individuals to obtain a better match on a single characteristic (spouses’ education). Thus, to our knowledge, this is the first empirical test of the exchange hypothesis with respect to social origin and education in the United States or elsewhere. Author Manuscript A Author Manuscript In light of the debate on the appropriateness of log-linear analyses in the literature on status exchange (see Rosenfeld 2005; Gullickson and Fu 2010; Kalmijn 2010), we also review and synthesize the methods that have been used to evaluate the exchange hypothesis. Our methodological discussion focuses on methods of separating exchange from other social forces that influence mate selection (such as a tendency for men or women to choose partners similar to themselves) and is part of continuing efforts to clarify the important methodological and substantive implications of this debate (Gullickson and Torche 2014). We apply a “step-by-step” approach to the study of exchange, adding controls one by one to identify the most important confounders. Previous research has debated the value of various log-linear models to identify exchange but has not systematically identified why different specifications yield different results. Compensating Differentials Status exchange can be seen as a special type of intermarriage across group boundaries or, rather, a complex form of homogamy, in which marriages are based on a balance of pluses and minuses on two or more traits—or overall “trade values.” Because mate selection is based on multiple traits, a lack of one desirable trait can be compensated for by an advantage in another trait. Competition for the most desirable mate will thus result in a pattern of matching on individuals’ overall trade values rather than strict matching on individual traits. The notion of compensating differentials extends to more than two traits; the important point is that the sum of the pluses and minuses balance one another within couples. In this study, we test the following formulation of the exchange hypothesis with respect to education and social origins. As the number of characteristics that individuals sort on increases, it becomes increasingly difficult to form a perfectly homogamous match (Cheng and Xie 2013). Status exchange can be seen as a special type of intermarriage across group boundaries or, rather, a complex form of homogamy, in which marriages are based on a balance of pluses and minuses on two or more traits—or overall “trade values.” Because mate selection is based on multiple traits, a lack of one desirable trait can be compensated for by an advantage in another trait. Author Manuscript Author Manuscript Hypothesis 1: Among couples who intermarry across social origin and education groups, the partner with higher education will tend to have lower social origins and the partner with lower education will tend to have higher social origins. Note that the notion of compensating differentials only predicts that the sums of the pluses and minuses across traits are roughly equal between spouses; it does not predict a particular pattern or direction to the balancing of traits. To illustrate this, consider a marriage market in which all men and women are scored on a scale of 1 to 10 for their education and social origin, and mate selection is based purely on those scores. Also, assume that everyone has the same preferences for education and social origin. Let us examine the choice of a man with an education score of 6 and a social origin score of 4 (E6O4 for short). Compensating Differentials Current theories of mate selection are primarily based on the idea of the “marriage market” (Becker 1973). Within this framework, marriage is seen as an exchange of resources between partners, and marital selection follows the principle that each person attempts to find a suitable mate subject to market constraints. The sociological literature distinguishes two types of preferences in mate selection: (1) people may exhibit vertical preferences and seek highly ranked mates and (2) they may show horizontal preferences and seek in-group mates. Spousal resemblance on a trait—referred to as homogamy—occurs either because people simply prefer partners who are similar to themselves or because they are competing for the most highly ranked partner (Schwartz 2013; Xie, Cheng, and Zhou 2015). As men and women attempt to marry up and reject suitors of lower rank than themselves, marriages will tend to be contracted between partners with similar characteristics. Author Manuscript Schwartz et al. Page 4 Page 4 Status exchange is a specific pattern of intermarriage involving two (or more) hierarchical traits—one partner has a relative advantage in one trait but a relative disadvantage in the other. Why do partners exchange traits? A general explanation of exchange, commonly found in the literature, is compensating differentials (e.g., Gullickson and Fu 2010; Kalmijn 2010; Rosenfeld 2005). Just as workers need to be paid more to take a hazardous job, in a competitive marriage market people pay a “price” to marry those with a desirable trait they do not have themselves (Grossbard-Shechtman 1993). Status exchange is a specific pattern of intermarriage involving two (or more) hierarchical traits—one partner has a relative advantage in one trait but a relative disadvantage in the other. Why do partners exchange traits? A general explanation of exchange, commonly found in the literature, is compensating differentials (e.g., Gullickson and Fu 2010; Kalmijn 2010; Rosenfeld 2005). Just as workers need to be paid more to take a hazardous job, in a competitive marriage market people pay a “price” to marry those with a desirable trait they do not have themselves (Grossbard-Shechtman 1993). Author Manuscript A Author Manuscript As the number of characteristics that individuals sort on increases, it becomes increasingly difficult to form a perfectly homogamous match (Cheng and Xie 2013). Compensating Differentials The mechanism of compensating differentials predicts that if this man marries across boundaries, he is more likely to marry a woman of equal marriageability—that is, someone with the same sum score of 10 (e.g., E7O3 or E4O6)—than a woman of higher or lower ranks in both traits (e.g., E7O5 or E5O3). Among the various types of women with a sum score of 10, this mechanism does not indicate which type he prefers. For example, the man might marry a woman of E7O3 or he might marry a woman of E4O6. Both of these marriages are exchange marriages because in each the partner with relatively higher educational attainment has relatively lower social origins, but they differ in terms of who has the advantage on which trait. Author Manuscript Author Manuscript Sociol Sci. Author manuscript; available in PMC 2017 November 01. Diminishing Marginal Utility We further hypothesize that patterns of exchange are consistent with the notion of diminishing marginal utility. The economic law of diminishing marginal utility states that as a person increases consumption of one good (while keeping consumption of other goods Schwartz et al. Page 5 constant), there is a decline in the utility the person derives from consuming an additional unit of that good. Applied to intermarriage, diminishing marginal utility predicts that people with unequal endowments (e.g., those who are highly educated but come from humble social origins) may trade the trait they have in abundance (e.g., their education) for the trait they lack (e.g., their social origins). This leads to the following specific pattern of exchange. Author Manuscript Autho Author Manuscript Hypothesis 2: People who are highly educated relative to their social origins tend to form exchange marriages (exchanging education for social origins) with those who have higher social origins relative to their educational attainment. In contrast to the notion of compensating differentials, which proposes a general balancing rule for intermarriages, the mechanism of diminishing marginal utility predicts the direction of exchange based on relative endowment. This difference allows us to empirically adjudicate between the specific and the general patterns of exchange. Following the example above, by the general rule of compensating differentials, E4O6 and E703 are equally preferable partners to a man with an endowment of E6O4, but the law of diminishing marginal utility predicts that E6O4 prefers E4O6 to E703. In forming exchange marriage with the former, he trades the trait he has in abundance (education) for the trait he lacks (social origins). This brings him more utility than marrying the latter, where he exchanges the trait he lacks (social origins) for the trait he already has in abundance (education). It follows that if the law of diminishing marginal utility is at work, exchange marriage is most likely formed between a man and a woman with complementary traits; exchange marriage is less likely between men and women looking to trade up in the same trait. On the other hand, if only the rule of compensating differentials is at work, then the pattern of exchange should not vary substantially by couple’s own endowment. It should be noted that evidence for the hypothesis of diminishing marginal utility does not invalidate the hypothesis of compensating differentials. Rather, it is a refinement of the more general theory. Author Manuscript Author Manuscript Sociol Sci. Author manuscript; available in PMC 2017 November 01. Data and Measures Our analysis uses data from the 1968–2013 Panel Study of Income Dynamics (PSID), a longitudinal study that originated in 1968 with a nationally representative sample of households and an oversample of low-income households. An issue with the PSID is that while the sample was representative of the population in 1968, the nature of the U.S. population has changed substantially since the late 1960s because of immigration. However, previous studies have shown that when weights are used, it produces estimates of marriage formation that are consistent with findings from other sources (Lillard and Panis 1998). Author Manuscript To minimize selection bias because of divorce, we examine new marriages formed within five years of the time they were first observed in the survey. Because of the prospective nature of the survey, the vast majority of marriages in our sample were first observed very close to the time they were formed; 90 percent of marriages in the sample were formed within two years of the interview. We do not include the Latino oversamples available in the PSID, as these families were only interviewed from 1990–1995 (Gouskova et al. 2008). To maximize the data available for analysis, we include first and later marriages. Sensitivity tests indicate that our results are robust to the exclusion of remarriages. The total sample size with complete information on both spouses’ education and social origin is 7,398.1 For both husbands and wives, education is measured as years of schooling and coded as a categorical variable with seven levels: 1–5, 6–8, 9–11, 12, 13–15, 16, and 17+. Social origin is defined as parental socioeconomic status and operationalized as the sum of the years of schooling of both parents. It is also collapsed into seven categories: 6–14, 15–17, 18–21, 22– 23, 24, 25–28, and 30–36, each of roughly equal proportions. Author Manuscript We chose parental education rather than parental income or occupation as the measure of social origin for several reasons. First, education is more stable than income or occupation. Second, because education is a good measure of status for both men and women, it allows us to account for the socioeconomic status of both parents. In comparison, income or occupational standing does not capture the mother’s status well because a high percentage of mothers in the early years of the PSID are homemakers. 1The programs used to estimate the results are available on the first author’s website, and the individual-level data is available from the first author upon request. Gender Differences in Exchange Another explanation for exchange marriage is that different traits are valued in male and female partners because of gendered roles in family and work lives (Buss and Barnes 1986). By exchanging traits, individuals can match with partners who have more qualities they value than by finding their exact match. The conventional view in stratification research has been that husbands’ schooling is more closely related to family income and class identification than wives’ schooling (Sørensen 1994), although this may change as women’s labor force participation increases. Therefore, if men and women attempt to maximize family socioeconomic standing in choosing partners, we might expect the exchange of wives’ social origins for husbands’ education to be more common (“marrying the boss’s daughter”) than the other way around (“marrying the boss’s son”). Author Manuscript If, on the other hand, education and social origins are equally valued in men and women—as markers of life styles, cultural values, and attitudes (Bruze 2011; Kalmijn 1994)—then we might expect a gender symmetric exchange pattern or no exchange at all. Indeed, the only previous research to our knowledge that has tested whether women are more likely to “marry up” in social background than men found no gender difference in the 1960s (Rubin 1968). Schwartz et al. Page 6 To test gender differences in exchange, we estimate the exchange of husband’s education for wife’s social origins and the exchange of husband’s social origins for wife’s education separately and test the significance of this difference in various analyses. Author Manuscript Sociol Sci. Author manuscript; available in PMC 2017 November 01. Testing the Exchange Hypothesis: A Step-By-Step Approach Since the race–education exchange hypothesis was outlined more than 70 years ago by Merton (1941) and Davis (1941), many studies have attempted to verify or refute it. However, only recently have researchers begun to scrutinize the methods used to test the hypothesis. In a critique of the literature, Rosenfeld (2005) distinguished between “simple” and “complex” approaches to testing the exchange hypothesis. As he observed, early studies relying on cross-tabulations to assess whether interracial marriages tended to be formed by whites with low education marrying highly educated blacks generally rejected the exchange hypothesis (Bernard 1966; Heer 1974; Monahan 1976). By contrast, recent studies using “complex” log-linear models have often supported the hypothesis (Schoen and Wooldredge 1989; Kalmijn 1993; Qian 1997; Fu 2001; Gullickson 2006; Gullickson and Torche 2014; Torche and Rich 2016). Rosenfeld’s own inclination was to use simple methods because the results of complex models depend on model assumptions, whereas “[s]imple tabular analyses at least have the advantage of transparency” (2005:1287). However, he did not explain why “simple” and “complex” approaches tend to lead to opposite conclusions. Author Manuscript In their responses to Rosenfeld (2005), Gullickson and Fu (2010) and Kalmijn (2010) argue for the “complex” log-linear modeling approach but, like Rosenfeld, did not systematically explore why the “simple” and the “complex” methods yield different results. We address this puzzle by applying a “step-by-step” approach to the study of intermarriage by social origin and education. Beginning with the simplest test of exchange, we add controls one by one using a series of nested log-linear models and compare the results across these models. Through this approach, we identify the most important confounder of exchange: the intertrait correlation within individuals (i.e., highly educated people tend to come from higher social origins). Because log-linear models typically control for intertrait correlations while simple methods do not, this explains why the two methods tend to yield opposite results. This demonstration will be useful to analysts who face the task of choosing a conceptually defensible model to test exchange theory. While we focus on education and social origin here, the methodological discussion below applies to the exchange of any two traits such as race and SES or attractiveness and education. Table 1 classifies marriages by spouse’s relative education (E) and social origin (O). Data and Measures Third, the PSID measured parental education in most years, whereas parental income and occupation are available for a smaller subset of waves. Thus, using parental income or occupation as the measure of social origin would result in a significant reduction of sample size. We therefore focus on parental education as our measure of social origin. Author Manuscript Given our focus on the effects of various controls on the test of exchange, we chose simple measures of education and social origins in presenting our main results. To ensure that our results are not affected by our choice of measure, we conducted sensitivity analyses using 1The programs used to estimate the results are available on the first author’s website, and the individual-level data is available from the first author upon request. Sociol Sci. Author manuscript; available in PMC 2017 November 01. Schwartz et al. Page 7 Page 7 alternative measures (e.g., father’s occupational standing). We also repeated our analysis with alternative categorizations of education and social origin and methods for handling the contribution of mothers’ and fathers’ education. The results of these sensitivity tests are reported following the main results below. Author Manuscript Sociol Sci. Author manuscript; available in PMC 2017 November 01. 2These statistics mask considerable time variation in the likelihood that men and women “marry up” with respect to education. Between the 1970s and mid-1980s, women were more likely to “marry up” while those married since then were more likely to “marry down” (Schwartz and Mare 2005). We consider time variation in our results further below. Schwartz et al. Schwartz et al. cells of Table 1 are homogamous with respect to education and/or origin. These cells serve as reference points in the more complex tests of the exchange hypothesis. Author Manuscript As Table 2 shows, newly married women between 1968 and 2013 were about equally likely to “marry up” as “marry down” with respect to education in the United States (28.1 percent vs. 27.9 percent),2 while it was somewhat more common for men to “marry up” in social origin than women (38 percent vs. 32 percent). Most marriages (62 percent) are homogamous on one or the other trait, while only 14 percent of all marriages are homogamous on both traits, demonstrating the potential difficulty of finding a match across multiple traits. The exchange of husband’s education for wife’s social origin is more common than the other way around (9 percent vs. 7 percent), consistent with the stereotype of the young upstart man “marrying the boss’s daughter.” Together, exchange marriages account for about 15 percent of all marriages. Author Manuscript Sociol Sci. Author manuscript; available in PMC 2017 November 01. A simple test of exchange can be written as: A simple test of exchange can be written as: (1a) (1a) (1a) Testing the Exchange Hypothesis: A Step-By-Step Approach We denote the proportion of couples in the ith row and the jth column by P[i, j], with (i = 1, 2, 3, j = 1, 2, 3). Tests of exchange involve at least four types of marriages, as shown in Table 1: (1) marriages in which the husband exchanges his higher education for his wife’s higher social origin (cell [3,1]); (2) marriages in which the wife exchanges her higher education for her husband’s higher social origin (cell [1,3]); (3) marriages in which both of the wife’s traits are higher than her husband’s (cell [1,1], which we refer to as “wife-advantaged” marriages); and (4) marriages in which both of the husband’s traits are higher than his wife’s (cell [3,3], which we refer to as “husband-advantaged” marriages). Marriages in the other Author Manuscript Page 8 1. The Simple One-Group Test 1. The Simple One-Group Test 2. The Two-Group Test Controlling for Hypergamy To control for an overall tendency toward educational hypergamy or hypogamy, we can use couples with the same social origins (column 2 in Table 1) as reference groups. This converts the simple one-group test in Equations (1a) and (1b) to a two-group test shown in Equations (2a) and (2b): Author Manuscript (2a) (2b) In the numerator of (2a) is the simple one-group test (1a) for the exchange of husbands’ education for wives’ social origin. The denominator of (2a) expresses the tendency for educational hypergamy—that is, the likelihood that husbands have more education than their wives relative to the likelihood that wives have more education—among couples who share the same social backgrounds. Equation (2b) is the analogous test for the exchange of wives’ education for husbands’ social origin. Equations (2a) and (2b) use the tendency for educational hypergamy among origin-homogamous couples as controls when estimating educational hypergamy among exchange couples. In other words, Equation (2a) and (2b) estimate exchange over and above a general tendency for hypergamy or hypogamy.3 The idea here is analogous to the difference-in-difference method in econometrics. We refer to the cross-product (ratio-of-ratio) in Equations (2a) and (2b) as the odds ratio measure of exchange marriage. Higher odds ratios indicate a greater likelihood of exchange marriage, controlling for educational hypergamy. In the numerator of (2a) is the simple one-group test (1a) for the exchange of husbands’ education for wives’ social origin. The denominator of (2a) expresses the tendency for educational hypergamy—that is, the likelihood that husbands have more education than their wives relative to the likelihood that wives have more education—among couples who share the same social backgrounds. Equation (2b) is the analogous test for the exchange of wives’ education for husbands’ social origin. Equations (2a) and (2b) use the tendency for educational hypergamy among origin-homogamous couples as controls when estimating educational hypergamy among exchange couples. In other words, Equation (2a) and (2b) estimate exchange over and above a general tendency for hypergamy or hypogamy.3 The idea here is analogous to the difference-in-difference method in econometrics. We refer to the cross-product (ratio-of-ratio) in Equations (2a) and (2b) as the odds ratio measure of exchange marriage. Higher odds ratios indicate a greater likelihood of exchange marriage, controlling for educational hypergamy. Schwartz et al. Page 9 Schwartz et al. However, the one-group test may be confounded by educational hypergamy or hypogamy. Hypergamy (hypogamy) is a general tendency for women to “marry up (down)” on a trait. If educational hypergamy predominates, there may be more couples in which husbands have more education than their wives but have lower social origins (P[3,1]) than couples in which husbands have both less education and lower social origins than their wives (P[1,1]), merely because of a tendency for women to “marry up” in education rather than because men and women are exchanging social origin and education. Conversely, a low ratio of P[1,3] / P[3,3] may indicate a male aversion to marrying women of higher education than themselves rather than the absence of exchange. However, the one-group test may be confounded by educational hypergamy or hypogamy. Hypergamy (hypogamy) is a general tendency for women to “marry up (down)” on a trait. If educational hypergamy predominates, there may be more couples in which husbands have more education than their wives but have lower social origins (P[3,1]) than couples in which husbands have both less education and lower social origins than their wives (P[1,1]), merely because of a tendency for women to “marry up” in education rather than because men and However, the one-group test may be confounded by educational hypergamy or hypogamy. Hypergamy (hypogamy) is a general tendency for women to “marry up (down)” on a trait. If educational hypergamy predominates, there may be more couples in which husbands have more education than their wives but have lower social origins (P[3,1]) than couples in which husbands have both less education and lower social origins than their wives (P[1,1]), merely Author Manuscript more education than their wives but have lower social origins (P[3,1]) than couples in which husbands have both less education and lower social origins than their wives (P[1,1]), merely because of a tendency for women to “marry up” in education rather than because men and women are exchanging social origin and education. Conversely, a low ratio of P[1,3] / P[3,3] may indicate a male aversion to marrying women of higher education than themselves rather than the absence of exchange. 3If the tendency for educational hypergamy is systematically different for origin-heterogamous couples and origin-homogamous couples, then estimates of exchange from this test may be biased. Sociol Sci. Author manuscript; available in PMC 2017 November 01. (1b) where P[i, j] is the proportion of couples in cell [i, j] in Table 1. The numerators P[3,1] and P[1,3] are exchange marriages, and the denominators P[1,1] and P[3,3] are marriages in which one partner has a relative advantage in both traits. Equations (1a) and (1b) provide a simple test of exchange by comparing the observed frequencies of exchange marriages to those of wife-advantaged or husband-advantaged marriages among couples who have different social origins. This test is conceptually equivalent to comparing the frequency of mixed-race marriages in which the black spouse has more education (exchange) to that in which the white spouse has more education (that is, the white spouse has both higher educational and racial status) (e.g., Tables 1 and 2 and Figure 3 of Rosenfeld 2005). We refer to this test as the simple one-group test because it examines mixed-origin (or mixed-race) couples only, without using a comparison group such as same-origin (same-race) couples. Author Manuscript As Tables 2 and 3 show, the simple one-group test yields a P[3,1] / P[1,1] ratio of 0.085 / 0.127 ≈ 0.66 < 1 and a P[1,3] / P[3,3] ratio of 0.069 / 0.104 ≈ 0.66 < 1 (differences between the ratios calculated from Table 2 and those shown in Table 3 are due to rounding), ratios that are inconsistent with the exchange of husbands’ education for wives’ origin and wives’ education for husbands’ origin, respectively. Author Manuscript Sociol Sci. Author manuscript; available in PMC 2017 November 01. 2. The Two-Group Test Controlling for Hypergamy Given that people with more education tend to come from privileged social backgrounds and that people with less education tend to come from modest backgrounds, the most common pairings one would expect under random matching would be wife-advantaged and husband-advantaged pairings (P[1,1] and P[3,3]). In contrast, exchange marriages involve partners that are generally more rare in the population, namely, those that are higher on either education or social origin but lower on the other trait. Because the numerators of Equations (2a) and (2b) are divided by the proportions of wife-advantaged and husband-advantaged couples that are biased upward because of the correlation between education and social origin, the two-group test will be biased against exchange. The same bias exists for the one-group test. To control for the abundance of wife-advantaged and husband-advantaged couples that would occur through chance alone because of the positive correlation between education and social origin, test 3 compares the observed odds ratio of exchange (Eqs. [2a] and [2b]) to what would be expected by chance given the distribution of husbands’ and wives’ education and social origin and the tendency for educational hypergamy or hypogamy. This test can be represented as: Sociol Sci. Author manuscript; available in PMC 2017 November 01. 2. The Two-Group Test Controlling for Hypergamy Author Manuscript Author Manuscript As Tables 2 and 3 show, the odds ratio for the exchange of men’s education for women’s social origin from Equation (2a) is (0.085 / 0.127) / (0.082 / 0.083) ≈ 0.68 and that for the exchange of women’s education for men’s social origin from Equation (2b) is (0.069 / 0.104) / (0.083 / 0.082) ≈ 0.65. Thus, like the one-group test, the simple two-group test is Schwartz et al. Page 10 also inconsistent with the exchange hypothesis. The numerical results of this test are similar to those of the one-group test, suggesting that controlling for educational hypergamy has almost no effect on the test of exchange in our case. This is not surprising given that there was only a very weak tendency for women to marry up in education over this period, as we saw from column 2 as well as the row marginals of Table 2. Author Manuscript Previous studies using the two-group test controlling for hypergamy (e.g., Bernard 1966; Liang and Ito 1999; Fu 2008) have also rejected the race–education exchange hypothesis. As pointed out by several researchers (e.g., Heer 1974; Kalmijn 2010), however, this test tends to be biased against the exchange hypothesis by failing to account for the association between race and education. Next, we explain how an association between traits could bias the test of exchange and outline a correction for that bias. 3. The Two-Group Test Controlling for Hypergamy and the Joint Distribution of Correlated Traits Social origin and education are positively correlated within individuals: people of higher social origin often have higher education themselves. So, if men and women were randomly paired, the partner of higher social origin would also tend to be the one with more education. This pattern is just the opposite of exchange marriage, in which each partner offers a relative advantage in one trait to compensate for a relative disadvantage in another trait. In other words, given the positive association between education and social origin, we would expect to see more husband- or wife-advantaged marriages than exchange marriages simply by chance. Tests 1 and 2 do not control for this and as a result may incorrectly reject the exchange hypothesis. Referring back to Equations (2a) and (2b) for the two-group test, one can see why the intertrait correlations would stack the decks against exchange. (3b) (3b) where p[i, j] refers to the expected proportion in cell [i, j] under random matching given the observed distribution of spouses’ traits and the observed within-person association between social origin and education. The exchange hypothesis is supported if the observed odds ratio exceeds the expected odds ratio. Controlling for the joint distribution of correlated traits generally works in favor of the exchange hypothesis, as the expected odds ratios of exchange marriages under random matching are smaller than 1. This can be derived by noting that, given the positive correlation between education and social origin, the expected relative risk of educational hypergamy versus hypogamy increases with husband’s relative status in social origin: p[3,1] / p[1,1] < p[3,2] / p[1,2] < p[3,3] / p[1,3]. Because many traits that have been studied in the context of exchange marriage are positively correlated (e.g., racial status and socioeconomic status), failing to control for intertrait correlations generally biases against the hypothesis of exchange. For the case of race–education exchange, Heer (1974) demonstrated that controlling for racial differences in education in this way greatly improves the predictive power of the exchange theory. This is also true for the exchange of education and social origin, as we will demonstrate. Author Manuscript Author Manuscript Simple tabular analyses do not control for husbands’ and wives’ characteristics, as the calculation of the expected odds ratios of spousal differences is algebraically complicated in four-way marriage tables (HE × HO × WE × WO). However, controlling for the distribution of husbands’ and wives’ characteristics is standard practice with log-linear models. Indeed, log-linear analysis is a popular method in studies of assortative mating because of this feature. To control for the joint distribution of two traits, researchers can include dummy variables for both traits of husbands and wives (i.e., all four one-way marginal distributions HE, HO, WE, and WO) as well as dummies for the within-person intertrait associations (i.e., HE × HO and WE × WO).4 The expected odds ratios of exchange under random matching can be calculated from the predicted frequencies of marriage with a simple log-linear model with dummy variables for HO, HE, WO, WE, HE × HO, and WE × WO only. 4The terms HE, HO, HE × HO control for the distribution of husbands in each category of education by social origin, while the terms WE, WO, WE × WO control for the distribution of wives. Note that we are not controlling for the characteristics of the general population; this test only controls for the characteristics of those who are married. Sociol Sci. Author manuscript; available in PMC 2017 November 01. 3. The Two-Group Test Controlling for Hypergamy and the Joint Distribution of Correlated Traits Author Manuscript Social origin and education are positively correlated within individuals: people of higher social origin often have higher education themselves. So, if men and women were randomly paired, the partner of higher social origin would also tend to be the one with more education. This pattern is just the opposite of exchange marriage, in which each partner offers a relative advantage in one trait to compensate for a relative disadvantage in another trait. In other words, given the positive association between education and social origin, we would expect to see more husband- or wife-advantaged marriages than exchange marriages simply by chance. Tests 1 and 2 do not control for this and as a result may incorrectly reject the exchange hypothesis. Referring back to Equations (2a) and (2b) for the two-group test, one can see why the intertrait correlations would stack the decks against exchange. Given that people with more education tend to come from privileged social backgrounds and that people with less education tend to come from modest backgrounds, the most common pairings one would expect under random matching would be wife-advantaged and husband-advantaged pairings (P[1,1] and P[3,3]). In contrast, exchange marriages involve partners that are generally more rare in the population, namely, those that are higher on either education or social origin but lower on the other trait. Because the numerators of Equations (2a) and (2b) are divided by the proportions of wife-advantaged and husband-advantaged couples that are biased upward because of the correlation between education and social origin, the two-group test will be biased against exchange. The same bias exists for the one-group test. To control for the abundance of wife-advantaged and husband-advantaged couples that would occur through chance alone because of the positive correlation between education and social origin, test 3 compares the observed odds ratio of exchange (Eqs. [2a] and [2b]) to what would be expected by chance given the distribution of husbands’ and wives’ education and social origin and the tendency for educational hypergamy or hypogamy. This test can be represented as: Author Manuscript Schwartz et al. Page 11 Page 11 Author Manuscript (3b) Comparing test 3 to test 2 in Table 3 shows that evidence for exchange emerges after controlling for the within-person association between education and social origins (the odds ratios of exchange are >1) and the tests are both significant at p < 0.01. Figure 1 explains how this happens. Panel A shows that there are more husband- or wife-advantaged marriages than exchange marriages in our data. But panel B shows that under random matching there Author Manuscript Sociol Sci. Author manuscript; available in PMC 2017 November 01. Schwartz et al. Page 12 would be even more husband- or wife-advantaged marriages and fewer exchange marriages. This suggests that men and women are systematically avoiding husband- or wife-advantaged configurations and selecting exchange marriages. Author Manuscript We can use the column percentages in Figure 1 to compute Equation (3a), which gives the same result as using the cell percentages. This gives [(22.3 / 33.6) / (26.8 / 27.2)] / [(19.0 / 56.6) / (35.4 / 34.2)] ≈ 2.07 (see Table 3), evidence that husbands exchange their education for wives’ social origins. Evidence that wives exchange their education for husbands’ social origins can be obtained in the same way. In sum, many husband- and wife-advantaged marriages are the result of the well-known association between social origin and education for both spouses. Test 3 removes this confounding factor by comparing the observed proportion of husband- and wife-advantaged marriages to the expected proportion of such marriages under random matching. Test 3 yields strong evidence for exchange, reversing the direction of previous tests. Controlling for the joint distribution of correlated traits is the key factor that explains differences between the “simple” and “complex” tests as we further demonstrate below. Author Manuscript Sociol Sci. Author manuscript; available in PMC 2017 November 01. 4. The Two-Group Test Controlling for Hypergamy, the Joint Distribution of Correlated Traits, and Homogamy Kalmijn (1993) first estimated a model controlling for the joint distribution of correlated traits and homogamy and then compared the observed and estimated “hypergamy ratios”—which he defined as the ratio of educational hypergamy to that of educational hypogamy—for mixed-race and same-race couples.5 Tests 3 and 4, as outlined above, use the same two-step approach. Some researchers (e.g., Gullickson 2006; Rosenfeld 2005) estimated “exchange parameters” that distinguish exchange marriages from wife- or husband-advantaged marriages directly using log-linear models while controlling for the above-mentioned confounders. The two approaches are conceptually similar (although the numerical results may differ slightly), but it is much easier to perform statistical tests with the latter, one-step approach (see also Gullickson 2006 and Gullickson and Torche 2014). Below, we present our formal tests of exchange using the one-step approach. Author Manuscript Author Manuscript As noted by Rosenfeld (2005), the test of exchange may be sensitive to how we control for homogamy. Hence, we test exchange under a series of log-linear models with various specifications for homogamy in education and social origin. Our analysis reveals that it is the within-person correlation between education and social origin—rather than homogamy or hypergamy—that is mainly responsible for the contradictory results of the log-linear analyses and simple analyses. Our models take the following form: Author Manuscript The dependent variable E[Fijkl] is the expected frequency of marriages between men of the ith educational category and the jth social origin category and women of the kth educational category and the lth social origin category. The parameters are interpreted as follows. Author Manuscript 1. HE, HO, WE, and WO control for the marginal distributions of men and women in categories of educational attainment and social origin. HE × HO and WE × WO control for the associations of education and social origin among men and women, respectively. Together, these parameters adjust for the joint distributions of correlated traits, while the rest of the parameters characterize how matching patterns deviate from random matching. HE × WE and HO × WO capture patterns of homogamy in education and social origin. We model homogamy in six different ways to see if our test of exchange is robust. In each model, we use the same pattern for educational homogamy (HE × WE) and origin homogamy (HO × WO). The six homogamy patterns are described in Table 3 and fit statistics for these models are shown in the online supplement. 5The ratio of Kalmijn’s hypergamy ratios for mixed-race and same-race couples is equivalent to our odds ratio of exchange marriage. Sociol Sci. Author manuscript; available in PMC 2017 November 01. 4. The Two-Group Test Controlling for Hypergamy, the Joint Distribution of Correlated Traits, and Homogamy Test 3 is limited in that the expected odds ratios of exchange are calculated under the naive assumption of random matching. Note that the observed percentages of educational homogamy in panel A of Figure 1 are significantly higher than the expected percentages in panel B regardless of couples’ relative origin status, indicating a strong tendency to match on education. The tendency to choose mates of similar standing is well established, and the hypothesis of status exchange has always been about whether exchange across two or more traits operates in the marriage market, net of the strong tendency toward homogamy within any given trait (Rosenfeld 2005). This requires that the test of exchange further control for homogamy. Hence, we have: Author Manuscript (4a) (4b) (4b) Author Manuscript where p′[i, j] refers to the expected proportion in the [i, j] cell under a model that accounts for the joint distribution of correlated traits and the tendency for homogamy on education and social origin. where p′[i, j] refers to the expected proportion in the [i, j] cell under a model that accounts for the joint distribution of correlated traits and the tendency for homogamy on education and social origin. Past studies using log-linear models to test the exchange hypothesis have typically Past studies using log-linear models to test the exchange hypothesis have typically controlled for racial and educational homogamy in addition to the distribution of correlated traits and thus generally fall under the category of test 4. There are two ways to implement Schwartz et al. Page 13 Page 13 the test. Kalmijn (1993) first estimated a model controlling for the joint distribution of correlated traits and homogamy and then compared the observed and estimated “hypergamy ratios”—which he defined as the ratio of educational hypergamy to that of educational hypogamy—for mixed-race and same-race couples.5 Tests 3 and 4, as outlined above, use the same two-step approach. Some researchers (e.g., Gullickson 2006; Rosenfeld 2005) estimated “exchange parameters” that distinguish exchange marriages from wife- or husband-advantaged marriages directly using log-linear models while controlling for the above-mentioned confounders. The two approaches are conceptually similar (although the numerical results may differ slightly), but it is much easier to perform statistical tests with the latter, one-step approach (see also Gullickson 2006 and Gullickson and Torche 2014). Below, we present our formal tests of exchange using the one-step approach. the test. 4. The Two-Group Test Controlling for Hypergamy, the Joint Distribution of Correlated Traits, and Homogamy Author Manuscript Schwartz et al. Page 14 DHE>WE and DHO>WO are dummy variables controlling for the general female tendency to marry up (or down) in status with respect to education and social origin. DHE>WE and DHO>WO are dummy variables controlling for the general female tendency to marry up (or down) in status with respect to education and social origin. 3. Author Manuscript 4. DHE>WE,HO<WO, DHE<WE,HO>WO, DHE=WE,HO>WO, and DHE=WE,HO<WO are dummy variables capturing the interactions of spouses’ relative statuses in education and social origin. There are two exchange parameters: DHE>WE,HO<WO (= 1 if HE>WE & HO<WO and = 0 if otherwise), which captures the exchange of HE for WO, and DHE<WE,HO>WO (= 1 if HE<WE & HO>WO and = 0 if otherwise), which captures and the exchange of WE for HO. Husband- and wife-advantaged marriages are treated as the reference groups. Thus, in exponential form, the exchange parameters are interpreted as the ratio of exchange marriages to husband- or wife-advantaged marriages, controlling for correlated traits, homogamy, and hypergamy. Author Manuscript As Table 3 shows, the exponentiated exchange parameters range from 1.34 to 2.38 for the exchange of HE for WO and from 1.41 to 2.64 for the exchange of WE for HO. All parameters are statistically significant, with p-values below 0.001. This means that depending on the model specification, the likelihood of exchange marriage exceeds that of husband- or wife-advantaged marriages by 34 percent to more than 160 percent after controlling for the joint distribution of correlated traits and tendencies for hypergamy and homogamy. Because a higher ratio indicates a stronger pattern of exchange, the results suggest that exchange is more pronounced in models 1 and 2, which have simpler controls of homogamy. As distance parameters are introduced to better control for homogamy in model 3, the statistical pattern of exchange becomes weaker but is still highly significant. Overall, the results from log-linear models indicate that the test of exchange is not sensitive to how we model homogamy. Rather, a persistent pattern of exchange is found as long as we control for the distribution of correlated traits. Author Manuscript Sociol Sci. Author manuscript; available in PMC 2017 November 01. Exchange Marriage and Diminishing Marginal Utility Thus far, our results are consistent with the general notion of compensating differentials (hypothesis 1)—that is, men and women tend to form matches that balance across their pluses and minuses on the marriage market in the absence of homogamy. Next, we test hypothesis 2, based upon the notion of the diminishing marginal utility, the idea that people with a relative advantage in education tend to form exchange marriages with partners who have a relative advantage in social origin. Author Manuscript We define relative advantage in this context as the sign of the difference between a person’s education score and social origin score. Marriages are grouped by couple’s configuration of relative advantages (see Table 4). (A1) is the subsample of couples in which husbands’ education exceeds their social origins and wives’ social origins are equal to or greater than their education (HE>HO & WE≤WO). (B1) is the subsample of couples in which wives’ education exceeds their social origins and husbands’ social origins are equal to or greater than their education (WE>WO & HE≤HO). Subsamples (A1) and (B1) are those for which we expect the likelihood of exchange to be greatest given that husbands and wives will trade traits they have in abundance for those that they have relatively little of. We expect exchange to be less common among other couples. We compare the likelihood of exchange in these subsamples to the likelihood of exchange for other couples who either both have the same or higher social origins than education (HE≤HO and WE≤WO) or both have higher education than social origins (HE>HO and WE>WO). To test the hypothesis that exchange is more likely in subsamples (A1) and (B1), we interact the exchange parameters with dummy variables for couples’ relative advantage. The model also includes HE, HO, WE, WO, HE × WE and HO × WO as well as distance parameters and variable homogamy controls, as in model 4 of Table 3, the preferred model by Akaike’s (1973) information criteria (see the online supplement).6 Author Manuscript The results are presented in Table 4. The exponentiated exchange parameters displayed here have the same interpretation as those in Table 3. They are ratios of the proportion of exchange marriages to that of wife- or husband-advantaged marriages—controlling for hypergamy, homogamy (as in model 4), and the joint distribution of correlated traits—but are estimated separately by couples’ relative advantage. Testing Gender Differences in Exchange The exchange parameters are similar for men and women in all six models. None of the differences by sex (exchange of HE for WO versus WE for HO) within models are statistically significant. Thus, we are unable to reject the null hypothesis that the exchange of education and social origin is symmetric by sex. The conventional view in stratification research has been that husbands’ socioeconomic characteristics are more closely related to family class identification than wives’ socioeconomic characteristics (Sørensen 1994), and therefore if men and women attempt to maximize family socioeconomic standing in choosing partners, we might expect the exchange of wives’ social origins for husbands’ education to be more common (“marrying the boss’s daughter”) than the other way around (“marrying the boss’s son”). But if social origins and education are also markers of life styles, cultural values, and attitudes in the marriage market (Bruze 2011; Kalmijn 1994), then we might expect a symmetric association. Indeed, the only article to our knowledge that has tested whether women are Author Manuscript Schwartz et al. Page 15 more likely to “marry up” in social background than men also found a relatively symmetric association (Rubin 1968). Author Manuscript It is possible that “marrying the boss’s daughter” was more common in the past than at present. However, we tested for period effects in our data and found no evidence of such a trend from 1968–1979 to 1980–1991 and 1992–2013 or evidence of gender difference in exchange within any of those time periods. There is robust evidence for exchange in each of these periods. 6Interactions between dummies of relative advantage and homogamy (DHE = WE and DHO = WO), hypergamy (DHE > WE and DHO > WO), DHE = WE, HO > WO, and DHE = WE, HO < WO are also included in the model but the coefficients not presented. Sociol Sci. Author manuscript; available in PMC 2017 November 01. Measure of Social Origins Our measure of social origins is based on mother’s and father’s educational attainments, but it is possible that the results would vary if alternate measures were used. To test this, we replicated our analyses with an alternative measure of social origin for husbands—father’s occupational standing—operationalized as an ordinal variable with seven categories ranked by mean occupational education.7 Because parental occupation is not consistently available for anyone other than husbands’ fathers, our alterative measure of social standing for husbands is father’s occupational standing (without reference to mother’s occupational status or education), and wives’ social origins are measured as in the analyses above (the sum of mother’s and father’s education). We use data from 1968 to 1993 for this test, the period for which the measure of father’s occupation is consistent in the survey. The results show weaker odds ratios of exchange marriage, which is likely due to the asymmetric measurement of parental social standing, but the main findings presented above persist. Author Manuscript Operationalizing social origins as the sum of parents’ years of schooling as we have done in our main analysis assumes that both parents’ statuses have equal weight on the marriage market. To test the sensitivity of our results to this assumption, we estimated our models first using only father’s educational attainment as our measure of social origins and then using only mother’s educational attainment. Again, our conclusions are not affected. Author Manuscript Another complication is that family lives are complex and the parents of couples in the PSID may have divorced, remarried, or widowed while they were growing up. Parental education in the PSID was asked using the question “How much education did your mother (father) complete?” thus leaving it up to the respondent to decide which individuals in their lives best fit these concepts. To the extent that family structure varies across the life course, the concept of social origins is measured with error, and our estimates of exchange will be attenuated. The fact that we find such strong evidence for exchange suggests that noisiness introduced by family complexity or other unmeasured factors are not so large that exchange cannot be detected. Author Manuscript Exchange Marriage and Diminishing Marginal Utility Consistent with hypothesis 2, the exchange parameters are only statistically significant when spouses trade a trait that they Author Manuscript Sociol Sci. Author manuscript; available in PMC 2017 November 01. Schwartz et al. Page 16 have in abundance for a trait they have relatively little of. Exchange for other couples is less common, although the difference in magnitude is statistically significant only for the exchange of wife’s education for husband’s social origins (p-value = 0.016). Taken as a whole, our results suggest that exchange depends on couples’ relative endowments. Put differently, exchange is directed in that people are more likely to exchange what they have in abundance for what they lack rather than the other way around. Author Manuscript 7The occupation categories are (1) laborers, service workers, farm laborers, farmers, and farm managers; (2) operatives and kindred workers; (3) craftsmen, foremen, and kindred workers; (4) armed services, protective, and other workers; (5) self-employed businessmen, clerical workers, and sales workers; 6) managers; 7) professionals and technical workers. Sociol Sci. Author manuscript; available in PMC 2017 November 01. Period Variation Author Manuscript Our analysis combines 55 years of marriage data. During this period, the educational attainment of men and women, in particular, increased, and patterns of educational homogamy and hypergamy have also changed (Schwartz and Mare 2005). We divided data into three periods—1968–1979, 1980–1991, and 1992–2013—and found robust evidence of exchange in each period. In addition, there are no period differences in the gender symmetric pattern of exchange between 1968–1979, 1980–1991, and 1992–2013. Negative Binomial Models Negative Binomial Models We estimated our log-linear models as Poisson models. To account for overdispersion, we reestimated equivalent negative binomial models, as advocated by Rosenfeld (2005) (see the online supplement). Our results are not sensitive to the type of model used. We cannot reject the null hypothesis that the data are Poisson distributed in models 3–6 (using the Stata command estat gof). Thus, our finding that the results are similar across the two types of models is not surprising given that the negative binomial distribution is equivalent to a Poisson distribution when there is no overdispersion, as we find for models 3–6. Sociol Sci. Author manuscript; available in PMC 2017 November 01. Categorization of Education and Social Origins We measure social origins and education using a seven-category scheme. The categories are determined by relative frequency and do not correspond to any of the milestones of Schwartz et al. Page 17 educational attainment. To test the robustness of our results to alternate schemes, we estimated the models using both a four-category education classification (<12, 12, 13–15, and ≥16 years of schooling) and a five-category classification (<9, 10–11, 12, 13–15, and ≥16 years of schooling) for spouses and parents. In both cases, our results were very similar to those presented here (see the online supplement). Author Manuscript Treatment of Missing Data Treatment of Missing Data Husbands and wives who did not report a parent’s education are excluded from the analysis. We tested the sensitivity of our results to the exclusion of these couples by setting the education of the parent with missing education values equal to that of the non-missing parent. This is equivalent to assuming that the non-missing parent’s education is the only parent whose education matters in marriage decisions or, alternatively, that both mother’s and father’s education matter but that these parents are all educationally homogamous. Again, our results are robust to the inclusion of these couples. Author Manuscript Discussion and Conclusion Despite the romantic love ideal, social origins continue to play an important role in marriage formation in contemporary American society. Previous research has found that individuals tend to marry those of similar social origins above and beyond the tendency to match on their own educational attainment (Blau and Duncan 1967; Kalmijn 1991; Charles et al. 2013) and that parental education improves women’s chances of marrying highly educated men net of their own education (Blackwell 1998). Our study has additionally demonstrated that status exchange characterizes patterns of intermarriage. Among intermarried couples, the spouse with higher status on one trait tends to be the one with lower status on the other. The magnitude of exchange is not small. Our models indicate that exchange marriages are at least 34 percent more common than marriages in which either husbands or wives have the Author Manuscript Schwartz et al. Page 18 Page 18 advantage on both education and social origins, controlling for the joint distribution of correlated traits, homogamy, and hypergamy. Author Manuscript Our conclusion is based on multiple tests designed to identify the pattern of exchange from confounding factors of correlated traits and general tendencies toward homogamy and hypergamy. Comparisons of various tests indicate that the single most important confounding factor is the within-person positive correlation between social origin and education—that is, the tendency for people who are highly educated to come from more privileged backgrounds than those with less education. Once we control for this, we find a persistent pattern of exchange. The specification of homogamy did not make a qualitative difference for our results. Although we have no direct evidence on other types of exchange, our results strongly suggest that scholars should pay close attention to within-person positive correlations between traits of interest—for instance, the tendency for those with higher incomes to be more physically attractive in studies of the exchange of income for attractiveness or the association between race and education in studies of race–SES exchange (also see McClintock 2014). Controlling for these correlated traits led us to find robust evidence for exchange. Models that control for correlated traits are preferable to those that do not because we are interested in patterns of marital sorting that occur within a social context, with distributions of men’s and women’s traits already given a priori. Sociol Sci. Author manuscript; available in PMC 2017 November 01. Discussion and Conclusion Author Manuscript An objection could be raised that we did not control for traits or factors that are correlated with both education and social origin, such as occupational standing, income, and year of marriage. Are our results robust to omitted variable bias? If we had controlled for such variables, spousal similarities in social origin and education would likely be lower. However, our main result of status exchange would likely stand. This is because exchange is operationalized as a negative association between spousal differences in social origin and educational attainment, whereas most unmeasured variables that are correlated with both traits, such as wealth or cultural capital, would introduce a positive association between spouses in relative status. In other words, if there were omitted variable bias, in most cases we would expect it to work against the exchange hypothesis. Author Manuscript Status exchange has been tested elsewhere as a positive cross-trait correlation between spouses—e.g., the positive correlation between wives’ physical attractiveness and husbands’ socioeconomic status (Elder 1969; Taylor and Glenn 1976; Udry 1977). Such tests are prone to omitted variable bias, as unmeasured traits can easily provide an alternative explanation. Indeed, for the exchange of attractiveness and SES, two studies have shown that controlling for husband’s physical attractiveness eliminates the positive correlation between wife’s physical attractiveness and husband’s SES (Stevens, Owens, and Schaefer 1990; McClintock 2014). In contrast, our test of exchange as a negative correlation between spouses in relative statuses in two traits is more robust—not only because we have taken into account both spouses’ traits but also because unmeasured variables tend to make the test conservative. Author Manuscript Some scholars have claimed that marriage markets are not well characterized by status exchange but that individuals primarily seek to match on traits (e.g., Rosenfeld 2005; Schwartz et al. Page 19 McClintock 2014). We find that homogamy is undoubtedly the primary marital sorting mechanism but there is also strong and robust evidence for exchange, at least with respect to social origin and education. Furthermore, our analysis of the pattern of exchange by couples’ relative endowment suggests that individuals exchange traits they have relatively more of for those that they have relatively less of. Acknowledgments Author Manuscript This research was carried out using the facilities of the Center for Demography and Ecology at the University ofWisconsin-Madison (R24 HD047873), the Population Studies Center at the University of Michigan (R24HD041028), and the Office of Population Research at Princeton University (R24H0047879). 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The American Journal of Sociology. 1994; 100(2):422–452. http://dx.doi.org/10.1086/230542. Kalmijn, Matthijs. Educational Inequality, Homogamy, and Status Exchange in Black-White Intermarriage: A Comment on Rosenfeld. The American Journal of Sociology. 2010; 115(4): 1252–1263. http://dx.doi.org/10.1086/649050. Liang, Zai; Ito, Naomi. Intermarriage of Asian Americans in the New York City Region: Contemporary Patterns and Future Prospects. International Migration Review. 1999; 33(4):876– 900. http://dx.doi.org/10.2307/2547356. Author Manuscript Lillard, Lee A.; Panis, Constantijn WA. Panel Attrition from the Panel Study of Income Dynamics: Household Income, Marital Status, and Mortality. The Journal of Human Resources. 1998; 33:437–457. http://dx.doi.org/10.2307/146436. McClintock, Elizabeth A. Beauty and Status: The Illusion of Exchange in Partner Selection? American Sociological Review. 2014; 79(4):575–604. http://dx.doi.org/10.1177/0003122414536391. Merton, Robert K. Intermarriage and the Social Structure. Psychiatry. 1941; 4:361–374. Sociol Sci. Author manuscript; available in PMC 2017 November 01. Schwartz et al. Page 21 Page 21 Monahan, Thomas P. An Overview of Statistics on Interracial Marriage in the United States, With Data on Its Extent From 1963–1970. Journal of Marriage and the Family. 1976; 38(2):223–231. http:// dx.doi.org/10.2307/350382. Author Manuscript Qian, Zhenchao. Breaking the Racial Barriers: Variations in Interracial Marriage Between 1980 and 1990. Demography. 1997; 34(2):263–276. http://dx.doi.org/10.2307/2061704. [PubMed: 9169282] Qian, Zhenchao; Lichter, Daniel. Social Boundaries and Marital Assimilation: Interpreting Trends in Racial and Ethnic Intermarriage. American Sociological Review. 2007; 72(1):68–94. Sociol Sci. Author manuscript; available in PMC 2017 November 01. Sociol Sci. Author manuscript; available in PMC 2017 November 01. References http:// dx.doi.org/10.1177/000312240707200104. Rosenfeld, Michael J. A Critique of Exchange Theory in Mate Selection. The American Journal of Sociology. 2005; 110(5):1284–1325. http://dx.doi.org/10.1086/428441. Rosenfeld, Michael J. Racial, Educational and Religious Endogamy in the United States: A Comparative Historical Perspective. Social Forces. 2008; 87(1):1–31. http://dx.doi.org/10.1353/ sof.0.0077. Rubin, Zick. Do American Women Marry Up? American Sociological Review. 1968; 33(5):750–760. http://dx.doi.org/10.2307/2092885. Schoen, Robert; Wooldredge, John. Marriage Choices in North Carolina and Virginia, 1969–71 and 1979–81. Journal of Marriage and Family. 1989; 51(2):465–481. http://dx.doi.org/10.2307/352508. Author Manuscript Schwartz, Christine R.; Mare, Robert D. Trends in Educational Assortative Marriage From 1940 to 2003. Demography. 2005; 42(4):621–646. http://dx.doi.org/10.1353/dem.2005.0036. [PubMed: 16463914] Schwartz, Christine R. Trends and Variation in Assortative Mating: Causes and Consequences. Annual Review of Sociology. 2013; 39:451–470. http://dx.doi.org/10.1146/annurev-soc-071312-145544. Sørensen, Annemette. Women, Family and Class. Annual Review of Sociology. 1994; 20:27–47. http:// dx.doi.org/10.1146/annurev.so.20.080194.000331. Stevens, Gillian; Owens, Dawn; Schaefer, Eric C. Education and Attractiveness in Marriage Choices. Social Psychology Quarterly. 1990; 53(1):62–70. http://dx.doi.org/10.2307/2786870. Taylor, Patricia A.; Glenn, Norval D. The Utility of Education and Attractiveness for Females’ Status Attainment Through Marriage. American Sociological Review. 1976; 41(3):484–498. http:// dx.doi.org/10.2307/2094255. Torche, Florencia; Rich, Peter. Declining Racial Stratification in Marriage Choices? Trends in Black/ White Status Exchange in the United States, 1980 to 2010. Sociology of Race and Ethnicity. 2016 Online first. Author Manuscript Udry, J Richard. The Importance of Being Beautiful: A Reexamination and Racial Comparison. The American Journal of Sociology. 1977; 83(1):154–160. http://dx.doi.org/10.1086/226511. Xie, Yu; Cheng, Siwei; Zhou, Xiang. Assortative Mating without Assortative Preference. Proceedings of the National Academy of Sciences (PNAS). 2015; 112(19):5974–5978. http://dx.doi.org/ 10.1073/pnas.1504811112. Author Manuscript Page 22 Page 22 Schwartz et al. Page 22 Sociol Sci. Author manuscript; available in PMC 2017 November 01. Author Manuscript Figure 1. Spouse’s relative education by relative social origin. Notes: HE = husband’s education; WE = wife’s education; HO = husband’s social origin; WO = wife’s social origin; hypogamy = wives "marry down"; homogamy = spouses share traits; hypergamy = husbands "marry down. " Cell row (i) and column (j) positions of Table 1 are shown in brackets [i, j]. Total sample size n = 7,398. Author Manuscript Figure 1. Spouse’s relative education by relative social origin. Notes: HE = husband’s education; WE = wife’s education; HO = husband’s social origin; WO = wife’s social origin; hypogamy = wives "marry down"; homogamy = spouses share traits; hypergamy = husbands "marry down. " Cell row (i) and column (j) positions of Table 1 are shown in brackets [i, j]. Total sample size n = 7,398. Author Manuscript Author Manuscript Page 23 Page 23 Schwartz et al. Table 1 Classification of marriages by spouse’s relative education and social origin. Sociol Sci. Author manuscript; available in PMC 2017 November 01. Notes: HE = husband’s education; WE = wife’s education; HO = husband’s social origin; WO = wife’s social origin; hypogamy = wives "marry down"; homogamy = spouses share traits; hypergamy = husbands "marry down." Cell row (i) and column (j) positions are shown in brackets [i, j]. Total sample size n = 7,398. Classification of marriages by spouse’s relative education and social origin. Author Manuscript g y p g Spouse’s Relative Social Origin HO <WO (hypogamy) HO = WO (homogamy) HO >WO (hypergamy) Spouse’s Relative Education HE < WE (hypogamy) [1,1] [1,2] [1,3] Wife-advantaged Exchange of wife’s E for husband’s O HE = WE (homogamy) [2,1] [2,2] [2,3] HE > WE (hypergamy) [3,1] [3,2] [3,3] Exchange of husband’s E for wife’s O Husband-advantaged Notes: HE = husband’s education; WE = wife’s education; HO = husband’s social origin; WO = wife’s social origin; hypogamy = wives "marry down"; homogamy = spouses share traits; hypergamy = husbands "marry down." Cell row (i) and column (j) positions are shown in brackets [i, j]. Notes: HE = husband’s education; WE = wife’s education; HO = husband’s social origin; WO = wife’s social origin; hypogamy = wives "marry down"; homogamy = spouses share traits; hypergamy = husbands "marry down." Cell row (i) and column (j) positions are shown in brackets [i, j]. Notes: HE = husband’s education; WE = wife’s education; HO = husband’s social origin; WO = wife’s social origin; hypogamy = wives "marry down"; homogamy = spouses share traits; hypergamy = husbands "marry down." Cell row (i) and column (j) positions are shown in brackets [i, j]. Author Manuscript Author Manuscript Author Manuscript Page 24 Page 24 Schwartz et al. Sociol Sci. Author manuscript; available in PMC 2017 November 01. Table 2 Percent distribution of marriages by spouse’s relative education and social origin. Author Manuscript Percent distribution of marriages by spouse s relative education and social origin. Spouse’s Relative Social Origin HO < WO (hypogamy) HO = WO (homogamy) HO > WO (hypergamy) row percent Spouse’s Relative Education HE < WE (hypogamy) 12.7 8.3 6.9 27.9 [1,1] [1,2] [1,3] HE = WE (homogamy) 16.7 14 14.4 45.1 [2,1] [2,2] [2,3] HE > WE (hypergamy) 8.5 8.2 10.4 28.1 [3,1] [3,2] [3,3] Column percent 37.8 30.5 31.7 100 Notes: HE = husband’s education; WE = wife’s education; HO = husband’s social origin; WO = wife’s social Percent distribution of marriages by spouse s relative education and social origin. Spouse’s Relative Social Origin HO < WO (hypogamy) HO = WO (homogamy) HO > WO (hypergamy) row percent Spouse’s Relative Education HE < WE (hypogamy) 12.7 8.3 6.9 27.9 [1,1] [1,2] [1,3] HE = WE (homogamy) 16.7 14 14.4 45.1 [2,1] [2,2] [2,3] HE > WE (hypergamy) 8.5 8.2 10.4 28.1 [3,1] [3,2] [3,3] Column percent 37.8 30.5 31.7 100 Notes: HE = husband’s education; WE = wife’s education; HO = husband’s social origin; WO = wife’s social origin; hypogamy = wives "mar down"; homogamy = spouses share traits; hypergamy = husbands "marry down." Cell row (i) and column (j) positions are shown in brackets [ Total sample size n = 7,398. Author Manuscript Author Manuscript Author Manuscript Page 25 Page 25 Schwartz et al. Table 3 Simple and complex tests of status exchange. HE for WO WE for HO "Simple" Tests Using Tabular Analyses 1. One-group testa 0.66† 0.66† 2. Two-group test controlling for hypergamya 0.68† 0.65† "Complex" Tests Using Log-Linear Models 3. Two-group test controlling for hypergamy & intertrait correlationsa 2.07† 2.1† 4. Two-group test controlling for hypergamy, intertrait correlations, & homogamy on education and social originsb Model 1: simple homogamy 2.38† 2.64† (0.20) (0.23) Model 2: variable homogamy 2.08† 2.29† (0.17) (0.20) Model 3: distance parameters 1.34† 1.41† (0.11) (0.12) Model 4: distance + variable homogamy 1.34† 1.42† (0.11) (0.12) Model 5: quasi-symmetry 1.34† 1.42† (0.11) (0.12) Model 6: saturated HE × WE and HO × WO 1.35† 1.42† (0.11) (0.12) Notes: HE = husband’s education; WE = wife’s education; HO = husband’s social origin; WO = wife’s social origin. † Table 3 Simple and complex tests of status exchange. Notes: HE = husband’s education; WE = wife’s education; HO = husband’s social origin; WO = wife’s social origin. Sociol Sci. Author manuscript; available in PMC 2017 November 01. Table 2 Author Manuscript HE for WO WE for HO Author Manuscript Notes: HE = husband’s education; WE = wife’s education; HO = husband’s social origin; WO = wife’s social origin. Author Manuscript †p < 0.01; *p < 0.05. Numbers in parentheses are standard errors *p < 0.05. Numbers in parentheses are standard errors aSignificance levels for these tests are calculated using bootstrapped confidence intervals following Efron and Tibshirani (1994:168–73, 227). Each test is calculated by randomly selecting 1,000 samples of size n = 7,398 from the original sample with replacement. bModel specifications are as follows. Model 1: simple homogamy distinguishes between homogamous matches (diagonals of the table) and heterogamous matches (off-diagonals only). Model 2: variable homogamy distinguishes between homogamous and heterogamous matches and allows the strength of homogamy to vary by the level of education or social origin. Model 3: distance parameters specify that the tendency to marry varies by the couple’s distance in status in education and social origin (|HO-WO| and |HE-WE|, respectively). Model 4: distance + variable homogamy is a hybrid model that contains parameters from both model 2 and model 3. Model 5: quasi-symmetry allows matching tendencies to be unique for each combination of couples’ statuses but constrains the parameters to be symmetric by sex. Model 6: saturated HE × WE and HO × WO saturates the two-way interactions between husbands’ and wives’ education and between husbands’ and wives’ social origins; it does not constrain the pattern to be symmetric by sex. Author Manuscript Page 26 Page 26 Schwartz et al. Table 4 Variation in exchange by spouses’ relative endowments of education and social origin. Variation in exchange by spouses’ relative endowments of education and social origin. Type of Exchange HE for WO (A1) Subsample HE > HO & WE ≤ WO 1.28* (0.16) (A2) Other couples 1.07 (0.12) p-value (A1) = (A2) 0.205 WE for HO (B1) Subsample WE > WO & HE ≤ HO 1.63† (0.19) (B2) Other couples 1.22 (0.15) p-value (B1) = (B2) 0.016* Notes: HE = husband’s education; WE = wife’s education; HO = husband’s social origin; WO = wife’s social origin. †p < 0.01; *p < 0.05. Numbers in parentheses are standard errors Total sample size n = 7 398 Variation in exchange by spouses’ relative endowments of education and social origin. Author Manuscript Author Manuscript Numbers in parentheses are standard errors. Total sample size n = 7,398. Author Manuscript Author Manuscript
https://openalex.org/W2520303206
https://www.jpep.endocrinology.org.ua/index.php/1/article/download/477/379
Ukrainian
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BODY COMPOSITION AND METABOLIC FEATURES OF POLYCYSTIC OVARY SYNDROME PATIENTS WITH NORMAL BODY WEIGHT
Problemi endokrinnoï patologìï
2,014
cc-by
3,664
Архипкiна Т. Л., Любимова Л. П., Гончарова О. А.1 ДУ «Iнститут проблем ендокринної патологiї iм. В. Я. Данилевського НАМН України», м. Харкiв; 1Харкiвська медична академiя пiслядипломної освiти tanya_arhipkina@hotmail.com Архипкiна Т. Л., Любимова Л. П., Гончарова О. А.1 ДУ «Iнститут проблем ендокринної патологiї iм. В. Я. Данилевського НАМН України», м. Харкiв; 1Харкiвська медична академiя пiслядипломної освiти tanya_arhipkina@hotmail.com Архипкiна Т. Л., Любимова Л. П., Гончарова О. А.1 ДУ «Iнститут проблем ендокринної патологiї iм. В. Я. Данилевського НАМН України», м. Харкiв; 1Харкiвська медична академiя пiслядипломної освiти tanya_arhipkina@hotmail.com Протягом останнiх десятирiч синдром полiкiстозних яєчникiв (СПКЯ) став розгля- датися не лише як гiнекологiчне захворю- вання, але й як чинник ризику розвитку ме- таболiчних порушень [1]. Вiдомо, що ключо- вим фактором у розвитку та прогресуваннi метаболiчних порушень є жирова тканина (ЖТ) [2]. Ще в 1970 роцi було запропонова- но теорiю про необхiднiсть критичної маси тiла, а також вiдсоткового вмiсту та абсо- лютної кiлькостi жирової тканини в органiз- мi для нормального функцiонування жiно- чої репродуктивної системи. Доведено, що зменшення кiлькостi ЖТ або збiльшення її понад 20 % може призвести до порушення фертильностi. При цьому визначено, що ва- жливу роль вiдiграє не лише ступiнь ожи- рiння, але й характер розподiлу ЖТ [3]. У великiй кiлькостi наукових дослiджень показано, що асоцiацiя СПКЯ та ожирiння збiльшує частоту i вираженiсть iнсулiноре- зистентностi (IР) та гiперiнсулiнемiї, тобто проявiв метаболiчного синдрому (МС) [4]. Деякi дослiдники стверджують, що МС зу- стрiчається у жiнок як з ожирiнням, так i з нормальною масою тiла. Для позначення цього стану було навiть запропоновано на- зву «metabolically obese normal weight» («ме- таболiчне ожирiння при нормальнiй масi тi- ла») [5]. Дотепер iснують суперечливi данi щодо вмiсту ЖТ у молодих жiнок, хворих на СПКЯ, що мають iндекс маси тiла (IМТ) < 25,0 кг/м2. При цьому, деякi автори вка- зують на можливе збiльшення об’єму ЖТ, що дозволяє їм говорити про наявнiсть «при- хованого» ожирiння [6]. Iншi дослiдники не виявили збiльшення вiдсотку ЖТ у хворих зi СПКЯ без ожирiння та не встановили зв’язку з метаболiчними параметрами [7]. У зв’язку з цим зазначенi повiдомлення не можуть повнiстю задовольнити дослiдникiв. Ожирiння традицiйно дiагностується ли- ше на пiдставi визначення IМТ, без урахува- ння вiдсотку ЖТ, який може значно коли- ватися при однакових значеннях маси тiла. Отже, можна припустити, що IМТ не є то- чним показником кiлькостi ЖТ, оскiльки не вiдображає характер її розподiлу, вiд якого залежить функцiональна активнiсть. Крiм того, до теперiшнього часу iснують суперечливi данi про iншi складовi маси тi- ла, що впливають на ризик розвитку мета- 1Роботу виконано в межах НДР вiддiлення патологiї статевих залоз ДУ «Iнститут проблем ендокринної патологiї iм. В. Я. 1Роботу виконано в межах НДР вiддiлення патологiї статевих залоз ДУ «Iнститут проблем ендокринної патологiї iм. В. Я. Данилевського НАМН України» «Визначення ролi ендотелiальної дисфункцiї в розвитку порушень системи репродукцiї та обґрунтування пiдходiв до їх терапiї». Установою, що фiнансує дослiдження, є НАМН України. Автори гарантують колективну вiдповiдальнiсть за все, що опублiковано в статтi. Автори гарантують вiдсутнiсть конфлiкту iнтересiв та власної фiнансової зацiкавленостi при виконаннi роботи та написаннi статтi. Архипкiна Т. Л., Любимова Л. П., Гончарова О. А.1 ДУ «Iнститут проблем ендокринної патологiї iм. В. Я. Данилевського НАМН України», м. Харкiв; 1Харкiвська медична академiя пiслядипломної освiти tanya_arhipkina@hotmail.com Данилевського НАМН України» «Визначення ролi ендотелiальної дисфункцiї в розвитку порушень системи репродукцiї та обґрунтування пiдходiв до їх терапiї». А 1Роботу виконано в межах НДР вiддiлення патологiї статевих залоз ДУ «Iнститут проблем ендокринної патологiї iм. В. Я. Данилевського НАМН України» «Визначення ролi ендотелiальної дисфункцiї в розвитку порушень системи репродукцiї та обґрунтування пiдходiв до їх терапiї». Установою, що фiнансує дослiдження, є НАМН України. Автори гарантують колективну вiдповiдальнiсть за все, що опублiковано в статтi. Автори гарантують вiдсутнiсть конфлiкту iнтересiв та власної фiнансової зацiкавленостi при виконаннi , ф у , р Автори гарантують колективну вiдповiдальнiсть за все, що опублiковано в статтi. 34 Проблеми ендокринної патологiї №3, 2014 Клiнiчна ендокринологiя на СПКЯ, збiльшується м’язова маса i ця тенденцiя значно вища за наявностi IР та гiперандрогенiї [9], а в iнших дослiдженнях вiдзначено, що м’язова маса у хворих зi СПКЯ може бути зменшеною [10]. Однак цi висновки були зробленi при дослiджен- нi м’язової маси у хворих зi СПКЯ на тлi ожирiння, в той же час практично вiдсутнi вiдомостi щодо молодих жiнок з нормаль- ною масою тiла. Дослiдження м’язової маси є дуже важливим, оскiльки може дозволи- ти уточнити ступiнь метаболiзму як iнсулi- ну, так i андрогенiв [11]. У зв’язку з цим виникла необхiднiсть застосовування в клi- нiчнiй практицi методiв об’єктивної оцiнки «композицiйного» складу тiла i проведення дослiджень щодо з’ясування ролi МТ i ЖТ в генезi ендокринно-метаболiчних порушень у хворих зi СПКЯ [12]. болiчних порушень у хворих зi СПКЯ. Осо- бливоi уваги заслуговує дослiдження вмiсту м’язової маси у хворих зi СПКЯ. М’язова тканина (МТ) також є одним з основних компонентiв складу тiла, її обсяг пiддає- ться помiтнiй динамiцi в рiзнi вiковi перiо- ди. Скелетна мускулатура, разом iз печiн- кою, є важливим депо енергiї глюкози, що запасається у виглядi глiкогену. Розвиток IР в органiзмi нiколи не торкається вiдразу всiх iнсулiнозалежних тканин. Спочатку по- рушення чутливостi до iнсулiну виявляється у скелетних м’язах, що i викликає необхi- днiсть компенсацiї шляхом пiдвищення про- дукування iнсулiну. Тому в тих тканинах, якi поки зберiгають нормальну чутливiсть до iнсулiну, дiя цього гормону проявляється як супрафiзiологiчна. Зокрема, в ЖТ розви- вається i прогресує гiпертрофiя адипоцитiв, а в тканинi яєчникiв посилюється стероїдо- генез, збiльшується гiперандрогенiя [8]. Метою нашого дослiдження було дослi- дити вмiст жирової i м’язової тканини та з’ясувати їх взаємозв’язок з гормональними i метаболiчними показниками у хворих iз синдромом полiкiстозних яєчникiв, що ма- ють нормальну масу тiла. У проведених ранiше дослiдженнях ви- словлюється дiаметрально протилежна дум- ка про МТ у хворих зi СПКЯ. Архипкiна Т. Л., Любимова Л. П., Гончарова О. А.1 ДУ «Iнститут проблем ендокринної патологiї iм. В. Я. Данилевського НАМН України», м. Харкiв; 1Харкiвська медична академiя пiслядипломної освiти tanya_arhipkina@hotmail.com В рядi пу- блiкацiй вказується, що у жiнок, хворих Проблеми ендокринної патологiї №3, 2014 МАТЕРIАЛИ ТА МЕТОДИ За форму- лою: (Т / ГЗСГ) × 100 % розраховували iн- декс вiльних андрогенiв (IВА) [17]. Вимiрю- вання рiвня гормонiв проводили в сироватцi кровi на 2–3 день самостiйного або iндукова- ного менструального циклу на аналiзаторi «Stat Fax 3100» (США). Вiдсотковий вмiст ЖТ та МТ дослiдже- но за допомогою дiагностичних ваг фiрми «Бойрер» (Нiмеччина). Результати аналiзу- вали з використанням таблиць, в яких пред- ставленi показники вiкових норм жiнок [17]. Дослiдження, результати яких представ- ленi в статтi, виконанi з дотриманням норм i принципiв захисту прав пацiєнта, Мiжна- родного кодексу медичної етики. Вiдсотковий вмiст ЖТ та МТ дослiдже- но за допомогою дiагностичних ваг фiрми «Бойрер» (Нiмеччина). Результати аналiзу- вали з використанням таблиць, в яких пред- ставленi показники вiкових норм жiнок [17]. Дослiдження, результати яких представ- ленi в статтi, виконанi з дотриманням норм i принципiв захисту прав пацiєнта, Мiжна- родного кодексу медичної етики. РЕЗУЛЬТАТИ ТА ЇХ ОБГОВОРЕННЯ пах хворих зi СПКЯ та жiнок групи кон- тролю за середнiми рiвнями тощакової глю- кози. Однак середнiй показник S глюкози у хворих з надмiрним вмiстом ЖТ i МТ виявився пiдвищеним. При цьому найбiль- ше пiдвищення цього показника встановле- но у жiнок з надлишковим вмiстом МТ, що свiдчить про зниження периферичної утилi- зацiї глюкози та дисфункцiю β-клiтин. Сере- днiй рiвень IРI у обстежених групи 1, з нор- мальним процентним вмiстом ЖТ i МТ не перевищував показники здорових жiнок. Компенсаторну гiперiнсулiнемiю виявлено у дев’яти (52,9 %) пацiєнток з пiдвищеним вмiстом ЖТ i у п’яти (38,5 %) з пiдвище- ним вмiстом МТ. Iнсулiнорезистентнiсть ви- явлено у трьох (17,6 %) пацiєнток з гру- пи 2 i у чотирьох (30,8 %) з групи 3. Най- бiльш вираженi пiдвищення (р < 0,001) iн- дексу НОМА виявлено у хворих з надли- шковим вмiстом ЖТ (група 2). Негативний вплив надлишку ЖТ на ендокринно-мета- болiчнi показники хворих зi СПКЯ пiдтвер- джуються виявленим прямим кореляцiйним зв’язком мiж масою ЖТ та показниками секрецiї iнсулiну (r = 0,51; р < 0,05), НОМА (r = 0,64; р < 0,05,) та зворотним кореляцiй- ним зв’язком iз ГЗСГ (r = –0,49; р < 0,05). В результатi дослiдження пацiєнтки зi СПКЯ були розподiленi нами на три групи. Групу 1 склали 20 (40 %) жiнок з нормаль- ним (що не перевищує вiкову норму) процен- тним вмiстом жирової та м’язової тканин. Групу 2 склали 17 (34 %) молодих жiнок, у яких виявлено пiдвищення вiдсоткового вмiсту ЖТ. До групи 3 увiйшли 13 (28 %) жiнок з надлишковим вмiстом МТ. Данi, отриманi в ходi дослiдження, представлено в таблицi. При порiвняннi дослiджуваних груп на- ми не виявлено суттєвої рiзницi у вiцi обсте- жених (21,2 ± 0,3; 22,5 ± 0,3 та 22,1 ± 0,3 ро- ки, вiдповiдно; р > 0,05). Iндекс маси тiла ви- явився статистично значуще (р < 0,001) пiд- вищеним у пацiєнток з надмiрним вмiстом ЖТ вiдносно показникiв iнших груп. Пацi- єнтки зi СПКЯ вiдрiзнялись вiд здорових жiнок значущим (р < 0,05) збiльшенням ОТ та iндексу ОТ/ОС, при цьому найбiльш ви- раженi змiни виявленi у жiнок з надлишко- вим вмiстом ЖТ. Отриманi нами данi ще раз пiдтверджують думку iнших науковцiв, що у частини хворих зi СПКЯ без ожирiн- ня є тенденцiя до абдомiнальної акумуляцiї жиру, тобто до наявностi «прихованого ожи- рiння», до проявiв МС i пов’язаних з ним порушень [19]. МАТЕРIАЛИ ТА МЕТОДИ розрахунок IМТ та спiввiдношення обвiд та- лiї (ОТ)/ обвiд стегон (ОС) [14]. Обстежено 68 пацiєнток, що звернулися в клiнiку ДУ «Iнститут проблем ендокрин- ної патологiї iм. В. Я. Данилевського НАМН України» з метою вiдновлення репродуктив- ної функцiї. Для оцiнки лiпiдного обмiну дослiджу- вали загальний холестерин (ХС), лiпопроте- їди високої щiльностi (ЛПВЩ), триглiцери- ди (ТГ). Стан вуглеводного обмiну визнача- ли на пiдставi результатiв 2-годинного перо- рального глюкозо-толерантного тесту з 75 г глюкозного навантаження. Рiвень глюкози визначався натще, а також кожнi 30 хв. протягом 2 годин дослiдження. Глiкемiчнi вiдповiдi на навантаження глюкозою оцiню- вали розрахунковим шляхом за величиною молярної площi пiд вiдповiдними сектораль- ними кривими (S) за трапецевидним прави- лом [15]. Iнсулiнорезистентнiсть оцiнювали шляхом визначення iндексу НОМА, при цьо- му iндекс > 2,5 розцiнювався як об’єктивний критерiй IР [16]. Основну групу склали 50 пацiєнток, хво- рих на СПКЯ, з нормальною масою тiла (середнiй вiк — 21,9 ± 0,2 рокiв). Дiагноз СПКЯ поставлено на пiдставi крiтерiїв Рот- тердамського консенсусу 2003 року: хронi- чна ановуляцiя, гiперандрогенiя, ехографi- чнi ознаки полiкiстознiх яєчнiкiв [13]. Ранi- ше цим пацiєнткам не проводилася терапiя, спрямована на зниження маси тiла, кори- гуюча гормональна терапiя або оперативне лiкування з приводу СПКЯ. Контрольну групу склали 18 здорових жiнок з нормальною менструальною фун- кцiєю, що звернулися для уточнення стану репродуктивної системи перед планування вагiтностi. Для визначення гормонального стану дослiджували загальний рiвень тестостеро- ну (Т) (набори фiрми «Алкор Био», Ро- сiя), iмунореактивного iнсулiну (IРI), гло- Всiм пацiєнткам проводили обстеження, що включало клiнiко-анамнестичний аналiз, 35 Проблеми ендокринної патологiї №3, 2014 Клiнiчна ендокринологiя Статистична обробка одержаних даних проводилася методами варiацiйної статисти- ки за допомогою стандартного пакета ста- тистичних розрахункiв. Статистична значу- щiсть розбiжностей середнiх величин визна- чали за t критерiєм Стьюдента. Розбiжностi вважалися значущими при р < 0,05. Для ви- значення зв’язку мiж дослiджуваними пока- зниками застосовували метод кореляцiйного аналiзу iз розрахунком коефiцiєнта кореля- цiї Пiрсона (r) i встановленням його значу- щостi за t критерiєм iз 95 % рiвнем надiй- ностi (р < 0,05). Данi за текстом i в таблицi наведено як середнє арифметичне та стати- стична похибка середнього арифметичного (X ± SX). булiну, що зв’язує статевi гормони (ГЗСГ) (набори фiрми DRG, США). За форму- лою: (Т / ГЗСГ) × 100 % розраховували iн- декс вiльних андрогенiв (IВА) [17]. Вимiрю- вання рiвня гормонiв проводили в сироватцi кровi на 2–3 день самостiйного або iндукова- ного менструального циклу на аналiзаторi «Stat Fax 3100» (США). булiну, що зв’язує статевi гормони (ГЗСГ) (набори фiрми DRG, США). Проблеми ендокринної патологiї №3, 2014 Проблеми ендокринної патологiї №3, 2014 РЕЗУЛЬТАТИ ТА ЇХ ОБГОВОРЕННЯ Нами не виявлено кореляцiї мiж вiдсо- тковим вмiстом ЖТ (r = 0,25; р > 0,05), IРI (r = 0,23; р > 0,05) та вмiстом МТ, що дає Порiвняльний аналiз вуглеводного обмi- ну показав вiдсутнiсть вiдмiнностей в гру- Проблеми ендокринної патологiї №3, 2014 36 Проблеми ендокринної патологiї №3, 2014 Клiнiчна ендокринологiя Т а б л и ц я Клiнiчнi, бiохiмiчнi та гормональнi показники хворих на синдром полiкiстозних яєчникiв без ожирiння в залежностi вiд композицiйного складу тiла Показник Група 1 (n = 20) Група 2 (n = 17) Група 3 (n = 13) Контроль (n = 18) Вiк, роки 21,2 ± 0,3 22,5 ± 0,3 22,1 ± 0,3 22,4 ± 0,3 IМТ, кг/м2 19,5 ± 0,2 23,1 ± 0,3* 21,3 ± 0,3 20,3 ± 0,3 ОТ/ОС 0,78 ± 0,01* 0,88 ± 0,01* 0,83 ± 0,01* 0,74 ± 0,01 Кiлькiсть МТ, % 36,8 ± 0,3 37,2 ± 0,2 39,7 ± 0,1* 36,6 ± 0,3 Кiлькiсть ЖТ, % 21,2 ± 0,3 30,8 ± 0,4* 23,6 ± 0,3 22,6 ± 0,3 Т, нмоль/л 3,0 ± 0,1* 3,9 ± 0,1* 4,3 ± 0,1* 2,3 ± 0,1 IВА, % 6,6 ± 0,1* 12,4 ± 0,2* 13,5 ± 0,2* 3,4 ± 0,1 ГЗСГ, нмоль/л 45,5 ± 1,1* 35,4 ± 1,1* 32,4 ± 1,2* 60,6 ± 3,0 IРI, мкОД/мл 11,4 ± 0,2 16,4 ± 0,4* 15,5 ± 0,5* 11,1 ± 0,5 НОМА 2,5 ± 0,1 3,5 ± 0,1* 3,1 ± 0,1* 2,3 ± 0,1 Глюкоза, ммоль/л 4,1 ± 0,1 4,3 ± 0,1 4,5 ± 0,2 3,9 ± 0,1 S глюкози, ммоль/л·хв. 524,9 ± 19,2 736,7 ± 18,2* 788,9 ± 19,1* 506,5 ± 17,8 ХС, ммоль/л 4,3 ± 0,1 4,5 ± 0,2 4,5 ± 0,1 4,2 ± 0,1 ТГ, ммоль/л 0,53 ± 0,03 0,64 ± 0,03* 0,62 ± 0,04* 0,54 ± 0,1 ХС ЛПВЩ, ммоль/л 1,48 ± 0,09 1,38 ± 0,08 1,28 ± 0,08 1,41 ± 0,08 П р и м i т к а. * — статистично значущi вiдмiнностi вiд контролю (р < 0,05); IМТ — iндекс маси тiла; ОТ — обвiд талiї; ОС — обвiд стегон; МТ — м’язова тканина; ЖТ — жирова тканина, Т — тестостерон; IВА — iндекс вiльних андрогенiв; ГЗГС — гормон, що зв’язує статевi гормони; IРI — iмунореактивний iнсулiн; НОМА — iндекс Homeostasis Model Assessment-Insulin Resistance; S — площа пiд глiкемiчними кривими; ХС — холестерин; ТГ — триглiцериди; ЛПВЩ — лiпопротеїди високої щiльностi. ВИСНОВКИ 1. Хворi на синдром полiкiстозних яєчникiв з нормальною масою тiла мають рiзний композицiйний склад тi- ла: 40 % обстежених мають нормальну кiлькiсть жирової i м’язової тканини, 34 % мають пiдвищений вмiст жирової, а 26 % — пiдвищений вмiст МТ. но прямий кореляцiйний зв’язок вмi- сту жирової тканини з показниками секрецiї iнсулiну та iндексом НОМА, зворотний — iз вмiстом гормону, що зв’язує статевi гормони. 3. У хворих на синдром полiкiстозних яєчникiв з пiдвищеною кiлькiстю МТ спостерiгаються бiльш вираженi проя- ви гiперандрогенiї; встановлено пози- тивну кореляцiйну залежнiсть вмiсту МТ з рiвнем тестостерону та iндексом вiльних андрогенiв, негативну — з рiв- нем гормону, що зв’язує статевi гормо- ни. 3. У хворих на синдром полiкiстозних яєчникiв з пiдвищеною кiлькiстю МТ спостерiгаються бiльш вираженi проя- ви гiперандрогенiї; встановлено пози- тивну кореляцiйну залежнiсть вмiсту МТ з рiвнем тестостерону та iндексом вiльних андрогенiв, негативну — з рiв- нем гормону, що зв’язує статевi гормо- ни. 2. У хворих на синдром полiкiстозних яєчникiв, якi мають пiдвищений вiд- сотковий вмiст жирової тканини, ви- явлено бiльш вираженi порушення ме- таболiчних показникiв — пiдвищення iндексу маси тiла та спiввiдношення обвiд талiї / обвiд стегон; встановле- РЕЗУЛЬТАТИ ТА ЇХ ОБГОВОРЕННЯ Т а б л и ц я iчнi та гормональнi показники хворих на синдром полiкiстозних без ожирiння в залежностi вiд композицiйного складу тiла Т а б л Клiнiчнi, бiохiмiчнi та гормональнi показники хворих на синдром полiкiстоз яєчникiв без ожирiння в залежностi вiд композицiйного складу тiла пiдстави припустити iснування iнших чин- никiв, що можуть вiдiгравати певну роль у збiльшеннi МТ у хворих зi СПКЯ. но позитивну кореляцiю вiдсоткового вмiсту МТ з рiвнем Т (r = 0,59; р < 0,05) та IВА (r = 0,61; р < 0,05) та негативний зв’язок — iз ГЗСГ (r = –0,63; р < 0,05). При вивченнi лiпiдного обмiну не вста- новлено значущих вiдмiнностей за середнi- ми показниками ХС та ХС ЛПВЩ, проте у хворих з надлишковим вмiстом ЖТ (гру- па 2) i МТ (група 3) вiдмiчено збiльшення рiвня ТГ (р < 0,05) (див. табл.). Вiдсутнiсть виражених змiн лiпiдного спектру кровi мо- жна пояснити тим, що у молодих жiнок, хворих на СПКЯ без ожирiння, є незначно вираженими гiперiнсулiнемiя, гiперандроге- нiя та IР, у зв’язку з чим виявляється ли- ше тенденцiя до формування атерогенних форм дислiпiдемiї. Таким чином, данi, отриманi в нашiй ро- ботi, вказують на неоднорiдний композицiй- ний склад тiла у молодих жiнок, хворих на СПКЯ, з нормальною масою тiла. Наявнiсть «прихованого» ожирiння бiльшою мiрою не- гативно впливає на метаболiчнi показники (IМТ, ОТ/ОС, IРI, НОМА), тодi як у пацiєн- ток iз пiдвищеною кiлькiстю МТ спостерiга- лися бiльш виразнi прояви гiперандрогенiї. Доцiльно в клiнiчну практику лiкуван- ня хворих iз СПКЯ, крiм визначення IМТ, впровадити методи об’єктивної оцiнки вмi- сту жирової i м’язової тканини. Розумiння цих аспектiв може допомогти в розробцi методiв лiкування репродуктивних розладiв. Раннє виявлення особливостей композицiй- ного складу тiла може допомогти в розробцi фенотипiв захворювання [20], в прогнозу- ваннi розвитку метаболiчних порушень i на- слiдкiв синдрому [21], а також у розробцi комплексу лiкувальних заходiв [22]. Гiперандрогенiя у всiх хворих зi СПКЯ проявлялась пiдвищенням секрецiї загаль- ного Т та зниженням ГЗСГ (р < 0,001), що супроводжувалося вiрогiдним (р < 0,001) пiдвищенням IВА вiдносно показникiв жi- нок iз нормальною репродуктивною функцi- єю. При порiвняннi груп жiнок, хворих на СПКЯ, встановлено, що найбiльш виразнi прояви гiперандрогенiї притаманнi для пацi- єнток iз пiдвищеною кiлькiстю МТ. Виявле- 37 Проблеми ендокринної патологiї №3, 2014 Клiнiчна ендокринологiя Проблеми ендокринної патологiї №3, 2014 КОМПОЗИЦIЙНИЙ СКЛАД ТIЛА ТА МЕТАБОЛIЧНI ОСОБЛИВОСТI У ХВОРИХ НА СИНДРОМ ПОЛIКIСТОЗНИХ ЯЄЧНИКIВ IЗ НОРМАЛЬНОЮ МАСОЮ ТIЛА Архипкiна Т. Л., Любимова Л. П., Гончарова О. А.1 р , , р ДУ «Iнститут проблем ендокринної патологiї iм. В. Я. Данилевського НАМН України», м. Харкiв; 1Харкiвська медична академiя пiслядипломної освiти tanya_arhipkina@hotmail.com Хворi на синдром полiкiстозних яєчникiв (СПКЯ) з нормальною масою тiла мають рiзний композицiйний склад тiла: 40 % — нормальний процентний вмiстом жирової i м’язової тканини; 34 % — пiдвищений вмiст жирової тканини, 26 % — пiдвищений вмiст МТ. Для хворих на СПКЯ з пiдвищеним вмiстом жирової тканини найбiльш характерними є метаболiчнi порушення: пiдвищення iндексу маси тiла та спiввiдношення обвiд талiї / обвiд стегон; прямий кореляцiйний зв’язок вмiсту жирової тканини з показниками секрецiї iнсулiну та iндексом НОМА. Для хворих на СПКЯ з пiдвищеним вмiстом МТ найбiльш характерними є прояви гiперандрогенiї. Рекомендовано в клiнiчну практику для лiкування хворих зi СПКЯ, крiм визначення iндексу маси тiла, впровадити методи об’єктивної оцiнки вмiсту жирової та МТ. К л ю ч о в i с л о в а: синдром полiкiстозних яєчникiв, нормальна маса тiла, процентний вмiст жирової i м’язової тканини, вуглеводний обмiн, лiпiдний обмiн. Проблеми ендокринної патологiї №3, 2014 ЛIТЕРАТУРА (REFERENCES) 1. Dedov II, Butrova SA. Ozhirenie i Metabolizm 2006; 1:31-39. 12. Savegnago M, Rodrigues F, Iraci E, et al. Rev Chhil Nutz 2010; 37(3):262-268. 13. Hum Reprod 2012; 27(1):14-24. 2. Chernuha GE, Shevcova VL, Blinova IV. Problemy Reprodukcii 2007; 4:29-34. 14. Khaodhiar L, Mc Cowen KC, Blackburn GL. Clin Cornerstone 1999; 2(1):17-31. 3. Kirchengast S, Huber I. Fertil Steril 2004; 81(3):539- 544. 15. Vygorskij MJa. Spravochnik po jelementarnoj matematike, Moskva, 1996: 279 p. 4. Carmina E, Bucchieri S, Esposito A, et al. J Clin Endocrinol Metabol 2007; 92(7):2500-2505. 16. Matthews DR, Hosker JP, Rudenski AS, et al. Dia- betologia 1985; 28(7):412-419. 5. Ruderman NB, Chisholm D, Pi-Sunyer X, et al. Diabetes 1998; 47(5):699-713. 17. Morley JE, Patrics P, Perry HM. Metab Clin Exp 2002; 51(5):554-559. 6. Kirchengast S. Hum Reprod 2001; 16(6):1255-1260. 18. Goncharova OA, Parchaladze VI, Il’ina IM. En- dokrynologija 2013;18(4):50-54. 7. Yildirim B, Salir N, Kaleli B. Fertil Steril 2003; 79(6):1358-1364. 8. Mkrtmjan AM, Chagaj NB. Problemy Reprodukcii 2005; 5:55-59. 19. Zykina TA, Strelkova AV, Savenko BA, Mel’nichenko GA. Saharnyj Diabet 2003; 1:16-20. 9. Comerford KB, Amario RU, Kim K, Karakas SE. Metabolism 2012; 61(9):1256-1260. 20. Panidis D, Tziomalos K, Misichronis G, et al. Hum Reprod 2012; 27(2):541-549. 10. Zabuliene L, Urboniene I, Tutkuviene J. Anthropo- logical Review 2013; 76(2):183-198. 21. Ezen U, Poll M, Mathur R, Azziz R. Hum Reprod 2014; 29(5):541-549. 11. Carmina E, Guastlla E, A.Longo R, et al. Eur J Endocrinol 2009; 161(4):583-589. 22. Ibáñez L, de Zegher F. J Clin Endocrynol Metabol 2004; 89(4):1592-1597. 38 Клiнiчна ендокринологiя Проблеми ендокринної патологiї №3, 2014 КОМПОЗИЦИОННЫЙ СОСТАВ ТЕЛА И МЕТАБОЛИЧЕСКИЕ ОСОБЕННОСТИ У БОЛЬНЫХ СИНДРОМОМ ПОЛИКИСТОЗНЫХ ЯИЧНИКОВ С НОРМАЛЬНОЙ МАССОЙ ТЕЛА Архипкина Т. Л., Любимова Л. П., Гончарова О. А.1 ГУ «Институт проблем эндокринной патологии им. В. Я. Данилевского НАМН Украины», г. Харьков; 1Харьковская медицинская академия последипломного образования tanya_arhipkina@hotmail.com Больные синдромом поликистозных яичников (СПКЯ) с нормальной массой тела имеют разный композиционный состав тела: 40 % — нормальное процентное содержание жировой и мы- шечной ткани, 34 % — повышенное содержание жировой ткани, 26 % — повышенное содержание мышечной ткани. Для больных СПКЯ с повышенным содержанием жировой ткани наиболее характерны метаболические нарушения: повышение индекса массы тела и соотношения объем талии / объем бедер; прямая корреляционная связь количества жировой ткани с показателями секреции инсулина и индексом НОМА. Для больных СПКЯ с повышенным содержанием мышеч- ной ткани наиболее характерны проявления гиперандрогении. Рекомендовано в клиническую практику для лечения больным с СПКЯ, помимо определения индекса массы тела, внедрить методы объективной оценки содержания жировой и мышечной ткани. К л ю ч е в ы е с л о в а: синдром поликистозных яичников, нормальная масса тела, про- центное содержание жировой и мышечной ткани, углеводный обмен, липидный обмен. 39 Клiнiчна ендокринологiя BODY COMPOSITION AND METABOLIC FEATURES OF POLYCYSTIC OVARY SYNDROME PATIENTS WITH NORMAL BODY WEIGHT SI «V. Danilevsky Institute for Endocrine Pathology Problems of the NAMS of Ukraine», Kharkiv; 1Kharkiv Postgraduate Medical Academy tanya_arhipkina@hotmail.com Patients with polycystic ovary syndrome (PCOS) with normal body weight have a different body composition: 40 % — normal percentage of fat and muscle tissue, 34 % — increased body fat, 26 % — higher content of muscle tissue. For PCOS patients with a high content of fat tissue are most common metabolic disorders: increased body mass index and the ratio of waist / hips; a direct correlation between the amount of adipose tissue with indicators of insulin secretion and HOMA index. For PCOS patients with increased muscle tissue most characteristic manifestations of hyperandrogenism. It was recommended in clinical practice for the treatment of patients with PCOS, in addition to the definition of body mass index implement methods of objective evaluation of the content of fat and muscle tissue. K e y w o r d s: polycystic ovary syndrome, normal body weight, percentage of fat and muscle tissue, glucose metabolism, lipid metabolism. 40
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Tuning the Reactivity of Radical through a Triplet Diradical Cu(II) Intermediate in Radical Oxidative Cross-Coupling
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Tuning the Reactivity of Radical through a Triplet Diradical Cu(II) Intermediate in Radical Oxidative Cross-Coupling received: 17 June 2015 accepted: 17 September 2015 Published: 03 November 2015 Liangliang Zhou1, Hong Yi1, Lei Zhu3, Xiaotian Qi3, Hanpeng Jiang4, Chao Liu1, Yuqi Feng4, Yu Lan3 & Aiwen Lei1,2 Highly selective radical/radical cross-coupling is paid more attention in bond formations. However, due to their intrinsic active properties, radical species are apt to achieve homo-coupling instead of cross-coupling, which makes the selective cross-coupling as a great challenge and almost untouched. Herein a notable strategy to accomplish direct radical/radical oxidative cross-coupling has been demonstrated, that is metal tuning a transient radical to a persistent radical intermediate followed by coupling with another transient radical. Here, a transient nitrogen-centered radical is tuned to a persistent radical complex by copper catalyst, followed by coupling with a transient allylic carbon- centered radical. Firstly, nitrogen-centered radical generated from N-methoxybenzamide stabilized by copper catalyst was successfully observed by EPR. Then DFT calculations revealed that a triplet diradical Cu(II) complex formed from the chelation N-methoxybenzamide nitrogen-centered radical to Cu(II) is a persistent radical species. Moreover, conceivable nitrogen-centered radical Cu(II) complex was observed by high-resolution electrospray ionization mass spectrometry (ESI-MS). Ultimately, various allylic amides derivatives were obtained in good yields by adopting this strategy, which might inspire a novel and promising landscape in radical chemistry. The direct functionalization of C–H bonds represents a powerful step-economic tool in organic syn- thesis1–7. Right now, most of the research objects are mainly focused on sp and sp2 C-H bonds in this realm8–12. Relative to the unsaturated C-H bonds, few examples on the functionalization of sp3 C-H bonds, which are abundant in nature, have been reported, partially due to their weak acidity and strong bond dissociation energy (BDE)13. The current strategy is mainly concentrated on functionalization of benzyl14, α  C-H bonds to heteroatoms15,16 or tert-butyl groups due to the impossibility of β -hydride elim- ination17. However, these researches are far from satisfaction and also can’t cater to the urgent demands for the development of more diverse and powerful synthetic strategies. Herein, we would like to ponder over a novel method for the direct functionalization of general unreactive sp3 C-H bonds18. g p From the aspect of electron transfer, there are three modes for sp3 C-H activation processes involved metals: i): deprotonation, zero electron process19; ii): oxidative addition, two electron process;20–23; iii): metalloradical activation, one electron process24–27. Due to the weak acidity of inert sp3 C-H bonds, direct deprotonation is very difficult. www.nature.com/scientificreports www.nature.com/scientificreports www.nature.com/scientificreports Scientific Reports | 5:15934 | DOI: 10.1038/srep15934 Tuning the Reactivity of Radical through a Triplet Diradical Cu(II) Intermediate in Radical Oxidative Cross-Coupling While, oxidation addition of C-H bonds is usually promoted by notable metals. Therefore, the metalloradical activation of simple sp3 C-H bonds can be regarded as a good 1College of Chemistry and Molecular Sciences, the Institute for Advanced Studies (IAS), Wuhan University, Wuhan, Hubei 430072, P. R. China. 2State Key Laboratory for Oxo Synthesis and Selective Oxidation, Lanzhou Institute of Chemical Physics, Chinese Academy of Sciences, Lanzhou 730000, P. R. China. 3School of Chemistry and Chemical Engineering, Chongqing University, Chongqing 400030, P.R. China. 4College of Chemistry and Molecular Sciences, Wuhan University, Wuhan, Hubei 430072, P. R. China. Correspondence and requests for materials should be addressed to A.L. (email: aiwenlei@whu.edu.cn) 1 Scientific Reports | 5:15934 | DOI: 10.1038/srep15934 www.nature.com/scientificreports/ Figure 1. Design of radical/radical oxidative cross-coupling . Figure 2. Tuning the reactivity of nitrogen-centered radical to accomplish N-H/C-H radical/radical oxidative cross-coupling under copper catalysis . Figure 1. Design of radical/radical oxidative cross-coupling . Figure 1. Design of radical/radical oxidative cross-coupling . Figure 1 Design of radical/radical oxidative cross coupling Figure 1. Design of radical/radical oxidative cross-coupling . Figure 2. Tuning the reactivity of nitrogen-centered radical to accomplish N-H/C-H radical/radical oxidative cross-coupling under copper catalysis . Figure 2. Tuning the reactivity of nitrogen-centered radical to accomplish N-H/C-H radical/radical oxidative cross-coupling under copper catalysis . Figure 2. Tuning the reactivity of nitrogen-centered radical to accomplish N-H/C-H radical/radical oxidative cross-coupling under copper catalysis . choice. However, in the field of radical chemistry, the most challenging problem is the homo-coupling of radicals, since most of the radicals are extremely active species so that the rate of homo-coupling is too fast to control the cross-coupling selectivity (Fig. 1)28,29. However, if a persistent radical and a tran- sient radical simultaneously exist in one reaction system, selective cross-coupling would probably occur according to the persistent radical effect30,31. As we know, radical species could be affected through some patterns by transition metals32,33, which can catalyze radical reaction34. Only if a metal additive has the ability to transform an unstable radical into a stable one in some way, realizing radical cross-coupling will become a relatively easy task. Based on our efforts, a transient nitrogen-centered radical could be transformed into a persistent radical intermediate by copper catalyst in the form of a triplet diradi- cal Cu(II) complex, which has been successfully characterized through EPR, DFT and high-resolution ESI-MS analysis35,36. Tuning the Reactivity of Radical through a Triplet Diradical Cu(II) Intermediate in Radical Oxidative Cross-Coupling In the following, another transient radical was introduced to resolve the scientific challenge perfectly. Afterwards, we achieved a copper-mediated sp3 C-H/N-H radical/radical oxidative cross-coupling between N-alkoxyamides and allylic derivatives (Fig. 2)37–49. Scientific Reports | 5:15934 | DOI: 10.1038/srep15934 Results and Discussion Firstly, we conducted the oxidation of N-methoxybenzamide with di-tert-butyl peroxide (DTBP) as the oxi- dant in 1,2-dichloroethane (DCE) at 120 °C. It was found that only 10% of methyl benzoate 5 was observed in the absence of copper(II) triflate (Cu(OTf)2), due to incomplete conversion of N-methoxybenzamide 1a. However, methyl benzoate 5 was obtained in 65% yield when Cu(OTf)2 was introduced. Methyl benzoate 5 might be derived from the decomposition of N’-benzoyl-N,N’-dimethoxybenzohydrazide 4, which under- went in a stepwise 1, l-elimination manner via intermediate nitrene with the concomitant generation of N2 at high temperature50,51. It indicates that copper plays an important role in the process. However, the role of copper is unclear (Fig. 3). To study the role of Cu(OTf)2 in the oxidation process of N-methoxybenzamide, EPR analysis was carried out with 1a and Cu(OTf)2 in the absence or presence of DTBP (see supplementary information for detailed reaction procedures). After mixing 1a with Cu(OTf)2 in DCE for 50 min at 120 °C, EPR experiment was conducted and an EPR signal assigned to copper was observed at 150 K (Fig. 4A), g// and g⊥ factor were respectively 2.429 and 2.0700, with coupling constant a// =  141.8 G. Meanwhile, a different EPR signal of copper was detected with introduction of DTBP (Fig. 4B), g// and g⊥ factor were respectively 2.385 and 2.0084, with coupling constant a// =  121.5 G. It suggests that Cu(OTf)2 was coor- dinated by N-methoxybenzamide and the coordination environment of copper salt has been changed during the oxidation process. g Furthermore, EPR analysis was carried out to probe the possible organic radical intermediates in the absence or presence of copper (see supplementary information for details). Firstly, a mixture of 1a and DTBP in DCE was heated at 120 °C. Upon completion of the reaction, 5,5-dimethyl-1-pyrroline N-oxide (DMPO) was added and the reaction system was allowed to be observed by EPR at room temperature. As Scientific Reports | 5:15934 | DOI: 10.1038/srep15934 2 www.nature.com/scientificreports/ Figure 3. The oxidation of N-methoxybenzamide . Figure 4. The electron paramagnetic resonance (EPR) spectra (X band, 9.4 GHz, 150 K) of (A): reaction mixture of Cu(OTf)2 and 1a in DCE at 120 °C; (B): reaction mixture of Cu(OTf)2, tBuOOtBu and 1a in DCE at 120 °C. Figure 3. The oxidation of N-methoxybenzamide . Figure 3. The oxidation of N-methoxybenzamide . Figure 3. The oxidation of N-methoxybenzamide . Figure 4. Scientific Reports | 5:15934 | DOI: 10.1038/srep15934 Results and Discussion The electron paramagnetic resonance (EPR) spectra (X band, 9.4 GHz, 150 K) of (A): reaction mixture of Cu(OTf)2 and 1a in DCE at 120 °C; (B): reaction mixture of Cu(OTf)2, tBuOOtBu and 1a in DCE at 120 °C. Figure 4. The electron paramagnetic resonance (EPR) spectra (X band, 9.4 GHz, 150 K) of (A): reaction mixture of Cu(OTf)2 and 1a in DCE at 120 °C; (B): reaction mixture of Cu(OTf)2, tBuOOtBu and 1a in DCE at 120 °C. a result, an EPR signal from the decomposition of DTBP was detected instead of nitrogen-centered rad- ical. (Fig. 5A). After introducing Cu(OTf)2 into the reaction system (Notably, other metal salts were also tested, see Figs S1 and S2 in supplementary information for details), the desired nitrogen-centered radi- cal was successfully detected (Fig. 5B)52,53, where the g factor was 2.0059. The above results might demon- strate the existence of nitrogen-centered radical and stabilization effect of Cu(OTf)2 to nitrogen-centered radical. Scientific Reports | 5:15934 | DOI: 10.1038/srep15934 3 www.nature.com/scientificreports/ Figure 5. The electron paramagnetic resonance (EPR) spectra (X band, 9.4 GHz, rt) of (A): reaction mixture of 1a and tBuOOtBu in DCE at 120 °C with the addition of DMPO; (B): reaction mixture of Cu(OTf)2, 1a and tBuOOtBu in DCE at 120 °C with the addition of DMPO. DMPO =  5,5-dimethyl-1- pyrroline N-oxide Figure 5. The electron paramagnetic resonance (EPR) spectra (X band, 9.4 GHz, rt) of (A): reaction mixture of 1a and tBuOOtBu in DCE at 120 °C with the addition of DMPO; (B): reaction mixture of Cu(OTf)2, 1a and tBuOOtBu in DCE at 120 °C with the addition of DMPO. DMPO =  5,5-dimethyl-1- pyrroline N-oxide Figure 6. The geometry information of triplet diradical Cu(II) complex 7 . Figure 6. The geometry information of triplet diradical Cu(II) complex 7 . To further clarify the detailed interaction between nitrogen-centered radical and Cu(OTf)2, density functional theory (DFT) calculation employing method B3-LYP was carried out54,55. In the presence of Cu(OTf)2, nitrogen-centered radical 6 could be stabilized by 12.0 kcal/mol through the generation of a triplet diradical Cu(II) complex 7 (eq 1). However, the formation of the corresponding singlet Cu(III) complex 8 was 13.7 kcal/mol endothermic (eq 2). And we also conducted the calculation of Cu(II) complex coordinated by nitrogen-centered radical, which is still less stable than Cu(II) complex 7 (See Fig. S4, 6a in supplementary information for details). Subsequent distribution of spin density shown in Fig. Results and Discussion 6 also Scientific Reports | 5:15934 | DOI: 10.1038/srep15934 4 www.nature.com/scientificreports/ Figure 7. High-resolution ESI-MS analysis (rt) of the reaction (A): reaction mixture of Cu(OTf)2 and 1a in ethyl acetate at 120 °C for 1 h; (B): reaction mixture of Cu(OTf)2, 1a and tBuOOtBu in ethyl acetate at 120 °C for 1 h. Figure 7. High-resolution ESI-MS analysis (rt) of the reaction (A): reaction mixture of Cu(OTf)2 and 1a in ethyl acetate at 120 °C for 1 h; (B): reaction mixture of Cu(OTf)2, 1a and tBuOOtBu in ethyl acetate at 120 °C for 1 h. ndicated that the oxidation state of Cu is + 2 due to the located large spin. Another unpaired electron was shared by nitrogen and two oxygen atoms, which accounted for the stability of 7.fi y g yg y In order to get sufficient evidence to elaborate the interaction between copper and nitrogen-centered radical, high-resolution electrospray ionization mass spectrometry (ESI-MS) analysis was performed. As shown in Fig. 7, at the beginning, the complex between Cu(OTf)2 and 1a was formed, a set of peaks at main m/z 514.0084 that corresponded to cationic complex [Cu(OTf)(PhCONHOMe)2]+ were found (Fig. 7A). When ESI-MS analysis of the reaction about Cu(OTf)2, 1a and DTBP was carried out, it was found that the set of peaks at main m/z 514.0084 decayed dramatically while another set of peaks at main m/z 468.0727 appeared, which might correspond to cationic-radical complex [Cu(OTf)(PhCON˙OMe) (EA)(H2O)]+ (Fig. 7B (Blue), EA =  Ethyl acetate). These results were highly consistent with EPR exper- iments (Fig. 4A,B). g Up to now, the interaction between Cu(OTf)2 and nitrogen-centered radical have been demonstrated, which may exist in the stable form of a triplet diradical Cu(II) complex. Here, the different results for generation of methyl benzoate in the Fig. 3 can be illustrated. A persistent copper-nitrogen-centered radical from chelation between nitrogen-centered radical and copper more readily coupled with another transient nitrogen-centered radical to produce intermediate 4 with the existence of copper (Fig. 3). Based on our initial assumption, if a transient radical is introduced into the system of N-methoxybenzamide 1a and Cu(OTf)2, the highly selective cross-coupled product could be obtained. Cyclohexene was chosen as a precursor of transient carbon-centered radical to verify our proposal. Scientific Reports | 5:15934 | DOI: 10.1038/srep15934 Results and Discussion Since the cyclohexene could be easily oxidized into allylic carbon-centered radical by DTBP56, and the corresponding allylic amine derivatives extensively exist in natural products and pharmaceuticals57,58, achieving direct synthesis of allylic amines from simple allylic hydrocarbons and amines should be charming and significant. i To testify the feasibility of cross-coupling between stable nitrogen-centered radical complex and transient carbon-centered radical, firstly, we got some viable results by DFT. Computational results suggested that the generation of nitrogen-centered radical 6 is favorable compared with that of 9 (See Fig. S3 in supplementary information for details). For the interaction between carbon-centered radical 9 and Cu(OTf)2, however, the formation of both triplet diradical Cu(II) complex and singlet Cu(III) Scientific Reports | 5:15934 | DOI: 10.1038/srep15934 5 www.nature.com/scientificreports/ www.nature.com/scientificreports/ Figure 8. Design of Cu(II)-mediated C-H/N-H radical oxidative cross-coupling . Figure 8. Design of Cu(II)-mediated C-H/N-H radical oxidative cross-coupling . complex are all endothermic (see Fig. S4 in supplementary information for details), which indicates that radical 9 cannot be stabilized by Cu(OTf)2 compared to radical 6. Consequently, the copper stabilized nitrogen-centered radical complex 7 is supposed to be a persistent radical, enabling cross-coupling with newly generated transient radical 9 to afford the Cu(II) complex 10 with 34.3 kcal/mol exothermic (eq 3). On above basis, a plausible pathway for direct radical/radical cross-coupling is designed in Fig. 8. Initially, coordination of copper(II) triflate to ethyl acetate followed by the ligand exchange of complex A by 1a produced Cu(II) complex B, which was confirmed by high-resolution ESI-MS. Subsequently, hydrogen abstraction of complex B by tBuO radical generated from homolytic cleavage of DTBP resulted in generation of Cu(II) intermediate C chelated by two oxygen atom of nitrogen-centered rad- ical species. In the following, the complex D was given highly selectively through the cross-coupling of nitrogen-centered radical Cu(II) species C and carbon-centered radical 9 from 2a. Finally, complex D released the desired product 3aa and Cu(OTf)2 to furnish the whole catalytic cycle. The possible path- way of cyclohexene radical 9 homolytic substituent to Cu(III)-nitrogen complex was excluded59,60 due to instability of Cu(III) complex.t y p Afterwards, we tried to optimize the reaction conditions employing 1a and 2a as model substrates based on the above research (see Table S1 in supplementary information for details). It was noted that during the transform, homo-coupling of 2a was also observed by GC-MS, which was further indicative of existence of allylic carbon-centered radical. Results and Discussion After considerable efforts, we determined the optimized conditions to be: 1a (0.5 mmol), 2a (2 mL), Cu(OTf)2 (0.01 mmol, 2 mol%), DTBP (1.25 mmol, 2.5 equiv), ethyl acetate (0.5 mL), 120 °C, 9 h. Although 2a was excess, it could be reused more than three times (see Table S2 for details in supplementary information).i With the optimized conditions in hand, we next sought to define the scope of other substrates First of all, various N-methoxybenzamide derivatives were employed to couple with cyclohexene (Table 1). N-methoxybenzamides with electron-donating groups on aryl rings such as Me (3ba), Et (3ca), tBu (3da) and OMe (3ea) could be cross-coupled efficiently with cyclohexene to deliver the corresponding products in good to excellent yields. N-Methoxy-3, 5-dimethylbenzamide also proceeded well, giving the coupling product in 77% yield (Table 1, 3fa). However, substrates with electron-withdrawing groups on aryl rings are inferior to those with electron-donating substituents, since substrates with NO2 (3ga), COOMe (3ha) and CF3 (3ia) substituents afforded the desired products in slightly lower yields. On the other hand, para-halogen substituents such as F (3ja), Cl (3ka) and Br (3la) could be well tolerated. Meanwhile, N-methoxybenzamides with meta-substituents on aryl rings were also found to be good coupling part- ners, generating desired products in good yields (3ma – 3oa). To our delight, aliphatic amide was also suitable substrate, giving the desired product (3pa). It is interesting to note that substrates with other aromatic groups such as naphthalene (3qa), furan (3ra) and thiophene (3sa) were also feasible. The yield for 3sa is relatively low because of the incomplete conversion of the starting material. 6 Scientific Reports | 5:15934 | DOI: 10.1038/srep15934 www.nature.com/scientificreports/ www.nature.com/scientificreports/ Entry Product (3xa) Yieldb 16 61% 17 3qa 79% 18 3ra 68% 19 3sa 55% Table 1. Scope of the N-methoxyarylamide. aUnless otherwise noted, the reaction conditions were as follows: 1 (0.5 mmol), 2a (2 mL), [Cu(OTf)2] (0.01 mmol), DTBP (1.25 mmol), 0.5 mL EtOAc, 120 °C, 9 h. bYields of isolated products. c2a (3 mL). DTBP =  Di-tert-butyl peroxide. Entry Product (3xa) Yieldb 16 61% 17 3qa 79% 18 3ra 68% 19 3sa 55% Table 1. Scope of the N-methoxyarylamide. aUnless otherwise noted, the reaction conditions were as follows: 1 (0.5 mmol), 2a (2 mL), [Cu(OTf)2] (0.01 mmol), DTBP (1.25 mmol), 0.5 mL EtOAc, 120 °C, 9 h. bYields of isolated products. c2a (3 mL). DTBP =  Di-tert-butyl peroxide. 3qa 3qa 3ra 3sa Table 1. Scope of the N-methoxyarylamide. aUnless otherwise noted, the reaction conditions were as follows: 1 (0.5 mmol), 2a (2 mL), [Cu(OTf)2] (0.01 mmol), DTBP (1.25 mmol), 0.5 mL EtOAc, 120 °C, 9 h. bYields of isolated products. c2a (3 mL). DTBP =  Di-tert-butyl peroxide. We next examined the scope of allylic substrates that participated in this C− H amination reaction. As summarized in Table  2, a wide range of cyclopentene (3ab), (Z)-cyclooctene (3ac and 3ad) and (Z)-cyclododecene (3ae) allylic substrates underwent C− H amination under the modulate conditions. It is very satisfactory that long-chain aliphatic allylic substrates could also couple with 1a. For instance, oct-1-ene (3af) and dodec-1-ene (3ag) were all suitable substrates, giving the branch products in mod- erate yield. But, to be our surprise, when allylbenzene was applied, N-cinnamyl-N-methoxybenzamide (3ah) was isolated. Maybe, allybenzene was isomerized during the process because of conjugation from benzene. On the other hand, the primary allylic C-H was also tolerated. Prop-1-en-2-ylbenzene gave moderate yield (3ai). y ( ) In conclusion, a novel strategy to promote radical/radical oxidative cross-coupling have been demon- strated, where metal-additive stabilizes one of both transient radicals to accomplish direct C-H/N-H radical/radical oxidative cross-coupling for construction of allylic amine. Nitrogen-centered radical, compared to allylic carbon-centered radical, is preferably stabilized through a triplet diradical Cu(II) complex, which is characterized as a key persistent radical intermediate through EPR, DFT and ESI-MS, so as to furnish cross-coupling with a transient allylic carbon-centered radical for a direct formation of C-N bonds. This discovery may open up a brand-new concept and promising landscape for radical reaction. More extension of this strategy is currently ongoing in our laboratory. www.nature.com/scientificreports/ www.nature.com/scientificreports/ p Entry Product (3xa) Yieldb 1 R =  H, 3aa 81% 2 R =  Me, 3ba 82% 3 R =  Et, 3ca 77% 4 R =  tBu, 3da 75% 5 R =  OMe, 3ea 83% 6 3fa 77% 7 R =  NO2, 3ga 51%c 8 R =  COOMe, 3ha 68% 9 R =  CF3, 3ia 62% 10 R =  F, 3ja 79% 11 R =  Cl, 3ka 73% 12 R =  Br, 3la 75% 13 R =  F, 3ma 69% 14 R =  Cl, 3na 69% 15 R =  Br, 3oa 65% Continued 3fa 3fa Scientific Reports | 5:15934 | DOI: 10.1038/srep15934 7 www.nature.com/scientificreports/ Methods General procedure for preparation of N-methoxybenzamide. Into a round-bottom flask with a stir bar are added methoxyammonium chloride (11 mmol, 1.1 equiv), Potassium carbonate (22 mmol, Scientific Reports | 5:15934 | DOI: 10.1038/srep15934 Methods et ods General procedure for preparation of N-methoxybenzamide. Into a round-bottom flask with stir bar are added methoxyammonium chloride (11 mmol, 1.1 equiv), Potassium carbonate (22 mmol Scientific Reports | 5:15934 | DOI: 10.1038/srep15934 8 www.nature.com/scientificreports/ www.nature.com/scientificreports/ Entry 2 Product (3ax) Yieldb 1 3ab 57% 2 R = H, 3ac R = OMe, 3ad 3 R =  H, 3ac 47% 4 R =  OMe, 3ad 72%c 5 3ae 62%d 6 3af 46%c 7 46%c 8 45%c 9 57% Table 2. Scope of the allylic substrates. aUnless otherwise noted, the reaction conditions were as follows: 1a (0.5 mmol), 2 (3 mL), [Cu(OTf)2] (0.01 mmol), DTBP (1.25 mmol), EtOAc (0.5 mL), 120 °C, 9 h. bYields of isolated products cDTBP (2 0mmol) DTBP = Di tert butyl peroxide d(Z) cyclododecene (2ml) 3ab R = H, 3ac R = OMe, 3ad 3ae 3af 3af Table 2. Scope of the allylic substrates. aUnless otherwise noted, the reaction conditions were as follows: 1a (0.5 mmol), 2 (3 mL), [Cu(OTf)2] (0.01 mmol), DTBP (1.25 mmol), EtOAc (0.5 mL), 120 °C, 9 h. bYields of isolated products. cDTBP (2.0 mmol). DTBP =  Di-tert-butyl peroxide. d(Z)-cyclododecene (2 ml). Scientific Reports | 5:15934 | DOI: 10.1038/srep15934 9 www.nature.com/scientificreports/ 2.2 equiv), water (10 mL) and ethyl acetate (20 mL) at 0 °C. Then benzoyl chloride (10 mmol) was added into the flask dropwise. After adding benzoyl chloride, the flask was allowed to put into room tempera- ture. Upon completion of the reaction by TLC analysis, it was extracted with ethyl acetate. The organic layers were combined and dried over anhydrous Na2SO4. The pure product was obtained by flash column chromatography on silica gel (petroleum: ethyl acetate =  1:1). General procedure for oxidation of N-methoxybenzamide. In an oven-dried tube equipped with a stir bar, Cu(OTf)2 ( 0.01mmol, 2 mol%) (or as required with no addition) and N-methoxybenzamide 1a (0.50 mmol) were combined and sealed. The tube was then charged with nitrogen and DCE (2.0 mL) was injected into the tube by syringe. Under the protection by nitrogen, DTBP (1.25 mmol, 2.5 equiv) was slowly injected into the reaction tube. The reaction was then heated to 120 °C for 9 h, and cooled down to room temperature. The yield was determined by GC with 1,1’-biphenyl as the internal standard. General procedure for EPR experiments. (I): In an oven-dried tube equipped with a stir bar, Cu(OTf)2 ( 0.0125mmol, 5 mol%) and N-methoxybenzamide 1a (0.25 mmol) were combined and sealed. The tube was then charged with nitrogen and DCE (0.25 mL) was injected into the tube by syringe. www.nature.com/scientificreports/ Under the protection by nitrogen, DTBP (0.625 mmol, 2.5 equiv) (or as required with no addition) was slowly injected into the reaction tube. The reaction was then heated to 120 °C for 50 min. After that, 10 μ L of the solution was taken out into a small tube. Then, this mixture was analyzed by EPR at 150 K. (II) In an oven-dried tube equipped with a stir bar, Cu(OTf)2 ( 0.0125 mmol, 5 mol%) (or as required with no addition) and N-methoxybenzamide 1a (0.25 mmol) were combined and sealed. The tube was then charged with nitrogen and DCE (0.25 mL) was injected into the tube by syringe. Under the protec- tion by nitrogen, DTBP (0.625 mmol, 2.5 equiv) was slowly injected into the reaction tube. The reaction was then heated to 120 °C for 50 min. 10 μ L DMPO (5,5-dimethyl-1-pyrroline N-oxide) was added into the system, After that, 10 μ L of the solution was taken out into a small tube. Then, this mixture was analyzed by EPR at room temperature. General procedure for high-resolution ESI-MS experiments. In an oven-dried tube equipped with a stir bar, Cu(OTf)2 (0.01 mmol, 2 mol%) and N-methoxybenzamide 1a (0.50 mmol) were combined and sealed. The tube was then charged with nitrogen and ethyl acetate (2.0 mL) was injected into the tube by syringe. Under the protection by nitrogen, DTBP (1.25 mmol, 2.5 equiv) (or as required with no addition) was slowly injected into the reaction tube. The reaction was then heated to 120 °C for 1 h. Twenty microliter of this reaction solution was directly taken out for high-resolution ESI-MS analysis at room temperature. General procedure for the oxidative radical/radical cross-coupling. In an oven-dried tube equipped with a stir bar, Cu(OTf)2 (0.01 mmol, 2 mol%) and N-methoxybenzamide 1a (0.50 mmol) were combined and sealed. The tube was then charged with nitrogen, ethyl acetate (0.5 mL) and cyclohexene 2a (2.0 mL) were successively injected into the tube by syringe. Under the protection by nitrogen, DTBP (1.25 mmol, 2.5 equiv) was slowly injected into the reaction tube. The reaction was then put into oil bath under 120 °C. After stirring for 9 h, the reaction was cooled down to room temperature and quenched with saturated Na2S2O3 solution. 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Chem. Soc. 136, 10930–10940 (2014). Acknowledgementsh g This work was supported by the 973 Program (2012CB725302), the National Natural Science Foundation of China (21390400, 21272180, and 21302148), and the Research Fund for the Doctoral Program of Higher Education of China (20120141130002) and the Ministry of Science and Technology of China (2012YQ120060). The Program of Introducing Talents of Discipline to Universities of China (111 Program) is also appreciated, and the Foundation of 100 Young Chongqing University (project 0903005203191). Author Contributions A.W.L., C.L. and L.L.Z. contributed to the conception and design of the experiments. L.L.Z. worked on the synthetic experiments, products isolation and purification. L.L.Z., H.P.J. and Y.Q.F. carried out the HRESI-MS analysis. L.L.Z. and H.Y. carried out the EPR experiments. L.Z., X.T.Q. and Y.L. carried out DFT calculations and DFT writing. L.L.Z. wrote the paper and all authors contributed to data analysis and scientific discussion. Scientific Reports | 5:15934 | DOI: 10.1038/srep15934 Additional Information Supplementary information accompanies this paper at http://www.nature.com/srepi Competing financial interests: The authors declare no competing financial interests. How to cite this article: Zhou, L. et al. Tuning the Reactivity of Radical through a Triplet Diradical Cu(II) Intermediate in Radical Oxidative Cross-Coupling. Sci. Rep. 5, 15934; doi: 10.1038/srep15934 (2015). This work is licensed under a Creative Commons Attribution 4.0 International License. The images or other third party material in this article are included in the article’s Creative Com- mons license, unless indicated otherwise in the credit line; if the material is not included under the Creative Commons license, users will need to obtain permission from the license holder to reproduce the material. To view a copy of this license, visit http://creativecommons.org/licenses/by/4.0/ Scientific Reports | 5:15934 | DOI: 10.1038/srep15934 12
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Differential treatment responses to immune checkpoint inhibitor (ICI) therapy in a case of multiple primary malignancies: the programmed death ligand-1 (PD-L1) negative ureteral and lung metastasis from a clear cell renal cell carcinoma appearing after robotic-assisted partial nephrectomy progressed after ICI therapy, while synchronous PD-L1-positive primary lung squamous cell carcinoma responded very well to ICI therapy: a case report
World journal of surgical oncology
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World Journal of Surgical Oncology World Journal of Surgical Oncology Urushibara et al. World Journal of Surgical Oncology (2023) 21:37 https://doi.org/10.1186/s12957-023-02920-2 Open Access Differential treatment responses to immune checkpoint inhibitor (ICI) therapy in a case of multiple primary malignancies: the programmed death ligand‑1 (PD‑L1) negative ureteral and lung metastasis from a clear cell renal cell carcinoma appearing after robotic‑assisted partial nephrectomy progressed after ICI therapy, while synchronous PD‑L1‑positive primary lung squamous cell carcinoma responded very well to ICI therapy: a case report Masayasu Urushibara1*, Kazuhiro Ishizaka1, Noriyuki Matsutani2, Mikiko Takahashi3, Masakazu Nagata1, Taisuke Okumura1, Yuuki Matsumoto1, Shinichiro Tatsuoka1, Tsunehiro Nenohi1, Takumasa Amemiya1, Yohei Shimizu1, Takeshi Shirakawa1 and Daisuke Kato1 © The Author(s) 2023. Open Access This article is licensed under a Creative Commons Attribution 4.0 International License, which permits use, sharing, adaptation, distribution and reproduction in any medium or format, as long as you give appropriate credit to the original author(s) and the source, provide a link to the Creative Commons licence, and indicate if changes were made. The images or other third party material in this article are included in the article’s Creative Commons licence, unless indicated otherwise in a credit line to the material. If material is not included in the article’s Creative Commons licence and your intended use is not permitted by statutory regulation or exceeds the permitted use, you will need to obtain permission directly from the copyright holder. To view a copy of this licence, visit http://​creat​iveco​mmons.​org/​licen​ses/​by/4.​0/. The Creative Commons Public Domain Dedication waiver (http://​creat​iveco​ mmons.​org/​publi​cdoma​in/​zero/1.​0/) applies to the data made available in this article, unless otherwise stated in a credit line to the data. Abstract Background  Renal cell carcinoma (RCC) and non-small cell lung cancer (NSCLC) are representative malignancies that respond well to immune checkpoint inhibitors (ICIs). Research has been conducted to identify biomarkers, such as programmed death ligand-1 (PD-L1), that would allow the response to ICI therapy to be predicted; however, the complex tumor immune system consisting of both host and tumor factors may also exert an influence. Case presentation  Computed tomographic imaging (CT) incidentally revealed a left renal mass, and a left pulmo- nary nodule with multiple lymph node metastases (LNMs). Firstly, video-assisted thoracic surgery revealed a lung tumor invading the chest wall. Histologically, the findings of the tumor were consistent with squamous cell carci- noma (SCC), and immunohistochemistry (IHC) showed positive PD-L1 expression. The renal tumor was excised by *Correspondence: Masayasu Urushibara urushibara0383@med.teikyo-u.ac.jp Full list of author information is available at the end of the article Background Only about 60 clinical cases of ureteral metastasis from renal cell carcinoma (RCC) have been reported in the literatures [1, 2]. Studies have shown that treat- ment with immune checkpoint inhibitors (ICIs) elicits more sustained responses and yields longer survivals in patients with a variety of malignancies, including advanced RCC [3] and non-small cell lung carcinoma (NSCLC) [4]. In a previously reported study, 271 (1%) out of 26,255 patients with carcinoma had multi- ple primary malignancies (MPMs), and moreover, 92 (34%) of these patients had synchronous malignan- cies [5]. With the increased life expectancy of humans and improvements in diagnostic methods, the number of patients with synchronous MPMs may be expected to increase. It might be possible to treat synchronous MPMs simultaneously shrunk with ICIs, which acti- vate the host immune system against malignancy. Indi- vidual persons and tumors show different results of immunohistochemistry (IHC) for programmed death ligand-1 (PD-L1). Herein, we report a case in which the PD-L1-negative ureteral metastasis detected after robotic-assisted partial nephrectomy (RAPN) for early clinical stage RCC progressed rapidly after ICI therapy, while the almost synchronously detected PD-L1-posi- tive primary advanced lung squamous cell carcinoma (SCC) with multiple lymph node metastases disap- peared, with a sustained response, after ICI therapy. A 78-year-old asymptomatic man with no significant past medical history, who had smoked 20 cigarettes a day for 50  years underwent preoperative computed tomographic imaging (CT) for chronic perforated otitis media; the imaging examination incidentally revealed an irregular tumor measured about 50  mm in diame- ter in the lower pole of the left kidney and also a large left lung tumor with multiple lymph node metastases, involving the nodes in the left pulmonary hilum, medi- astinum, and bronchial bifurcation (Fig. 1A—D). The Karnofsky performance status was rated as 0. First of all, video-assisted thoracic surgery to obtain histological confirmation of lung metastasis from the RCC revealed invasion of the chest wall by the left lung tumor. On the other hand, histological examination of the left lung tumor showed features consistent with SCC, and IHC revealed a positive result for tumor PD-L1 expression (clone 22C3, tumor proportion score (TPS): 1–49%) (Fig. 2A, 5A). Positron emission tomography revealed supraclavicular lymph node metastases. The R.E.N.A.L. © The Author(s) 2023. Open Access This article is licensed under a Creative Commons Attribution 4.0 International License, which permits use, sharing, adaptation, distribution and reproduction in any medium or format, as long as you give appropriate credit to the original author(s) and the source, provide a link to the Creative Commons licence, and indicate if changes were made. The images or other third party material in this article are included in the article’s Creative Commons licence, unless indicated otherwise in a credit line to the material. If material is not included in the article’s Creative Commons licence and your intended use is not permitted by statutory regulation or exceeds the permitted use, you will need to obtain permission directly from the copyright holder. To view a copy of this licence, visit http://​creat​iveco​mmons.​org/​licen​ses/​by/4.​0/. The Creative Commons Public Domain Dedication waiver (http://​creat​iveco​ mmons.​org/​publi​cdoma​in/​zero/1.​0/) applies to the data made available in this article, unless otherwise stated in a credit line to the data. Urushibara et al. World Journal of Surgical Oncology (2023) 21:37 Page 2 of 9 Urushibara et al. World Journal of Surgical Oncology robotic-assisted partial nephrectomy (RAPN). Histologically, the renal tumor showed the features of clear cell carci- noma (CCC). Four months after the RAPN, CT revealed left hydronephrosis caused by an enhancing ureteral tumor. Then, multiple right lung metastases appeared, and the left lung tumor increased. Following treatment including atezolizumab, the primary lung SCC and the multiple LNMs almost disappeared completely, while the ureteral and right lung metastases showed progression. The ureteral metastasis was resected by left open nephroureterectomy. Histology of the ureteral tumor revealed features consistent with CCC. Histological examination of the multiple right lung metastases that were resected by partial lobectomy via a small thoracic incision also revealed features consist- ent with CCC. Two months after nephroureterectomy, a solitary left lung metastasis was treated by nivolumab and ipilimumab. Six months after nephroureterectomy, the patient died of RCC. Further studies of specimens revealed that the tumor cells in the primary RCC and the ureteral and lung metastases showed negative results of IHC for PD-L1. Conclusions  The responses to ICI therapy of concomitant RCC and NSCLC were quite different. The PD-L1 expression status in individual tumors in cases of multiple primary malignancies (MPMs) may directly predict the response of each malignancy to ICI therapy, because the host immune system, which may affect the response to ICI therapy, could be the same in MPMs. Keywords  Multiple primary malignancies, Programmed death ligand-1, Immunohistochemistry, Immune checkpoint inhibitors, Renal cell carcinoma, Non-small cell lung carcinoma Background nephrometry score was 6 (maximal diameter: 2; exo- phytic properties: 1; nearness of the tumor to the col- lecting system: 1; location relative to the polar line was entirely below the lower polar line: 2) [6]. Three weeks after the lung surgery, the renal tumor was treated by intraperitoneal RAPN performed by an expert surgeon, and the postoperative course was uneventful. Histolog- ical examination of the left renal tumor revealed clear cell carcinoma (WHO/ISUP nuclear grade 3) invading Page 3 of 9 Urushibara et al. World Journal of Surgical Oncology (2023) 21:37 (2023) 21:37 Fig. 1  Contrast-enhanced computed tomographic image at the first visit. A The tumor in the lower pole of the left kidney, measuring about 50 mm in diameter, appears to protrude slightly into the peri-renal fat tissue. B The tumor was located in the lower portion of the left lung. The left hilar nodes (C) and nodes at the bronchial bifurcation (D) were enlarged (white arrow) Fig. 1  Contrast-enhanced computed tomographic image at the first visit. A The tumor in the lower pole of the left kidney, measuring about 50 mm in diameter, appears to protrude slightly into the peri-renal fat tissue. B The tumor was located in the lower portion of the left lung. The left hilar nodes (C) and nodes at the bronchial bifurcation (D) were enlarged (white arrow) Fig. 2  A The left lung squamous cell carcinoma (SCC) specimen obtained after resection by video-assisted thoracic surgery. Histological findings of the specimens obtained after robotic-assisted partial nephrectomy. B Clear cell carcinoma in the resected left primary renal tumor. Most cancer cells were classified into WHO/ISUP nuclear grade 2, but C there were also some partially grade 3 cancer cells. Hematoxylin–eosin stain (HE), reduced from 100 × Fig. 2  A The left lung squamous cell carcinoma (SCC) specimen obtained after resection by video-assisted thoracic surgery. Histological findings of the specimens obtained after robotic-assisted partial nephrectomy. B Clear cell carcinoma in the resected left primary renal tumor. Most cancer cells were classified into WHO/ISUP nuclear grade 2, but C there were also some partially grade 3 cancer cells. Hematoxylin–eosin stain (HE), reduced from 100 × Fig. 2  A The left lung squamous cell carcinoma (SCC) specimen obtained after resection by video-assisted thoracic surgery. Histological findings of the specimens obtained after robotic-assisted partial nephrectomy. B Clear cell carcinoma in the resected left primary renal tumor. Background Most cancer cells were classified into WHO/ISUP nuclear grade 2, but C there were also some partially grade 3 cancer cells. Hematoxylin–eosin stain (HE), reduced from 100× Urushibara et al. World Journal of Surgical Oncology (2023) 21:37 Urushibara et al. World Journal of Surgical Oncology (2023) 21:37 Page 4 of 9 Page 4 of 9 Moreover, 4 cycles of atezolizumab (1200  mg/body) alone were administered for maintenance by intrave- nous infusion every 4–6 weeks. By 6 months later, the left lung SCC with lymph node metastases had almost disappeared, whereas the left upper ureteral metastasis and right lung metastases from the RCC showed rapid progression (Fig. 3D–F). The patient showed a good performance status and the tumor volumes of all the metastatic tumors in the multiple organs seemed low, and therefore, open intraperitoneal nephroureterec- tomy was selected, even though treatment with other ICIs, tyrosine kinase inhibitors (TKIs), or a combina- tion of the two was considered. Intraoperative explo- ration showed that the left upper ureteral tumor was tightly adherent to the mesenterium of the descending colon, and the left renal hilum was completely covered with hard bulky inflammatory tissues. Histological examination of the tumor in the ureteral wall compress- ing the lumen, which measured approximately 20 mm in diameter, revealed features consistent with clear cell carcinoma (WHO/ISUP grade 2) (Fig. 4A). Then, four right lung metastases measuring less than 20  mm in diameter were treated by partial lobectomy via a small thoracic incision. Histological examination of these tumors also revealed findings consistent with clear cell the perirenal fat tissue, but neither invading the renal pelvis nor the surgical margin (Fig. 2B, C). No venous or lymphatic invasion was seen either. While additional treatment of the left lung carcinoma was necessary, the patient refused any treatment due to the intense burden posed by the repeated examinations and surgeries. Four months after the RAPN, the patient neither had hema- turia nor positive urinary cytology, but CT revealed left hydronephrosis caused by a markedly enhancing upper ureteral tumor. Multiple right lung metastases appeared and the left lung tumor also increased in size (Fig. 3A–C). Considering the volumes of the tumors, treatment of the lung SCC seemed to take priority over that of the metastases from the RCC, which was cat- egorized into the intermediate category according to the IMDC classification (the detection of neutrophilia and metastases within 1  year of the nephrectomy) [7]. Background HE, reduced from 100 × . B The right lung metastasis resected by partial lobectomy via a small thoracic incision also revealed vivid features of clear cell carcinoma. HE, reduced from 100x carcinoma (Fig. 4B). Two months after nephroureter- ectomy, a left lung metastasis in the lower lobe that appeared measuring about 10 mm in diameter seemed to be a metastasis from the RCC rather than a primary SCC, based on the previous clinical course. Consider- ing the lack of efficacy of atezolizumab reported pre- viously, it was thought that the lung metastasis would respond to TKI or TKI therapy combined with ICI ther- apy rather than to sequential ICI therapy [8]. However, after repeated attempts were made to obtain informed consent, the patient expressed a strong desire to con- tinue to work rather than to live longer and rejected the therapies, including TKI therapy, considering the risk of adverse events, such as diarrhea and hand-foot syndrome that occur often and deteriorate the quality of life [9, 10]. Therefore, ICIs that exert their efficacy via a mechanism of action different from that of ave- lumab are desirable. The patient was treated with the combination of nivolumab (240  mg) and ipilimumab (1  mg/kg) administered concomitantly by intravenous infusion every 3 weeks [3]. A month later, the patient complained of back pain. Vertebral magnetic resonance imaging (MRI) performed 2  months later revealed a compression fracture without bone metastasis. After 2 cycles of this regimen, the patient needed hospitaliza- tion for general fatigue and appetite loss. The results of thyroid and adrenal hormone tests were almost within normal range, while the hypercalcemia associated with elevated levels of parathyroid hormone-related protein improved with subcutaneous injection of denosumab. While the lung SCC showed sustained response, CT revealed new metastatic lesions in the right lung and progression of the left lung metastasis, accompanied by liver metastasis, peritoneal carcinomatosis, and left retroperitoneal recurrence. Vertebral MRI showed mul- tiple bone metastases. Radiotherapy was administered for the thoracic and lumbar vertebrae to relieve the severe back pain. One week after the hospitalization, the patient was diagnosed as having respiratory insuf- ficiency caused by cancerous lymphangiomatosis with congestive heart failure. Six months after nephroure- terectomy, the patient died of RCC. Subsequent studies revealed negative results of IHC (TPS < 1%) for PD-L1 in the primary RCC and ureteral and lung metastases from the RCC (Fig. Background Treatment with a combination of atezolizumab (1200  mg/body), nanoparticle albumin-bound pacli- taxel (100  mg/m2), and carboplatin (area under the blood concentration–time curve 6) was administered by intravenous infusion of the drugs every 3 to 4 weeks for up to 4 cycles. The primary lung SCC with the lymph node metastases showed marked regression, while the patient developed persistent appetite loss. Fig. 3  Contrast-enhanced computed tomographic images obtained before and non-enhanced computed tomographic images obtained after the combined multidrug therapy including atezolizumab. A Well-enhanced mass in the left upper ureter (white arrow), B right lung metastasis from the renal cell carcinoma (RCC), and C primary SCC in the left lung before the therapy. D The ureteral (white arrow) and E right lung metastasis from the RCC grew after the therapy, while F the primary SCC in the left lung almost disappeared Fig. 3  Contrast-enhanced computed tomographic images obtained before and non-enhanced computed tomographic images obtained after the combined multidrug therapy including atezolizumab. A Well-enhanced mass in the left upper ureter (white arrow), B right lung metastasis from the renal cell carcinoma (RCC), and C primary SCC in the left lung before the therapy. D The ureteral (white arrow) and E right lung metastasis from the RCC grew after the therapy, while F the primary SCC in the left lung almost disappeared Page 5 of 9 Urushibara et al. World Journal of Surgical Oncology (2023) 21:37 Fig. 4  Histological findings after the combined multidrug therapy including atezolizumab. A Viable clear cell carcinoma (WHO/ISUP nuclear grade 2) in the left ureteral wall. HE, reduced from 100 × . B The right lung metastasis resected by partial lobectomy via a small thoracic incision also revealed vivid features of clear cell carcinoma. HE, reduced from 100x Urushibara et al. World Journal of Surgical Oncology (2023) 21:37 Page 5 of 9 Page 5 of 9 Urushibara et al. World Journal of Surgical Oncology Fig. 4  Histological findings after the combined multidrug therapy including atezolizumab. A Viable clear cell carcinoma (WHO/ISUP nuclear grade 2) in the left ureteral wall. HE, reduced from 100 × . B The right lung metastasis resected by partial lobectomy via a small thoracic incision also revealed vivid features of clear cell carcinoma. HE, reduced from 100x Fig. 4  Histological findings after the combined multidrug therapy including atezolizumab. A Viable clear cell carcinoma (WHO/ISUP nuclear grade 2) in the left ureteral wall. Background 5B–D), these in RCC could have not routinely been performed in Japanese clinical diagnosis. carcinoma (Fig. 4B). Two months after nephroureter- ectomy, a left lung metastasis in the lower lobe that appeared measuring about 10 mm in diameter seemed to be a metastasis from the RCC rather than a primary SCC, based on the previous clinical course. Consider- ing the lack of efficacy of atezolizumab reported pre- viously, it was thought that the lung metastasis would respond to TKI or TKI therapy combined with ICI ther- apy rather than to sequential ICI therapy [8]. However, after repeated attempts were made to obtain informed consent, the patient expressed a strong desire to con- tinue to work rather than to live longer and rejected the therapies, including TKI therapy, considering the risk of adverse events, such as diarrhea and hand-foot syndrome that occur often and deteriorate the quality of life [9, 10]. Therefore, ICIs that exert their efficacy via a mechanism of action different from that of ave- lumab are desirable. The patient was treated with the combination of nivolumab (240  mg) and ipilimumab (1  mg/kg) administered concomitantly by intravenous infusion every 3 weeks [3]. A month later, the patient complained of back pain. Vertebral magnetic resonance imaging (MRI) performed 2  months later revealed a compression fracture without bone metastasis. After 2 cycles of this regimen, the patient needed hospitaliza- tion for general fatigue and appetite loss. The results of thyroid and adrenal hormone tests were almost within normal range, while the hypercalcemia associated with elevated levels of parathyroid hormone-related protein improved with subcutaneous injection of denosumab. While the lung SCC showed sustained response, CT revealed new metastatic lesions in the right lung and progression of the left lung metastasis, accompanied by liver metastasis, peritoneal carcinomatosis, and left retroperitoneal recurrence. Vertebral MRI showed mul- tiple bone metastases. Radiotherapy was administered for the thoracic and lumbar vertebrae to relieve the Discussion and conclusions First, there were differences among the studies in the anti-PD-L1 mono- clonal antibodies used for IHC, the staining technique, the definition of PD-L1-positive tumor, scoring incre- ments, and number of biopsy sites in the patients. Sec- ond, because of intratumoral genetic heterogeneity, if the study sample is small, PD-L1 IHC cannot really reflect the tumor PD-L1 expression status. Third, undefined factors may contribute to the responses to ICI therapy. Therefore, the associations between the tumor PD-L1 expression status and the response to ICI therapy can become clearer if these biases are minimized or excluded. It is likely that activation of the host immune system against malignancy by ICI therapy is useful in patients with MPMs, meta-analyses have shown the efficacy of ICI therapy in each of the malignancies. In synchro- nous MPMs accompanied by metastases, many fac- tors (for example, tumor aggressiveness, tumor volume, stage, which malignancy is the metastasis from, the expected prognosis and damage by therapies of both tumors) would affect the treatment decision, such as sur- gery versus chemotherapy, and moreover, the surgical RCC were not found to be useful to predict the response to PD-L1 inhibitor therapy [14, 15]. The tumor PD-L1 expression status was not found to be associated with the responses to programmed death-1 (PD-1) inhibitor therapy in a phase III multicenter international rand- omized controlled trial, Checkmate 025, and nivolumab was approved for use as monotherapy for advanced clear cell RCC following failure of treatment with at least one TKI, with survival benefits observed irrespective of the tumor PD-L1 expression status [16]. In cases of clear cell RCC, response to anti PD-1 therapy is more common in patients with tumors showing PD-L1 expression; how- ever, responses have also been observed among patients with tumors lacking in PD-L1 expression. Moreover, nivolumab treatment was not consistently associated with tumor PD-L1 expression in cases of metastatic RCC [17]. Surprisingly, the tumor PD-L1 expression sta- tus seemed to be associated with the responses to com- bined PD-L1 antibody plus TKI therapy. The PFS was significantly longer after treatment with the anti–PD-L1 inhibitor, avelumab, in combination with axitinib versus sunitinib as first-line therapy in patients with metastatic RCC with PD-L1-positive tumors in the JAVELIN Renal 101 trial (HR 0.61; P < 0.001) [18]. Discussion and conclusions In the phase III IMmo- tion151 study (NCT02420821), atezolizumab plus beva- cizumab therapy prolonged the PFS in patients across all risk groups with untreated metastatic RCC who showed positive tumor PD-L1 expression (HR 0.74; P = 0.0217) [19]. However, these results of the subgroup analysis revealed that the prognosis was good even in cases with negative tumor PD-L1 expression, although the under- lying mechanism remains unclear [19, 20]. Possible explanations have been provided [21]. First, there were differences among the studies in the anti-PD-L1 mono- clonal antibodies used for IHC, the staining technique, the definition of PD-L1-positive tumor, scoring incre- ments, and number of biopsy sites in the patients. Sec- ond, because of intratumoral genetic heterogeneity, if the study sample is small, PD-L1 IHC cannot really reflect the tumor PD-L1 expression status. Third, undefined factors may contribute to the responses to ICI therapy. Therefore, the associations between the tumor PD-L1 expression status and the response to ICI therapy can become clearer if these biases are minimized or excluded. It is likely that activation of the host immune system against malignancy by ICI therapy is useful in patients with MPMs, meta-analyses have shown the efficacy of ICI therapy in each of the malignancies. In synchro- nous MPMs accompanied by metastases, many fac- tors (for example, tumor aggressiveness, tumor volume, stage, which malignancy is the metastasis from, the expected prognosis and damage by therapies of both tumors) would affect the treatment decision, such as sur- gery versus chemotherapy, and moreover, the surgical positive tumor PD-L1 expression (HR 0.74; P = 0.0217) [19]. However, these results of the subgroup analysis revealed that the prognosis was good even in cases with negative tumor PD-L1 expression, although the under- lying mechanism remains unclear [19, 20]. Possible explanations have been provided [21]. First, there were differences among the studies in the anti-PD-L1 mono- clonal antibodies used for IHC, the staining technique, the definition of PD-L1-positive tumor, scoring incre- ments, and number of biopsy sites in the patients. Sec- ond, because of intratumoral genetic heterogeneity, if the study sample is small, PD-L1 IHC cannot really reflect the tumor PD-L1 expression status. Third, undefined factors may contribute to the responses to ICI therapy. Therefore, the associations between the tumor PD-L1 expression status and the response to ICI therapy can become clearer if these biases are minimized or excluded. Discussion and conclusions Several studies have shown an association between the tumor PD-L1 expression status and the response rate to ICI therapy. In NSCLC patients, the tumor PD-L1 expression status appears to be associated with the overall survival (OS) following PD-L1 inhibitor treat- ment. Atezolizumab treatment was found to yield a sig- nificantly longer OS as compared with platinum-based chemotherapy in patients with NSCLC showing high PD-L1 expression, regardless of the histologic type [11]. The randomized phase III IMpower131 study suggested that addition of atezolizumab to carboplatin plus nab- paclitaxel provides progression-free survival (PFS) and OS benefit in patients with metastatic squamous NSCLC showing high tumor PD-L1 expression [12]. In patients with previously untreated advanced NSCLC showing PD-L1 expression in at least 50% of tumor cells, pem- brolizumab therapy was associated with a significantly longer PFS and OS as compared with platinum-based combination chemotherapy (KEYNOTE-024 trial) [13]. While PD-L1 IHC and atezolizumab are available for the treatment of NSCLC, they have not been used for the treatment of RCC in Japan. While avelumab in com- bination with axitinib is available for the treatment of RCC, avelumab has not been used for the treatment of NSCLC in Japan. In two previous studies, the results of PD-L1 expression testing, including by IHC, in primary Urushibara et al. World Journal of Surgical Oncology (2023) 21:37 Page 6 of 9 Urushibara et al. World Journal of Surgical Oncology Fig. 5  Programmed death-ligand 1 (PD-L1 clone 22C3) immunohistochemistry in A lung SCC, B the renal tumor, C ureteral metastasis, and D lung metastasis from the RCC. The tumor proportion score (TPS) in B, C, and D was < 1%, whereas that in A was 1–49%. PD-L1, reduced from 100 × Fig. 5  Programmed death-ligand 1 (PD-L1 clone 22C3) immunohistochemistry in A lung SCC, B the renal tumor, C ureteral metastasis, and D lung metastasis from the RCC. The tumor proportion score (TPS) in B, C, and D was < 1%, whereas that in A was 1–49%. PD-L1, reduced from 100 × positive tumor PD-L1 expression (HR 0.74; P = 0.0217) [19]. However, these results of the subgroup analysis revealed that the prognosis was good even in cases with negative tumor PD-L1 expression, although the under- lying mechanism remains unclear [19, 20]. Possible explanations have been provided [21]. Discussion and conclusions However, there were no cases of combined positive (complete remission or partial response) and negative (progressive disease) responses as in our case reported herein. this patient with MPMs resulted in a dramatic response of the lung SCC, even though administration was delayed for the treatment of its adverse events. Thereafter, sig- moid colon adenocarcinoma was treated by laparoscopic sigmoidectomy. The final pathological stage of the colon adenocarcinoma was pIIB (T4aN0M0) according to the TNM classification. The colon cancer cells were PD- L1-negative, with degenerative changes and necrosis [25]. In these studies, the tumor immune environment, which consists of various immune cells such as cytotoxic T cells, helper T cells, regulatory T cells, B cells, macrophages, dendritic cells, and natural killer cells that could be asso- ciated with the response to ICI therapy in cases of RCC [17, 26] and NSCLC [27], was not examined. Even for the same kind of malignancy, the tumor immune environ- ments could differ among patients. In contrast, it was thought that the tumor immune environments are simi- lar in each MPM patient, so that the tumor PD-L1 status may be more directly associated with the responses to ICI therapy in MPM patients than in non-MPM patients, without or minimizing the effect of tumor environmental immune. Our findings in this case need to be interpreted with some caution. For example, the primary lung SCC may have responded to the other anti-cancer drugs than ate- zolizumab in our case. Because there is limited literature about the efficacy of ICI therapy in patients with MPMs, no definitive conclusions can be made, and further research is necessary. It is thought that the heterogene- ity in the primary or metastatic tumor cells in cases of MPMs could cause variations in the results of PD-L1 IHC even within the same lesion. To the best of our knowl- edge, there are no reports of MPMs with PD-L1-negative tumors, so that it remains unknown if such tumors truly do not respond to ICI therapy. While we spotlighted on the expression status of PD-L1 in the tumors, other com- ponents of the host immune system might also play roles in the outcomes of patients with MPMs. Moreover, each tumor in cases of MPMs may have a local and/or sys- temic immune tumor environment that interacts with the tumor environment of other tumors. Discussion and conclusions Different responses to the first and second malig- nancies were observed in 6 cases (complete remission and partial response in 1 case, stable disease and partial response in 3 cases, stable disease and complete remis- sion in 1 case, partial response and stable disease in 1 case). However, there were no cases of combined positive (complete remission or partial response) and negative (progressive disease) responses as in our case reported herein. method and choice of drugs, for each malignancy. In our case, before the start of the combined multidrug treat- ment including atezolizumab, we thought that the sur- vival prognosis would be associated to a greater degree with the response of the left lung carcinoma, because the tumor volume of the left lung advanced primary SCC with multiple lymph node metastases was larger than that of the ureteral metastasis and metastases in the right lung from the RCC that appeared after RAPN. Both tumors were considered as being likely to respond to atezolizumab. However, the ureteral and lung metas- tases from RCC grew during the ICI therapy, against our expectations. It is difficult to carry out a large-scale study of the efficacy of ICI therapy in cases of MPMs, because collecting a group of people with two or more malignan- cies within a definite period of time would be very dif- ficult. Aoki reviewed 11 cases in the literature of ICI therapy for MPMs, including 3 of his own cases [22]. The first primary malignancies were solid tumor in 11 cases and leukemia in 3 cases. RCC was not a first malignancy in any of the cases, but was the second malignancy in one case of malignant melanoma [23]. The ICI drugs used were pembrolizumab in 7 cases, nivolumab in 5 cases, and ipilimumab in 1 case and atezolizumab (with beva- cizumab) in 1 case. Same treatment responses in 8 cases were complete remission in 2 cases, partial response in 1 case, stable disease in 1 case, and progressive disease in 4 cases. Different responses to the first and second malig- nancies were observed in 6 cases (complete remission and partial response in 1 case, stable disease and partial response in 3 cases, stable disease and complete remis- sion in 1 case, partial response and stable disease in 1 case). Discussion and conclusions It is likely that activation of the host immune system against malignancy by ICI therapy is useful in patients with MPMs, meta-analyses have shown the efficacy of ICI therapy in each of the malignancies. In synchro- nous MPMs accompanied by metastases, many fac- tors (for example, tumor aggressiveness, tumor volume, stage, which malignancy is the metastasis from, the expected prognosis and damage by therapies of both tumors) would affect the treatment decision, such as sur- gery versus chemotherapy, and moreover, the surgical Urushibara et al. World Journal of Surgical Oncology (2023) 21:37 Urushibara et al. World Journal of Surgical Oncology (2023) 21:37 Page 7 of 9 Urushibara et al. World Journal of Surgical Oncology method and choice of drugs, for each malignancy. In our case, before the start of the combined multidrug treat- ment including atezolizumab, we thought that the sur- vival prognosis would be associated to a greater degree with the response of the left lung carcinoma, because the tumor volume of the left lung advanced primary SCC with multiple lymph node metastases was larger than that of the ureteral metastasis and metastases in the right lung from the RCC that appeared after RAPN. Both tumors were considered as being likely to respond to atezolizumab. However, the ureteral and lung metas- tases from RCC grew during the ICI therapy, against our expectations. It is difficult to carry out a large-scale study of the efficacy of ICI therapy in cases of MPMs, because collecting a group of people with two or more malignan- cies within a definite period of time would be very dif- ficult. Aoki reviewed 11 cases in the literature of ICI therapy for MPMs, including 3 of his own cases [22]. The first primary malignancies were solid tumor in 11 cases and leukemia in 3 cases. RCC was not a first malignancy in any of the cases, but was the second malignancy in one case of malignant melanoma [23]. The ICI drugs used were pembrolizumab in 7 cases, nivolumab in 5 cases, and ipilimumab in 1 case and atezolizumab (with beva- cizumab) in 1 case. Same treatment responses in 8 cases were complete remission in 2 cases, partial response in 1 case, stable disease in 1 case, and progressive disease in 4 cases. References Prognostic factors for overall survival in patients with metastatic renal cell carcinoma treated with vascular endothelial growth factor- targeted agents: results from a large, multicenter study. J Clin Oncol. 2009;27(34):5794–9. https://​doi.​org/​10.​1200/​JCO.​2008.​21.​4809. Availability of data and materials All data generated or analyzed during this study are included in this article. All data generated or analyzed during this study are included in this article. 11. Herbst RS, Giaccone G, Marinis FD, Reinmuth N, Vergnenegre A, Barrios CH, et al. Atezolizumab for first-line treatment of PD-L1-selected patients with NSCLC. N Engl J Med. 2020;383(14):1328–39. https://​doi.​org/​10.​ 1056/​NEJMo​a1917​346. 11. Herbst RS, Giaccone G, Marinis FD, Reinmuth N, Vergnenegre A, Barrios CH, et al. Atezolizumab for first-line treatment of PD-L1-selected patients with NSCLC. N Engl J Med. 2020;383(14):1328–39. https://​doi.​org/​10.​ 1056/​NEJMo​a1917​346. Ethics approval and consent to participate Our institution does not require ethical approval and consent to participate for reporting retrospective fully-anonymized case report. There were no other ethical concerns from this article. 12. Jotte R, Cappuzzo F, Vynnychenko I, Stroyakovskiy D, Rodríguez-Abreu D, Hussein M, et al. Atezolizumab in combination with carboplatin and nab-paclitaxel in advanced squamous NSCLC (Impower131): results from a randomized phase III trial. J Thorac Oncol. 2020;15(8):1351–60. https://​ doi.​org/​10.​1016/j.​jtho.​2020.​03.​028. Consent for publication Written informed consent was obtained from the patient for publication of the anonymized information and accompanying images in this article. 13. Reck M, Rodríguez-Abreu D, Robinson AG, Hui R, Csőszi T, Fülöp A, et al. Pembrolizumab versus chemotherapy for PD-L1-positive non-small-cell lung cancer. N Engl J Med. 2016;375(19):1823–33. https://​doi.​org/​10.​ 1056/​NEJMo​a1606​774. Competing interests Competing interests The authors declare that they have no competing interests. 14. Jilaveanu LB, Shuch B, Zito CR, Parisi F, Barr M, Kluger Y, et al. PD-L1 expres- sion in clear cell renal cell carcinoma: an analysis of nephrectomy and sites of metastases. J Cancer. 2014;5(3):166–72. https://​doi.​org/​10.​7150/​ jca.​8167. 14. Jilaveanu LB, Shuch B, Zito CR, Parisi F, Barr M, Kluger Y, et al. PD-L1 expres- sion in clear cell renal cell carcinoma: an analysis of nephrectomy and sites of metastases. J Cancer. 2014;5(3):166–72. https://​doi.​org/​10.​7150/​ jca.​8167. Authors’ contributions All persons who meet authorship criteria are listed as authors, and all authors certify that they have participated sufficiently in the work to take public responsibility for the content, including participation in the concept, design, analysis, writing, or revision of the manuscript. Conception and design of study: M.U., K.I., N.M., M.T., M.N., T.O. Data analysis and/or interpretation: M.U., K.I., Y.M., S.T., T.N., T.A., Y.S., T.S., D.K. Performing the histological examination: M.T. Drafting of manuscript and/or critical revision: M.U., K.I., N.M., M.T., M.N., T.O. All authors read and approved the final version of manuscript. 8. Ravi P, Mantia, Su C, Sorenson K, Elhag D, Rathi N, et al. Evaluation of the safety and efficacy of immunotherapy rechallenge in patients with renal cell carcinoma. JAMA Oncol. 2020;6(10):1606–10. https://​doi.​org/​10.​1001/​ jamao​ncol.​2020.​2169. 8. Ravi P, Mantia, Su C, Sorenson K, Elhag D, Rathi N, et al. Evaluation of the safety and efficacy of immunotherapy rechallenge in patients with renal cell carcinoma. JAMA Oncol. 2020;6(10):1606–10. https://​doi.​org/​10.​1001/​ jamao​ncol.​2020.​2169. j 9. Cella D, Grünwald V, Escudier B, Hammers HJ, George S, Nathan P, et al. Patient-reported outcomes of patients with advanced renal cell carci- noma treated with nivolumab plus ipilimumab versus sunitinib (Check- Mate 214): a randomised, phase 3 trial. Lancet Oncol. 2019;20(2):297–310. https://​doi.​org/​10.​1016/​S1470-​2045(18)​30778-2. 9. Cella D, Grünwald V, Escudier B, Hammers HJ, George S, Nathan P, et al. Patient-reported outcomes of patients with advanced renal cell carci- noma treated with nivolumab plus ipilimumab versus sunitinib (Check- Mate 214): a randomised, phase 3 trial. Lancet Oncol. 2019;20(2):297–310. https://​doi.​org/​10.​1016/​S1470-​2045(18)​30778-2. Received: 12 November 2022 Accepted: 30 January 2023 Received: 12 November 2022 Accepted: 30 January 2023 Received: 12 November 2022 Accepted: 30 January 2023 Funding This research did not receive any specific grant from funding agencies in the public, commercial, or not-for-profit sectors. 10. Motzer RJ, Rini BI, McDermott DF, Frontera OA, Hammers HJ, Carducci MA, at al. Nivolumab plus ipilimumab versus sunitinib in first-line treatment for advanced renal cell carcinoma: extended follow-up of efficacy and safety results from a randomised phase 3 trial. Lancet Oncol. 2019;20 (10):1370–85. https://​doi.​org/​10.​1016/​S1470-​2045(19)​30413-9. References 1. Gupta S, Erickson LA. Papillary renal cell carcinoma with “drop metas- tasis” (tumor seeding) involving the distal ureter. Mayo Clin Proc. 2022;97(5):1026–8. https://​doi.​org/​10.​1016/j.​mayocp.​2022.​03.​013. 1. Gupta S, Erickson LA. Papillary renal cell carcinoma with “drop metas- tasis” (tumor seeding) involving the distal ureter. Mayo Clin Proc. 2022;97(5):1026–8. https://​doi.​org/​10.​1016/j.​mayocp.​2022.​03.​013. 1. Gupta S, Erickson LA. Papillary renal cell carcinoma with “drop metas- tasis” (tumor seeding) involving the distal ureter. Mayo Clin Proc. 2022;97(5):1026–8. https://​doi.​org/​10.​1016/j.​mayocp.​2022.​03.​013. Abbreviations CT Computed tomographic imaging ICI Immune checkpoint inhibitor IHC Immunohistochemistry IMDC International Metastatic RCC Database Consortium ISUP International Society of Urological Pathology MPMs Multiple primary malignancies MRI Magnetic resonance imaging NSCLC Non-small cell lung carcinoma OS Overall survival PD-1 Programmed death-1 PD-L1 Programmed death ligand-1 PFS Progression free survival RAPN Robotic-assisted partial nephrectomy RCC​ Renal cell carcinoma SCC Squamous cell carcinoma TKI Tyrosine kinase inhibitor TPS Tumor proportion score WHO World Health Organization 2. Chalokia R, Anosike C, Robinson L, Manson C, Kumar M. An unusual and rare metachronous ipsilateral ureteric stump metastasis post radical nephrectomy. Cureus. 2021;13(9):e17727. 2. Chalokia R, Anosike C, Robinson L, Manson C, Kumar M. An unusual and rare metachronous ipsilateral ureteric stump metastasis post radical nephrectomy. Cureus. 2021;13(9):e17727. 3. Motzer RJ, Tannir NM, McDermott DF, Frontera OA, Melichar B, Choueiri TK, et al. Nivolumab plus ipilimumab versus sunitinib in advanced renal- cell carcinoma. N Engl J Med. 2018;378(14):1277–90. https://​doi.​org/​10.​ 1056/​NEJMo​a1712​126. 4. West H, McCleod M, Hussein M, Morabito A, Rittmeyer A, Conter HJ, et al. Atezolizumab in combination with carboplatin plus nab-paclitaxel chem- otherapy compared with chemotherapy alone as first-line treatment for metastatic non-squamous non-small-cell lung cancer (IMpower130): a multicentre, randomised, open-label, phase 3 trial. Lancet Oncol. 2019;20(7):924–37. https://​doi.​org/​10.​1016/​S1470-​2045(19)​30167-6. g 5. Aydiner A, Karadeniz A, Uygun K, Tas S, Tas F, Disci R, et al. Multiple pri- mary neoplasms at a single institution: differences between synchronous and metachronous neoplasms. Am J Clin Oncol. 2000;23(4):364–70. https://​doi.​org/​10.​1097/​00000​421-​20000​8000-​00011. 6. Kutikov A and Uzzo RG. The R.E.N.A.L. nephrometry score: a comprehensive standardized system for quantitating renal tumor size, location and depth. J Urol. 2009;182(3):844–53. https://​doi.​org/​10.​1016/j.​juro.​2009.​05.​035. 7. Heng DYC, Xie W, Regan MM, Warren MA, Golshayan AR, Sahi C, et al. Prognostic factors for overall survival in patients with metastatic renal cell carcinoma treated with vascular endothelial growth factor- targeted agents: results from a large, multicenter study. J Clin Oncol. 2009;27(34):5794–9. https://​doi.​org/​10.​1200/​JCO.​2008.​21.​4809. 7. Heng DYC, Xie W, Regan MM, Warren MA, Golshayan AR, Sahi C, et al. Discussion and conclusions However, to the best of our knowledge, this is the first case report of MPMs with a ureteral metastasis from RCC and NSCLC that unexpectedly showed quite opposite responses to ICI therapy, which were later found to be strongly associ- ated with the respective tumor PD-L1 statuses. Then, how much does tumor PD-L1 IHC contribute to predicting the responses of each tumor to ICI therapy in patients with MPMs? Little is known about the PD-L1 expression statuses of tumors in patients with MPMs. To the best of our knowledge, only two reports have shown positive results of PD-L1 IHC in cases of MPMs. In the first, after cytotoxic chemotherapy of drugs, nivolumab was found to be ineffective against a lung adenocarci- noma (stage: cT1cN0M1a, stage IVA) that was immu- nohistochemically negative for PD-L1 expression (0%) [24]; on the other hand, a hypopharyngeal SCC (stage: cT2N1M0, stage III) that showed moderate PD-L1 posi- tivity (30%) showed a remarkable response to nivolumab administration. In the second study, a lung SCC was found to show 90–100% positivity for PD-L1. The clinical stage was cT2bN3M1a, stage IVA, according to the TNM classification. Pembrolizumab as the initial therapy in In conclusion, we have reported a relatively rare case of ureteral metastasis from a PD-L1-negative RCC with primary PD-L1-positive SCC of the lung. Before the ICI treatment, considering the tumor volumes, it seemed that the prognosis of our patient would depend more on the treatment response of the primary advanced lung SCC with lymph node metastases than on that of the Urushibara et al. World Journal of Surgical Oncology (2023) 21:37 Page 8 of 9 Urushibara et al. World Journal of Surgical Oncology ureteral and lung metastases from the RCC. However, after the ICI therapy (PD-L1 inhibitor followed by PD-1 and cytotoxic T-lymphocyte antigen 4 inhibitors), unex- pectedly, the PD-L1-negative metastatic RCC progressed rapidly, while the PD-L1-positive SCC of the lung showed sustained good response. Our result may suggest that the tumor PD-L1 status in MPMs is directly predictive of the responses to ICI therapy. 2 Department of Surgery, Teikyo University Hospital, Mizonokuchi, 5‑1‑1, Futago, Takatsu‑ku, Kawasaki City, Kanagawa Prefecture 213‑8507, Japan. 3 Department of Diagnostic Pathology, Teikyo University Hospital, Mizonokuchi, 5‑1‑1, Futago, Takatsu‑ku, Kawasaki City, Kanagawa Prefecture 213‑8507, Japan. ureteral and lung metastases from the RCC. Discussion and conclusions However, after the ICI therapy (PD-L1 inhibitor followed by PD-1 and cytotoxic T-lymphocyte antigen 4 inhibitors), unex- pectedly, the PD-L1-negative metastatic RCC progressed rapidly, while the PD-L1-positive SCC of the lung showed sustained good response. Our result may suggest that the tumor PD-L1 status in MPMs is directly predictive of the responses to ICI therapy. Author details 1 Immunotherapy for pulmonary squamous cell carcinoma and colon carcinoma with pembrolizumab: a case report. Medicine (Baltimore). 2018;97(19):e0718. 25. Nozawa Y, Oka Y, Oosugi J, Takemura S. Immunotherapy for pulmonary squamous cell carcinoma and colon carcinoma with pembrolizumab: a case report. Medicine (Baltimore). 2018;97(19):e0718. 26. Kijima T, Kubo T, Nishihara D, Nukui A, Hirohashi Y, Torigoe T, et al. Cancer immunohistogram representing cancer-immunity cycle by immuno- histochemistry predicts the efficacy of immune checkpoint inhibitors in urological cancer patients. Sci Rep. 2022;12:10617. https://​doi.​org/​10.​ 1038/​s41598-​022-​14700-1. 26. Kijima T, Kubo T, Nishihara D, Nukui A, Hirohashi Y, Torigoe T, et al. Cancer immunohistogram representing cancer-immunity cycle by immuno- histochemistry predicts the efficacy of immune checkpoint inhibitors in urological cancer patients. Sci Rep. 2022;12:10617. https://​doi.​org/​10.​ 1038/​s41598-​022-​14700-1. 27. Velcheti V, Schalper KA, Carvajal DE, Rimm DL, Anagnostou VK, Syrigos KN, et al. Programmed death ligand-1 expression in non-small cell lung cancer. Lab Invest. 2014;94(1):107–16. https://​doi.​org/​10.​1038/​labin​vest.​ 2013.​130. 27. Velcheti V, Schalper KA, Carvajal DE, Rimm DL, Anagnostou VK, Syrigos KN, et al. Programmed death ligand-1 expression in non-small cell lung cancer. Lab Invest. 2014;94(1):107–16. https://​doi.​org/​10.​1038/​labin​vest.​ 2013.​130. Author details 1 1 Department of Urology, Teikyo University Hospital, Mizonokuchi, 5‑1‑1, Futago, Takatsu‑ku, Kawasaki City, Kanagawa Prefecture 213‑8507, Japan. Page 9 of 9 Urushibara et al. World Journal of Surgical Oncology (2023) 21:37 15. McDermott DF, Sosman JA, Sznol M, Massard C, Gordon MS, Hamid O, et al. Atezolizumab, an anti-programmed death-ligand 1 antibody, in metastatic renal cell carcinoma: long-term safety, clinical activity, and immune correlates from a phase Ia study. J Clin Oncol. 2016;34(8):833–42. https://​doi.​org/​10.​1200/​JCO.​2015.​63.​7421.​Epub 2016 Jan 11. 16. Motzer RJ, Escudier B, McDermott DF, George S, Hammers HJ, Srinivas S, et al. Nivolumab versus everolimus in advanced renal-cell carcinoma. N Engl J Med. 2015;373(19):1803–13. https://​doi.​org/​10.​1056/​NEJMo​a1510​665. 17. Choueiri TK, Fishman MN, Escudier B, McDermott DF, Drake CG, Kluger H, et al. Immunomodulatory activity of nivolumab in metastatic renal cell carcinoma. Clin Cancer Res. 2016;22(22):5461–71. https://​doi.​org/​10.​ 1158/​1078-​0432.​CCR-​15-​2839. 18. Motzer RJ, Penkov K, Haanen J, Rini B, Albiges L, Campbell MT, et al. Ave- lumab plus axitinib versus sunitinib for advanced renal-cell carcinoma. N Engl J Med. 2019;380(12):1103–15. https://​doi.​org/​10.​1056/​NEJMo​a1816​047. 19. Rini BI, Powles T, Atkins MB, Escudier B, McDermott DF, Suarez C, et al. Atezolizumab plus bevacizumab versus sunitinib in patients with previously untreated metastatic renal cell carcinoma (IMmotion151): a multicentre, open-label, phase 3, randomised controlled trial. Lancet. 2019;393(15):2404–15. https://​doi.​org/​10.​1016/​S0140-​6736(19)​30723-8. 20. Choueiri TK, Larkin J, Oya M, Thistlethwaite F, Martignoni M, Nathan P, et al. Preliminary results for avelumab plus axitinib as first-line therapy in patients with advanced clear-cell renal-cell carcinoma (JAVELIN Renal 100): an open-label, dose-finding and dose-expansion, phase 1b trial. Lancet Oncol. 2018;19:451–60. https://​doi.​org/​10.​1016/​S1470-​2045(18)​ 30107-4. 21. Taube JM, Klein A, Brahmer JR, Xu H, Pan X, Kim JH, et al. Association of PD-1, PD-1 ligands, and other features of the tumor immune micro- environment with response to anti-PD-1 therapy. Clin Cancer Res. 2014;20(19):5064–74. https://​doi.​org/​10.​1158/​1078-​0432.​CCR-​13-​3271. 22. Aoki H, Matsumoto N, Takahashi H, Honda M, KanekoT, Arima S, et al. Immune checkpoint inhibitor as a therapeutic choice for double cancer: a case series. Anticancer Res. 2021;41:6225–30. https://​doi.​org/​10.​21873/​ antic​anres.​15442. 23. Dhandha M, Chu MB, Richart JM. Coexistent metastatic melanoma of the kidney with unknown primary and renal cell carcinoma. BMJ Case Rep. 2012: bcr2012007286. https://​doi.​org/​10.​1136/​bcr-​2012-​007286. 24. Yamaguchi T, Sakurai K, Kuroda M, Imaizumi K, Hida T. Different response to nivolumab in a patient with synchronous double primary carcinomas of hypopharyngeal cancer and non-small-cell lung cancer. Case Rep Oncol. 2017;10:802–8. https://​doi.​org/​10.​1159/​00047​9960. 25. Nozawa Y, Oka Y, Oosugi J, Takemura S. • fast, convenient online submission • thorough peer review by experienced researchers in your field • rapid publication on acceptance • support for research data, including large and complex data types • gold Open Access which fosters wider collaboration and increased citations maximum visibility for your research: over 100M website views per year • At BMC, research is always in progress. 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Supplementary Figure S6 from Localized Immunotherapy via Liposome-Anchored Anti-CD137 + IL-2 Prevents Lethal Toxicity and Elicits Local and Systemic Antitumor Immunity
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Supplementary Figure S6. Supplementary Figure S6. A B PBS control Lip-αCD137 + Lip-IL-2Fc (treated) * ** 50 100 150 p p ( ) Lip-αCD137 + Lip-IL-2Fc (contralateral) ge tumor size (mm2) PBS Control 50 100 150 mor size (mm2) 5 10 15 20 25 0 Days post-tumor inoculation Averag 0 10 20 30 0 Days post-tumor inoculation Tum Lip-αCD137 + Lip-IL-2Fc Lip-αCD137 + Lip-IL-2Fc D C Lip-αCD137 + Lip-IL-2Fc Treated tumor 50 100 150 Tumor size (mm2) Lip-αCD137 + Lip-IL-2Fc Contralateral tumor 50 100 150 umor size (mm2) 0 10 20 30 0 Days post-tumor inoculation T 0 10 20 30 0 Days post-tumor inoculation T B PBS Control 50 100 150 mor size (mm2) 0 10 20 30 0 Tum A PBS control Lip-αCD137 + Lip-IL-2Fc (treated) * ** 50 100 150 p p ( ) Lip-αCD137 + Lip-IL-2Fc (contralateral) ge tumor size (mm2) 5 10 15 20 25 0 Days post-tumor inoculation Averag B Days post-tumor inoculation Days post-tumor inoculation Days post-tumor inoculation Lip-αCD137 + Lip-IL-2Fc C Lip-αCD137 + Lip-IL-2Fc Treated tumor 50 100 150 Tumor size (mm2) 0 10 20 30 0 T Lip-αCD137 + Lip-IL-2Fc D Lip-αCD137 + Lip-IL-2Fc Contralateral tumor 50 100 150 umor size (mm2) 0 10 20 30 0 Days post tumor inoculation T D C Days post-tumor inoculation Days post-tumor inoculation Days post-tumor inoculation
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THE ROLE OF LOCAL VALUE IN GLOBAL SUSTAINABLE TOURISM DEVELOPMENT PARADIGM. THE CASE OF TOURISM IN BALI
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Abstract From 1987 economic development is challenged with the sustainability paradigm that aims to promote a sustainable development of a triple bottom lines, economic, social and environmental. UNWTO and WTTC promoted Agenda 21 by stating that tourism stakeholders have to participate in sustainable development of the territories. The engagement of tourism businesses including hotels, equipped themselves with a number of tools such as CSR (Corporate Social Responsibility). By the impregnation and the stage of governmental actions, sustainable development becomes a global value. Thus, transnational hotels operating in Bali are required by Indonesian law since 2007 to integrate the CSR program, requiring them to bring benefit to the local community in a holistic sense. Transnational hotels are required to participate in local sustainable development, but also to meet the requirements of Balinese traditional theological philosophy, ecological and social known as Tri Hita Karana. This research therefore challenges the western paradigm of sustainability, which aspires to universalism by questioning its ability to integrate cultural specificity in the Balinese case, by combining reflective and pragmatic approach, focused more specifically on the particular case of transnational hotels. They are essential agents of the international tourism boom in Bali since 1970. THE ROLE OF LOCAL VALUE IN GLOBAL SUSTAINABLE TOURISM DEVELOPMENT PARADIGM. THE CASE OF TOURISM IN BALI I Ketut Budarma, Ketut Suarta. State Polytechnic of Bali budarmaketut@yahoo.com.au, suartaiketut@gmail.com JBHOST, Vol 02 Issue 1, 2016: 234-249 JBHOST, Vol 02 Issue 1, 2016: 234-249 ISSN 2527-9092 Journal of Business on Hospitality and Tourism 1. INTRODUCTION Balinese cultural resilience has been known for ages, it has been challenged by several pressures during the kingdom up to the present reformation era. The flexibility, the openness and the capacity to select, to adopt and to integrate foreign influences has enabled Balinese culture to withstand hitherto. Balinese social organizations such as traditional village, banjar (hamlet), subak (the irrigation system) etc. have become agents of cultural sustainability on the island. The multi layered organizations are strongly powered and controlled by Balinese cultural specificity, embodied by its philosophy of harmony, called Tri Hita Karana, living in pious harmony with God, with fellow-beings and with nature. The benefit of the multi-layered organizations is its integrity and Journal of Business on Hospitality and Tourism 234 JBHOST, Vol 02 Issue 1, 2016: 234-249 ISSN 2527-9092 commitment in safeguarding the culture, if one of them fails, other organization will backup. The emergence of tourism in Bali since 1920s, has been a challenge for Balinese and it cultural specificity. It used to be a religious culture, dedicated to gods and the Balinese themselves for their spiritual wellbeing. Culture has been the most vital pull factor attracting tourists to visit the island, cultural sustainability goes hand in hand with tourism sustainability on the island. Culture has been utilized by both private sectors in tourism and governmental policy as the capital of tourism development. For Balinese in general, culture is an asset and also a capital for them to live on tourism. Tourism is manipulated in such a way to generate foreign exchanges and also used to sustain their culture for both, traditionally and commercially. The awareness of tourism stakeholders in Bali on the importance of cultural sustainability, has evoked them to integrate Balinese culture and the philosophy of harmony in their business strategy. This paper examines if the existing local paradigm of sustainability called Tri Hita Karana (Living in harmony with God, Fellow being and Nature) and sustainable development can be aligned through tourism. The research focused on the transnational hotels’ Corporate Social Responsibility programs in four tourist resorts in the island of Bali. Journal of Business on Hospitality and Tourism 235 Journal of Business on Hospitality and Tourism 2.1 Problematic Tri Hita Karana is a theological philosophy used by Balinese to manage their harmonious relationship with God as the creator, with human being and with nature. All of those relationship done through rituals and ceremonies, the harmonious relationship is not merely physical and also metaphysical. This research proposes three problematic questions. a. How can Balinese spiritual paradigm be aligned with sustainable development? b. What role does tourism play in integrating the spiritual paradigm with global sustainable tourism? c. What is the impact of the local spiritual paradigm alignment with sustainable development? c. What is the impact of the local spiritual paradigm alignment with sustainable development? Those three operational problematic questions, are preceded by the author’s initial presumption by putting forward three hypothesis. Those three operational problematic questions, are preceded by the author’s initial presumption by putting forward three hypothesis. a. Balinese spiritual paradigm has universal values, in regard with ecology conservation, both from extrinsic and intrinsic aspects, social and spiritual welfare. The paradigm is a new approach to sustainable development based on the local culture. b. Tourism has an integrative roles, globalizing the local paradigm and localizing the international values of sustainable development. c. The impact of the local spiritual paradigm alignment, with sustainable development is a hybrid value between locality and globalization as a specific model of Balinese sustainable development. 235 Journal of Business on Hospitality and Tourism 235 JBHOST, Vol 02 Issue 1, 2016: 234-249 ISSN 2527-9092 2.2 Method The method applied in this research is hypothetic deductive, based on several phase in comparing and confronting global paradigm of sustainable development with the actuality of a deep confrontation with Balinese conception of cosmology encompassing Balinese socio-cultural and theological conception of sustainability. Respondents The research needs both verbal and written information from closely related stakeholders both as the direct actors of sustainable tourism on the island, regulators and the targeted communities. Below are lists of the respondents who have given relevant information for the research. In relation with the data analysis, qualitative and quantitative technics are employed. The research carried out from 2013 to 2014 by collecting data from relevant resources. Below is the list of the respondents. No Respondents No. Respondents 1. CSR managers of the 12 hotels 12 2. Traditional chief of villages 4 3. Communities living around the hotels 200 4. Indonesian hotel and restaurant association 1 5. Indonesian travel association 1 6. Bali tourism board 2 7. Chief of subak ( Balinese traditional irrigation) 1 8. The director of subak museum 1 Total 222 Journal of Business on Hospitality and Tourism 2.2 Research Field The research is focused on 11 transnational hotels and one state owned company which is responsible for Nusa Dua resort management. Those 12 establishments spread in four tourist resorts with its own specific characteristics. Nusa Dua where Melia Bali, The Westin and BTDC are located. Jimbaran a newly emergence resort where Alila Villa, Banyan Tree Hotel and Bali Intercontinental are situated. Two old tourist resorts were selected, Sanur and Kuta. Hyatt Sanur, The Conrad Bali, and Melia Benoa found in south eastern coast, while Dynasty, The Patra and Kartika Plaza set in the south-western coast, called Kuta. 3. Literature Review 3.1 Another Conception of Sustainability? Tri Hita Karana Philosophy Originally tri hita karana is only a theological and sociocultural teaching originated from Balinese scriptures. The doctrine of the teaching is that God manifested in all of His creation, God has to be exalted through holy sacrifice and devotion in the form of rituals. The balance and harmonious relationship between humankind and God, between humankind with its fellow being and natural 3. Literature Review 3.1 Another Conception of Sustainability? Tri Hita Karana Philosophy Originally tri hita karana is only a theological and sociocultural teaching originated from Balinese scriptures. The doctrine of the teaching is that God manifested in all of His creation, God has to be exalted through holy sacrifice and devotion in the form of rituals. The balance and harmonious relationship between humankind and God, between humankind with its fellow being and natural Journal of Business on Hospitality and Tourism 236 JBHOST, Vol 02 Issue 1, 2016: 234-249 ISSN 2527-9092 ISSN 2527-9092 environment has to be maintained to reach supreme wellbeing and happiness. The teaching consists of spatial conceptions, physical and spiritual relation between humankind and the nature. Along with the rise of sustainable development issues, values that exists in the concept of tri hita karana, are considered relevant to the environmental and socio-cultural development. To expose the values of tri hita karana in response of sustainable development and deteriorating quality of the environment in Bali due to the tourism dominant development, THK movement was initiated in year 2000 ( Peters J. H and Wardana, 2013). environment has to be maintained to reach supreme wellbeing and happiness. The teaching consists of spatial conceptions, physical and spiritual relation between humankind and the nature. 2.2 Research Field Along with the rise of sustainable development issues, values that exists in the concept of tri hita karana, are considered relevant to the environmental and socio-cultural development. To expose the values of tri hita karana in response of sustainable development and deteriorating quality of the environment in Bali due to the tourism dominant development, THK movement was initiated in year 2000 ( Peters J. H and Wardana, 2013). The THK movement has been fruitful to establish THK award certification board, to certify especially hotels to meet the criteria set by the board. The movement has been successful both nationally and internationally, THK award was recognised by UNWTO in 2004, it was stipulated in the preamble of Indonesia Tourism Law No. 10/ 2009 and in 2011 Bali’s local government made tri hita karana award obligatory for all hospitality business operating in Bali. In this chapter the concept of tri hita karana will be reviewed especially in its relation with Balinese approach natural and social environment. Tri hita karana conception and its co-trilogy approaches to nature manifested in six more practical devotion of human being into their environment at large. Those six devotional practice is called sad kertih, as illustrated by the chart below. Tri hita karana consisting of God, human and natural dimensions, extended in more detail in the conception of sad kertih. God dimension is not extended, natural dimension is extended into three parts namely ocean, flora and fauna and fresh water, and human dimension extended into two namely social and individual. The philosophy of tri hita karana mentioned that human has to be in harmony with nature without detailing with which nature. Sad kertih details that human being has to build relation with fresh water, flora and fauna and ocean. Those three parts of nature of course covering all organism living there, with which human being have to be associated as well. The extension from human dimension into social and individual environment is an extension that cause complication to understand especially when it is viewed from western conception of environment. The complication is that human body itself is considered as the environment by that individual. Journal of Business on Hospitality and Tourism 3.2 Towards a Meeting Solution, Crossing Balinese Culture and Sustainable Development with Western Conception. p p Scholars have done researches on Balinese strong relationship on their environment, natural environment, spiritual and social environment. How they perceive their presence in relation to gods, nature and their fellow beings, hence their happiness emanates as the fruit of their intricate harmonious relationship. Natural environment is seen both horizontally and vertically, both physically and metaphysically. Environment is always dealing with something physical, cultural, religious, social and psychological aspects (Belo 1935, Covarrubias 1937, Hauser Schàublin 1997, Hooykaas 1974, Howe 1980, James 1973, Ramseyer 1977, Reuter 1996 in Wassmann Jurg and Dasen Pierre R, 1998). Their strong relation with their environment at large, may benefit sustainable development taking place on the island, and can be well fitted with global conception or might be partly convergent and partly incompatible. Their pattern of relationship with their environment has resulted in various cultural and natural diversities that strongly Journal of Business on Hospitality and Tourism 237 JBHOST, Vol 02 Issue 1, 2016: 234-249 ISSN 2527-9092 lure both foreign and domestic visitors to visit the island. The question now is whether tourism companies in the island with their western sustainable development conception can be synergically used as a means of sustainable development. Tourism internationally has become the largest and the most growing sector in the world of economic during the second half of 20th century (Edington and Redman, 2000 in Tisdell Clem, 2000). The main objectives of tourism development based on World Tourism Organisation (WTO) are economic development, international understanding, peace, prosperity and universal respect for human right (Grey. H. Peter, 2000 in Tisdell Clem, 2000). The objectives of the tourism development as herein mentioned, encompass the tourism immobile asset located on the island of Bali. The main assets are nature, especially cultural landscape of Bali, Balinese culture and their livestyle (Picard, 2006). The viability of a tourist industry very much depends on the existence of some attractions for the visitors. Those attractions have to be different from the country of origin of the visitors. Bali since the birth of tourism, has offered its specificity of nature and culture. The appeal of the attractions is determined by the quality, location and perception of the visitors. In other word, asset is a determinant factor for the sustainability of tourism industry. The asset provides the distinguishing criteria, the distinguishing criteria then governs the economic value of the asset. Journal of Business on Hospitality and Tourism 3.2 Towards a Meeting Solution, Crossing Balinese Culture and Sustainable Development with Western Conception. The question is that leading healthy and productive live in harmony with nature in the western conception is totally different from Balinese approach to nature. In the western concept in harmony with nature signifies proportional utilisation of nature based on its carrying capacity (Harris Rob ital. 2003). While in harmony with nature in the singularity of Balinese cultural approach is to preserve the spiritual aspects of nature through rituals, three main rituals dedicated to nature are wana kerthi (ritual dedicated to green vegetation and its ecosystem), danu kerthi (ritual dedicated to fresh water resources) and samudra kerthi (ritual dedicated to saline water resources), ( Wiana Ketut, 2007). peoples ( Agenda 21 for the Travel & Tourism Industry, 1996). This framework applied in Bali through their Corporate Social Responsibility (CSR), popularly called CIP or community involvement project. One of the frame works related to nature (Travel & Tourism should assist people in leading healthy and productive lives in harmony with nature) is part of Balinese wisdom philosophy Tri Hita Karana, live in harmony with nature. The question is that leading healthy and productive live in harmony with nature in the western conception is totally different from Balinese approach to nature. In the western concept in harmony with nature signifies proportional utilisation of nature based on its carrying capacity (Harris Rob ital. 2003). While in harmony with nature in the singularity of Balinese cultural approach is to preserve the spiritual aspects of nature through rituals, three main rituals dedicated to nature are wana kerthi (ritual dedicated to green vegetation and its ecosystem), danu kerthi (ritual dedicated to fresh water resources) and samudra kerthi (ritual dedicated to saline water resources), ( Wiana Ketut, 2007). 4. Results Those 12 tourism establishments are certified by Tri Hita Karana Award, for their compliance with the local legal systems and conventions, while for their compliance with international standard, they are certified by EarthCheck. The research focuses more on the hotels’ effort in aligning Balinese spiritual philosophy of harmony called tri hita karana, and its contribution to Bali’s sustainable tourism development. The important role of Balinese culture, rooted in Hinduism teaching, where community and nature are integrated in spiritual activities, have been embedded by Transnational Hotels operating in the island in their CSR program as a share value. Balinese culture does not have only traditional and religious value, but also economic value, which enables Balinese to live on tourism through their cultural exposition. Balinese traditional way to treat social life and nature is integrated to the global paradigm, but local value system is still dominant, giving specific characteristic to the hotels’ products. 3.2 Towards a Meeting Solution, Crossing Balinese Culture and Sustainable Development with Western Conception. The Crossing between Balinese Culture and Sustainable Development with Western Conception is actually a crucial effort between those two entities to sustain the viability of tourism on the island and sustain natural and cultural resources as the immobile asset of tourism. Consequently the transnational hotels operating in Bali have incorporate Balinese paradigm of sustainability, at the same time Balinese may adopt global paradigm to enrich their indigenous culture in the domain of sustainable development. Globalization of transnational hotels through the flow of transnational investment and of course with their highly interconnected global chain brought their global paradigm, and it was expected to be automatically effective in Bali, since Indonesia is a member of UNWTO and WTTC and it has ratified global convention, and Indonesia’s legal system has to comply with it. Complication then arise when those global paradigms crossed with local Balinese paradigm in sustaining livelihood of Bali. The question is “Can those transnational hotels just ignore the local complex paradigms, only comply with Indonesia’s national legal system?” or “Should they incorporate local paradigms which are practiced in Balinese traditional religious activities?” Global paradigm of sustainable development is always in the business and profit making interest, focusing on material welfare while Balinese paradigm focuses on the spiritual wellbeing and non-lucrative. The fact that practical concept of Balinese paradigm has made the island known as the most prominent cultural tourism destination in Indonesia, and the fact has attracted both visitors and investors including those international hotels operate in Bali. The integration and even syncretism of local values in touristic sustainable business practices is even obligatory for transnational hotels in Bali, based on agenda 21 for the travel and tourism which was launched in 1996. One of the sustainable frame works of sustainable tourism is that tourism development should recognize and support the identity, culture and interests of indigenous 238 JBHOST, Vol 02 Issue 1, 2016: 234-249 ISSN 2527-9092 ISSN 2527-9092 peoples ( Agenda 21 for the Travel & Tourism Industry, 1996). This framework applied in Bali through their Corporate Social Responsibility (CSR), popularly called CIP or community involvement project. One of the frame works related to nature (Travel & Tourism should assist people in leading healthy and productive lives in harmony with nature) is part of Balinese wisdom philosophy Tri Hita Karana, live in harmony with nature. Journal of Business on Hospitality and Tourism 4.1 Balinese Conception of Cosmology is Strongly Aligned in Bali’s Sustainable Tourism Development. p Tri Hita Karana as a spiritual philosophy, strongly followed by Balinese in their day to day life practices, has controlled all courses of their activities both traditionally and professionally. The tri harmonious relationship is manifested in spatial conception called tri mandala (three spaces). They have sacred space, where temples and shrines are located, the space is called utama mandala. Spaces where houses, offices and markets are situated is called madya mandala, the space commonly referred as a residential space. The space where garbage is kept and recycled, and the space where recreational is done is called nista mandala or a profane space. Transnational hotel operating on the island of Bali is obliged to follow the conception of the traditional spatial division. All hotels built Hindu’s temples in the sacred part of the hotel, a space in the direction of the highest mountain in Bali (Mount Agung), and the sunrise. Balinese believe that mountain where gods abide and the east where the sun rises are sacred directions. The temple is a place of worshiping where the hotels ask for blessing, and demonstrates the message that 239 JBHOST, Vol 02 Issue 1, 2016: 234-249 ISSN 2527-9092 all stakeholders of the hotel build spiritual harmony as the foundation of their businesses. Guest rooms and restaurants are built in the madya mandala, while swimming pools and water treatment are located in the nista mandala. all stakeholders of the hotel build spiritual harmony as the foundation of their businesses. Guest rooms and restaurants are built in the madya mandala, while swimming pools and water treatment are located in the nista mandala. The lay out of the hotels’ building is one of the important criteria set by Tri Hita Karana award assessment, known as THK award. CSR in the context is the participation of the hotels in sustaining Balinese cultural architecture and values in the hotel buildings. The name of the guest rooms and buildings are also expected in Balinese. The lay out of the hotels and their architectural elements have contributed local Balinese atmosphere for their guests, soon after their arrival in the hotels. They get at least two benefits from the adoption of the cultural elements; they are in compliance with the requirements of the THK award, and also maximization of their guests’ satisfaction and cultural experiences. 4.1.1 Hotels’ Contributions to Balinese Religious Activities 4.1.1 Hotels’ Contributions to Balinese Religious Activities All hotels agreed that the viability of their business in Bali depends on the sustainability of Balinese culture. The key success of Bali’s sustainable development lays on Balinese traditional villages, all of their activities based on the spiritual philosophy tri hita karana, where community and nature are strongly related to religious ceremonies, in their effort to sustain harmonious relationship. Bali, an island of a thousand temples, characterized by vibrant temple festivals and ceremonies has been demonstrating to the world that religion is playing an important role in their daily life. Considering the important role of the traditional villages in Bali, transnational hotels have committed to work with them and bound themselves in official memorandums of understanding. The hotels and the villages demonstrate a strong obligation to work together in Bali’s sustainable tourism development, based on the spiritual values of the locals, supporting religious activities, since Balinese spiritual wellbeing is paramount for their holistic life. Hotels under the banner of CSR created another program called Community Involvement Program (CIP), which enable them to access and involve more people in their global sustainable development campaign by aligning local paradigm. 4.1.2 The hotels provide access for local to participate in their business. 4.1.2 The hotels provide access for local to participate in their business. All hotels as part of their CSR program provide access for local community to participate in the hotel businesses. They provide space for local vendors to sell their products within the hotels’ premises. Some hotels used value-share approaches by building cooperation with a group of Balinese artisan to produce certain products, then the hotels buy them for their clients. 4.1 Balinese Conception of Cosmology is Strongly Aligned in Bali’s Sustainable Tourism Development. The adoption of the Balinese cosmological philosophy in transnational hotels of the island, is in line with tourism global code of ethic, where transnational hotels are compulsory to respect and integrate local culture to their businesses. The traditional spatial code have made the hotels set a special area of their property green and unbuilt. The use of water, energy and the production of waste can be efficiently managed, in accord with international standard set by EarthCheck. 4.2 Tourism has an integrative roles, globalizing the local paradigm and localizing the international values of sustainable development. Corporate Social Responsibility of the transnational hotels on the island of Bali has been strongly underpinned by the conception of three harmonious relationship, aiming at the spiritual wellbeing, and social welfare within well- preserved nature. The local genius has been carefully arranged and integrated with the global paradigm of sustainable development, to meet the demand of the local and global community, since tourism practice is characterized by mutual acceptability between local and global value, or tourism practice never happens without local acceptability. CSR activities of the hotels have not only helped local community improve their living standard but also promote their local genius to be another approach of sustainable development. Tri hita karana as a result has been recognized by UNWTO since 2012, the principles of the harmony has been demonstrated in the Indonesian Tourism Laws. Conversely international values on sustainable development have also been introduced to Balinese, especially environmental management system. The introduction of the international values and practices done through education and dissemination program in the communities. The role of tourism is integrating local spiritual paradigm of sustainable development with the global one. The slice between the two paradigms is mutual integrated approach of sustainable development, benefiting both local community as the steward of the Balinese culture, and tourism enterprises as the consumer, at the same time as the agent of sustainable development. 4.1.3 Hotels’ contributions to Balinese social life and culture Journal of Business on Hospitality and Tourism 240 JBHOST, Vol 02 Issue 1, 2016: 234-249 JBHOST, Vol 02 Issue 1, 2016: 234-249 JBHOST, Vol 02 Issue 1, 2016: 234-249 ISSN 2527-9092 Balinese culture has been treated as the capital for Bali’s tourism development, with its local specificity, it can attract tourists to come to the island. Consequently the viability of the hotels’ businesses has been strongly depending on the sustainability of the local culture. The interdependent relationship between tourism, culture and community’s economic development has been demonstrated by the hotels’ CSR programs in supporting preservation and development of Balinese local culture, both within the hotels on in the communities. In return local Balinese has been utilizing their culture as the capital to be benefitted by tourism. Journal of Business on Hospitality and Tourism 4.3 Hybrid value system between locality and globalization as a specific model of Balinese sustainable development. CSR carried out by transnational hotels in Bali promoted through Community Involvement Project (CIP). Their CIP is encompassed by the spiritual paradigm, tri hita karana, their main objective is to involve local community in their global sustainable tourism mission as underpinned by global code of ethic in tourism, by respecting local culture. Traditional institutions like traditional villages and traditional hamlets are incorporated, since those institutions are the agents of Balinese culture sustainability. Most of the activities focused on Balinese culture preservation and development, both within the hotels (Hindus temple in the hotels, traditional dances and music in the hotels, daily offering in the hotels, Balinese architecture 241 JBHOST, Vol 02 Issue 1, 2016: 234-249 JBHOST, Vol 02 Issue 1, 2016: 234-249 ISSN 2527-9092 in the hotels), and outside the hotels (supporting traditional villages to preserve and develop local cultures, contributing to religious rituals, sponsoring cultural event in villages etc.). The CIP is expected to have mutual benefit for both tourism sectors and Balinese community at large. The viability of tourism businesses in Bali are strongly rely on the sustainability of Balinese culture at large, since culture is the biggest pull factor for travelers visiting the island. For the local community, CIP promotes awareness that their culture has an important value to sustain tourism on the island as well as to sustain their religious culture for their spiritual wellbeing. Global values of sustainable development, where socio-cultural and ecology associated with economic development has been assimilated with local spiritual values where socio-cultural and ecology dedicated to spiritual wellbeing. The effect of the assimilation is then material welfare and spiritual wellbeing, where Balinese still live on their traditional faith and culture, hence tourism business viability emanates. Both transnational hotels and Balinese confirm that Balinese culture specificity is of a great prominence for making tourism on the island viable and durable. The focal idea is to keep the specificity of Balinese culture within the global framework of transnational hotels’ businesses in the island. The two value systems works in hybrid manner, with mutual fortification creating value added products (Balinese culture has global property, global product of the hotels has local property), which at the end produces wealth for both. The investment of the hotels on their CSR program is to prevent the homogenization of local culture by the global values. 4.3 Hybrid value system between locality and globalization as a specific model of Balinese sustainable development. The homogenization will eliminate the specificity of the culture, which causes the downturn of tourism business in the island. Local value system has to be fortified to keep its role as meta-system that control global value system as sub-system, on the other words when local value system oppressed by the global one, local value will be homogenized, then Bali has no specific characteristic, the tourists will leave the island. Journal of Business on Hospitality and Tourism CONCLUSION The CSR in the hotels has rigorously promoted local spiritual paradigm (tri hita karana) as another breakthrough to sustainable development in Bali. The spiritual paradigm encompasses interdependent harmonious relationship between human being and God, other human being and nature, socio-culture and nature are integrated into spiritual wellbeing. Balinese three bottom lines (God, man and nature) can enrich three bottom lines of global sustainable development (Economy, socio-culture and nature). The integration of the local paradigm with global sustainable development conception results in four bottom lines, spiritual, economic, social and ecilogical wellbeing. The integration of Balinese spiritual paradigm in CSR activities of the transnational hotels operating in Bali, has a strong effect of assimilation between local and global values of sustainable development. The spirit of exposing the local paradigm in international arena has been very obvious since year 2000, when tri hita karana foundation initiated by academicians, culturist and tourism stakeholders. The exposition of the local paradigm has been successful, demonstrated by UNWTO recognition in 2004, as one of the local genius, 242 JBHOST, Vol 02 Issue 1, 2016: 234-249 JBHOST, Vol 02 Issue 1, 2016: 234-249 ISSN 2527-9092 deployed in the promotion of sustainable development conception and practices. The internationalization of the local paradigm, has promoted participatory and inclusive approaches, since local community’s aspiration is well accommodated. They are the object of the sustainable development, but also the subject who need to adopt global paradigm in their local approaches. The alignment and globalization of the local paradigm in Bali’s sustainable development, has created a new model or approach of sustainable development with Balinese culture singularity. 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Glutamatergic pathways in the brains of turtles: A comparative perspective among reptiles, birds, and mammals
Frontiers in neuroanatomy
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Glutamatergic pathways in the brains of turtles: A comparative perspective among reptiles, birds, and mammals OPEN ACCESS EDITED BY Livia D’Angelo, University of Naples Federico II, Italy REVIEWED BY Robert Konrad Naumann, Shenzhen Institutes of Advanced Technology (CAS), China Jeremy A. Spool, University of Massachusetts Amherst, United States *CORRESPONDENCE Mohammad Tufazzal Hussan hussan@bri.niigata-u.ac.jp Hideaki Matsui hide0729@bri.niigata-u.ac.jp RECEIVED 06 May 2022 ACCEPTED 22 July 2022 PUBLISHED 17 August 2022 CITATION Hussan MT, Sakai A and Matsui H (2022) Glutamatergic pathways in the brains of turtles: A comparative perspective among reptiles, birds, and mammals. Front. Neuroanat. 16:937504. doi: 10.3389/fnana.2022.937504 COPYRIGHT © 2022 Hussan, Sakai and Matsui. 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. Mohammad Tufazzal Hussan1,2*, Akiko Sakai1 and Hideaki Matsui1* 1Department of Neuroscience of Disease, Brain Research Institute, Niigata University, Niigata, Japan, 2Department of Anatomy and Histology, Patuakhali Science and Technology University, Barishal, Bangladesh *CORRESPONDENCE Mohammad Tufazzal Hussan hussan@bri.niigata-u.ac.jp Hideaki Matsui hide0729@bri.niigata-u.ac.jp Glutamate acts as the main excitatory neurotransmitter in the brain and plays a vital role in physiological and pathological neuronal functions. In mammals, glutamate can cause detrimental excitotoxic effects under anoxic conditions. In contrast, Trachemys scripta, a freshwater turtle, is one of the most anoxia-tolerant animals, being able to survive up to months without oxygen. Therefore, turtles have been investigated to assess the molecular mechanisms of neuroprotective strategies used by them in anoxic conditions, such as maintaining low levels of glutamate, increasing adenosine and GABA, upregulating heat shock proteins, and downregulating KATP channels. These mechanisms of anoxia tolerance of the turtle brain may be applied to finding therapeutics for human glutamatergic neurological disorders such as brain injury or cerebral stroke due to ischemia. Despite the importance of glutamate as a neurotransmitter and of the turtle as an ideal research model, the glutamatergic circuits in the turtle brain remain less described whereas they have been well studied in mammalian and avian brains. In reptiles, particularly in the turtle brain, glutamatergic neurons have been identified by examining the expression of vesicular glutamate transporters (VGLUTs). In certain areas of the brain, some ionotropic glutamate receptors (GluRs) have been immunohistochemically studied, implying that there are glutamatergic target areas. TYPE Review PUBLISHED 17 August 2022 DOI 10.3389/fnana.2022.937504 TYPE Review PUBLISHED 17 August 2022 DOI 10.3389/fnana.2022.937504 Introduction pathways participate in both cases. Thus, critical protective pathways could possibly be identified by using the turtle as a constitutively anoxic preconditioned model (Milton and Prentice, 2007; Milton, 2019; Wijenayake and Storey, 2021). Glutamate, the principal excitatory neurotransmitter in the vertebrate brain, is involved in normal brain functions such as learning and memory. In spite of its essential roles, glutamate also plays a detrimental role in the excitotoxic cell death in neurologic disorders such as cerebral stroke, brain injury, Alzheimer’s disease, Parkinson’s disease, Huntington’s disease, and epilepsy (Liguz-Lecznar and Skangiel-Kramska, 2007). For studying the molecular mechanisms of neuroprotective pathways in anoxic conditions that induce excitotoxicity in mammalian brains, turtles are becoming an ideal animal model because turtles can endure a prolonged anoxic environment and postanoxic reoxygenation without brain damage (Milton and Prentice, 2007; Milton, 2019). Mammalian brains are considerably sensitive to oxygen deprivation. Even a small shortage of oxygen can cause a decrease in adenosine triphosphate (ATP) levels in the cell (Kristian, 2004). Consequently, disturbance of membrane potentials occurs due to malfunction of the ion pumps which constantly require ATP, triggering the release of excitatory amino acid neurotransmitters such as glutamate (Kirdajova et al., 2020). The glutamate then binds to the glutamate receptors present in the postsynaptic membrane, such as the α-amino-3-hydroxy- 5-methyl-4-isoxazole propionic acid (AMPA) receptor and the N-methyl-D-aspartate (NMDA) receptor, which are ligand-activated ion channels (Blanke and VanDongen, 2009; Zanetti et al., 2021). The stimulation of glutamate receptors enhances the entry of calcium (Ca2+) into the cell, which activates proteases, lipases, and endonucleases. These enzymes then destroy cellular integrity, which results in excitotoxic cell death (Kritis et al., 2015; Jones, 2020; Kirdajova et al., 2020). By contrast, the freshwater turtle Trachemys scripta can tolerate days of anoxia at room temperature for months without oxygen at 3◦C (Milton, 2019). The protective pathways in the turtle brain are similar to those in the mammalian brain observed by ischemic/hypoxic preconditioning. In both cases, the extracellular glutamate levels remain low (Milton et al., 2002; Thompson et al., 2007). However, considering the susceptibility of mammalian brain cells to hypoxia, it may be difficult to differentiate between adaptive and injurious responses. Glutamatergic pathways in the brains of turtles: A comparative perspective among reptiles, birds, and mammals Based on the expression patterns of these glutamate-related molecules and fiber connection data of the turtle brain that is available in the literature, many candidate glutamatergic circuits could be clarified, such as the olfactory circuit, hippocampal–septal pathway, corticostriatal pathway, visual pathway, auditory pathway, and granule cell–Purkinje cell pathway. This review summarizes the probable glutamatergic pathways and the distribution of glutamatergic neurons in the pallium of the turtle brain and compares them with those of avian and mammalian brains. The integrated knowledge of glutamatergic pathways serves as the fundamental basis for further functional CITATION Hussan MT, Sakai A and Matsui H (2022) Glutamatergic pathways in the brains of turtles: A comparative perspective among reptiles, birds, and mammals. Front. Neuroanat. 16:937504. doi: 10.3389/fnana.2022.937504 COPYRIGHT © 2022 Hussan, Sakai and Matsui. 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. Frontiers in Neuroanatomy frontiersin.org 01 Hussan et al. 10.3389/fnana.2022.937504 studies in the turtle brain, which would provide insights on physiological and pathological mechanisms of glutamate regulation as well as neural circuits in different species. glutamatergic neurons, vesicular glutamate transporters, glutamate receptors, reptiles, neurons, anoxia-tolerant, glutamate, excitotoxic cell death Hussan et al. Introduction We speculate that distinct and/or common molecular In the brain of the turtle, glutamate was demonstrated to be an excitatory neurotransmitter by pharmacological experiments in which neurons stopped firing after the injection of ionotropic glutamate receptor antagonists (Larson-Prior et al., 1991, 1995; Berkowicz et al., 1994; Broglio et al., 2015). Pharmacological research in the medial cortex of the turtle also showed that glutamate is involved in learning and memory (Broglio et al., 2015). Moreover, intriguingly, glutamate appears to control ion channels in turtles as a strategy to survive in oxygen-deprived situations (Pamenter et al., 2008b; Couturier et al., 2019). Thus, glutamate is an important neurotransmitter in the brains of turtles, and using turtles as a research model is beneficial. However, the glutamate circuitry of the turtle brain is still not fully demonstrated. The messenger ribonucleic acid (mRNA) of vesicular glutamate transporters (VGLUTs) has been found in the soma of glutamatergic neurons (Muñoz et al., 1999; Fremeau et al., 2001; Islam and Atoji, 2008); thus, its expression could be used as a proxy for glutamatergic pathways. Conversely, mRNA of glutamate receptors (GluRs) is expressed by the neurons receiving glutamatergic afferents, and their expression could be marked as the projection targets of glutamatergic neurons (Conti et al., 1994; Muñoz et al., 1999; Fremeau et al., 2001; Islam and Atoji, 2008; Karim et al., 2014). In this review, our first goal is to discuss the candidate glutamatergic pathways in turtle brains based on the origin and projection targets of glutamatergic neurons along with hodological data. Our second goal is to compare the distribution of glutamatergic neurons in the pallium of reptiles, birds, and mammals. Developmental data on transcription factors that play critical roles in cortical development in mammals (Pax6, Emx1/2, and Tbr1) show a conserved expression pattern on the dorsal side of the amniote telencephalon, implying that all amniotes have a homologous brain part in the telencephalon, termed the pallium (Fernandez et al., 1998; Puelles et al., 2000, 2017; Dugas-Ford et al., 2012; Desfilis et al., 2017; Medina et al., 2021). Using mouse embryos, Emx1- and Tbr1-expressing neurons in the dorsal part of the telencephalon (pallium) were shown to use glutamate as a neurotransmitter (Gorski et al., 2002; Hevner et al., 2003, 2006). Frontiers in Neuroanatomy frontiersin.org 02 Hussan et al. 10.3389/fnana.2022.937504 FIGURE 1 Diagrammatic illustration of glutamatergic neurotransmission in the synapse. Introduction Vesicular glutamate transporters (VGLUTs) transport glutamate into synaptic vesicles at presynaptic terminals. In the synaptic cleft, glutamate is released by exocytosis and stimulates glutamate receptors (GluRs) on postsynaptic membranes (adapted from Kanai and Hediger, 2004). Both ionotropic and metabotropic receptors are responsible for glutamatergic neurotransmission. Here, only ionotropic receptors are shown as they act as ion channels and are mostly involved in the excitotoxic cell death. FIGURE 1 Diagrammatic illustration of glutamatergic neurotransmission in the synapse. Vesicular glutamate transporters (VGLUTs) transport glutamate into synaptic vesicles at presynaptic terminals. In the synaptic cleft, glutamate is released by exocytosis and stimulates glutamate receptors (GluRs) on postsynaptic membranes (adapted from Kanai and Hediger, 2004). Both ionotropic and metabotropic receptors are responsible for glutamatergic neurotransmission. Here, only ionotropic receptors are shown as they act as ion channels and are mostly involved in the excitotoxic cell death. However, the adult avian and reptilian brains lack the mammalian-like pallial region. Nonetheless, pallial structures in the adult avian and reptilian brains still conserve several characteristics of the mammalian pallium, such as neurons in the pallium are predominantly excitatory and less inhibitory (Medina and Reiner, 2000; Medina, 2007; Suryanarayana et al., 2017; Spool et al., 2021; Ditz et al., 2022). The principal pallial neurons are glutamatergic, as demonstrated by the examination of the expression pattern of VGLUT1 and VGLUT2 in adult mammalian brains (Ni et al., 1995; Fremeau et al., 2001; Broman et al., 2004) and by the localization of VGLUT2 in adult avian brains (Islam and Atoji, 2008; Karim et al., 2014). The neocortex of the mammalian brain has six layers, and the reptilian cortex has three layers. The reptilian brains have an additional structure named the dorsal ventricular ridge (DVR), which is absent in mammals. On the other hand, the avian brains have a DVR but they do not have a mammalian-like layered cortex (Lohman and Smeets, 1990; Butler, 1994). Therefore, we also intended to focus on the pallial organization of glutamatergic neurons among amniotes. axon, and glutamate is released from the vesicles to the synaptic cleft. When this glutamate binds to GluRs at the postsynaptic terminal (Figure 1), neural excitation is transmitted (Groc and Choquet, 2020). Three isoforms of VGLUTs (VGLUT1, VGLUT2, and VGLUT3) have been identified and extensively studied in mammals (Table 1; Ni et al., 1994; Aihara et al., 2000; Gras et al., 2002; Herzog et al., 2004). Introduction To identify glutamatergic neurons, VGLUT1 and VGLUT2 are used as biomarkers in mammals, and their distribution in the brain is complementary (Ni et al., 1994, 1995; Hisano et al., 2000; Fremeau et al., 2004). The prominent expression of VGLUT1 mRNA is found mainly in the cerebral cortex, the hippocampus, and the cerebellar cortex, whereas VGLUT2 mRNA is strongly expressed in the amygdaloid nuclei, thalamus, hypothalamus, lower brainstem, and cerebellar nuclei. On the other hand, VGLUT3 mRNA is detected in other types of neurons that use gamma- aminobutyric acid (GABA), acetylcholine, and serotonin as their neurotransmitters and in astrocytes (Bai et al., 2001; Gras et al., 2002; Kawano et al., 2006). In birds, the VGLUT2 and VGLUT3 genes have been identified, and their distribution in the brain has been studied (Table 1; Islam and Atoji, 2008; Atoji, 2011; Atoji and Karim, 2014a; Karim et al., 2014; Colquitt et al., 2021). Avian VGLUT1 has not been found yet and avian VGLUT2 bears characteristics of both VGLUT1 and VGLUT2 of mammals regarding its distribution in the brain. Thus, there is a possibility that avian VGLUT1 has been lost during evolution (Atoji, 2011). VGLUT2 mRNA is found strongly in the pallium, thalamus, midbrain, brainstem, and cerebellar cortex of the avian brain. Glutamate is the principal excitatory neurotransmitter in the brain, and its transmission is primarily regulated by VGLUTs and GluRs (Figure 1). In addition to physiological roles in the brain, such as learning and memory, glutamate has a detrimental effect on excitotoxic cell death in the ischemic cascades associated with cerebral stroke and neurodegenerative diseases (Jones, 2020). Upon nerve stimulation, VGLUTs transport glutamate through synaptic vesicles at the presynaptic end of the Frontiers in Neuroanatomy frontiersin.org 03 3 d) 3 d) ) mRNA in the brain of the reptiles, birds, and mammals. Birds Mammals Brain regions VGLUT2 VGLUT3 Brain regions VGLUT1 VGLUT2 VGLUT3 Mitral cells of olfactory bulb +++ − Mitral cells of olfactory bulb +++ + − Hyperpallium ++ − Cortical layer I + − − Mesopallium +++ − Cortical layer II +++ − ++ Nidopallium ++ − Cortical layer III +++ + + Hippocampal formation ++ − Cortical layer IV +++ + + Arcopallium ++ − Cortical layer V +++ + + N. Introduction teniae of amygdala ++ − Cortical layer VI +++ − + osterior pallial amygdala +++ − Hippocampus +++ + + Dorsolateral corticoid area ++ − Lateral amygdala + − + iriform cortex ++ − Caudate−putamen − − + ateral habenular n. ++ − Lateral habenular n. − +++ − Medial habenular n. +++ − Medial habenular n. ++ ++ − Dorsolateral anterior thalamic n. ++ − Subthalamic n. − +++ − Dorsomedial anterior thalamic n. ++ − Dorsal lateral geniculate n. + ++ − Dorsomedial posterior thalamic n. ++ − Medial geniculate body − ++ − Dorsointermedial posterior thalamic n. ++ − Ventral posterolateral n. ++ ++ − Dorsolateral posterior thalamic n. +++ − Ventral posteromedial n. ++ ++ − uperficial parvocellular n. +++ − Posterior complex − ++ − ateral anterior thalamic n. ++ − Ventral anterior−lateral complex ++ ++ − Ventral lateral geniculate n. ++ − Ventral medial n. (VM) − ++ − Ovoidal n. +++ − Mediodorsal n. ++ ++ − riangular n. +++ − Submedial n. ++ + − otundal n. +++ − Anterodorsal n. ++ +++ − ubrotundal n. +++ − Anteromedial n. − +++ − Hypothalamic area + − Anteroventral n. + ++ − Lateral posterior n. + ++ − (Continued) Birds Mammals LUT3 Brain regions VGLUT2 VGLUT3 Brain regions VGLUT1 VGLUT2 VGLUT3 Lateral dorsal n. ++ ++ − Parataenial n. − ++ − Interanteromedial n. − +++ − Intermediodorsal n. − +++ − N. reuniens − +++ − Rhomboid n. − +++ − Central medial n. − +++ − Paracentral n. − +++ − Central lateral n. − +++ − Parafascicular n. − +++ − Hypothalamic area − +/++ − − Tectal layer 13 +++ − Stratum griseum superficiale of SC − +++ − − Tectal layers 8,15 ++ − Stratum opticum of SC − + − − Tectal layers 2,4,6,9−12,14 + − Stratum griseum intermediale of SC − + − ++ Magnocellular part of isthmic n. − − Stratum album intermediale of SC − + − Parvocellular part of isthmic n. +++ − Stratum griseum profundum of SC − + − Lateral mesencephalic n., dorsal part +++ − Stratum album profundum of SC − − − Intercollicular n. ++ − Periaqueductal gray of SC − +++ − Isthmo−optic n. ++ − Inferior Colliculus − +++ − Ruber n. ++ − − Granular layer of cerebellar cortex +++ − Granular layer of cerebellar cortex +++ − − + Cerebellar n. ++ − Cerebellar n. − +++ − − Lateral lemnisci n., ventral part ++ − Intermediate n. of lateral lemniscus + +++ − − Lateral lemnisci n., dorsal part ++ − Lateral reticular n. ++ +++ − − Principal sensory n. of trigeminal nerve +++ − External cuneate n. + +++ − − Pontine n. +++ − Inferior olivary n. − +++ ++ − Superior olivary n. + − Spinal trigeminal n. + +++ + − Inferior olivary n. +++ − Gracile n. + +++ − − Vestibular n. ++ − Cuneate n. + +++ − − Cochlear n. ++ − Solitary tract n. − +++ + (Continued) Birds Mamm VGLUT3 Brain regions VGLUT2 VGLUT3 Brain regions VG Lateral dorsal n. Parataenial n. Interanteromedial n. Intermediodorsal n. N. reuniens Rhomboid n. Central medial n. Paracentral n. Central lateral n. Parafascicular n. Hypothalamic area − Tectal layer 13 +++ − Stratum griseum superficiale of SC − Tectal layers 8,15 ++ − Stratum opticum of SC − Tectal layers 2,4,6,9−12,14 + − Stratum griseum intermediale of SC ++ Magnocellular part of isthmic n. − − Stratum album intermediale of SC Parvocellular part of isthmic n. + ++ − (E) References Hussan, 2016; Hussan et al., 2017; Sarkar and Atoji, 2018 Islam and Atoji, 2008; Atoji and Karim, 2014a; Karim et al., 2014 Ni et al., 1995; Hisano et al., 2000, 2002; Fremeau et al., 2001, 2002, 2004; Gras et al., 2002; Schafer et al., 2002; Barroso-Chinea et al., 2007; Balaram et al., 2011; Ito et al., 2011; Vigneault et al., 2015 +++, intense expression; ++, moderate expression; +, weak expression; −, no expression; VGLUT, vesicular glutamate transporter; SC, superior colliculus; N., nucleus/nuclei. Glutamatergic neurons labeled with avian VGLUT2 mRNA and protein are located in regions corresponding to those in which VGLUT1 or VGLUT2 are expressed in the mammalian brain. Avian VGLUT3 mRNA is expressed only in a serotonergic nucleus called the caudal linear nucleus (Atoji and Karim, 2014a). Furthermore, the distribution of GluRs, such as AMPA, kainite, and NMDA receptors, has been extensively studied in mammalian (Keinanen et al., 1990; Sato et al., 1993; Conti et al., 1994) and avian brains (Ottiger et al., 1995; Wada et al., 2004; Islam and Atoji, 2008; Karim et al., 2014). In reptiles, VGLUT1-3 genes have been identified in turtles and their mRNA distribution has been studied in the brains of turtles (Table 1; Hussan, 2016; Hussan et al., 2017; Sarkar and Atoji, 2018; Tosches et al., 2018), alligator (Briscoe and Ragsdale, 2018a), and lizard (Tosches et al., 2018; Norimoto et al., 2020). In turtles, VGLUT1 is strongly expressed in the olfactory bulb, the medial cortex, the dorsal cortex, the dorsomedial cortex, the lateral cortex, DVR, and the cerebellar cortex (Sarkar and Atoji, 2018). Conversely, VGLUT2 mRNA is weakly expressed in the telencephalon and strongly expressed in the thalamic and brainstem nuclei of turtles (Figure 2) (Hussan, 2016; Hussan et al., 2017; Sarkar and Atoji, 2018). Moreover, VGLUT3 mRNA is found only in the nucleus isthmi (parvocellular part), raphe nuclei, and cochlear nucleus of the turtle (Sarkar and Atoji, 2018). Among the anamniotes species of organisms, VGLUTs have been studied in the frog (Gleason et al., 2003), fish (Higashijima et al., 2004; Maruska et al., 2017), and Drosophila (Daniels et al., 2004). Moreover, in reptiles, although the investigation of GluRs has not yet been conducted extensively, some AMPA and NMDA receptors have been reported in the telencephalon and diencephalon of turtles by immunohistochemical methods (Fowler et al., 1999; Keifer and Carr, 2000). These results indicate the existence of neural circuits in the brain of the turtle that uses glutamate as its neurotransmitter. This review highlights the turtle as a unique model for the study of glutamatergic pathways and summarizes glutamatergic pathways in turtle brains, including the olfactory pathway, hippocampal–septal pathway, corticostriatal pathway, visual pathway, ascending auditory pathway, and brainstem–cerebellar pathway (Figure 3). In addition, attempts at comparative neuroanatomical studies of the neocortex will be presented. Birds +++ − Stratum griseum profundum of SC Lateral mesencephalic n., dorsal part +++ − Stratum album profundum of SC Intercollicular n. ++ − Periaqueductal gray of SC Isthmo−optic n. ++ − Inferior Colliculus Ruber n. ++ − − Granular layer of cerebellar cortex +++ − Granular layer of cerebellar cortex + Cerebellar n. ++ − Cerebellar n. − Lateral lemnisci n., ventral part ++ − Intermediate n. of lateral lemniscus − Lateral lemnisci n., dorsal part ++ − Lateral reticular n. − Principal sensory n. of trigeminal nerve +++ − External cuneate n. − Pontine n. +++ − Inferior olivary n. − Superior olivary n. + − Spinal trigeminal n. − Inferior olivary n. +++ − Gracile n. − Vestibular n. ++ − Cuneate n. − Cochlear n. ++ − Solitary tract n. 10.3389/fnana.2022.937504 Hussan et al. g +++, intense expression; ++, moderate expression; +, weak expression; −, no expression; VGLUT, vesicular glutamate transporter; SC, superior colliculus; N., nucleus/nuclei. TABLE 1 Continued Reptiles Birds Mammals Brain regions VGLUT1 VGLUT2 VGLUT3 Brain regions VGLUT2 VGLUT3 Brain regions VGLUT1 VGLUT2 VGLUT3 11 Superior raphe n. − − +++ Reticular n. ++ − Vestibular n. complex + ++ − 12 Inferior raphe n. − − + Caudal linear n. ++ Cochlear n. +++ ++ − 13 Median reticular n. + + − − Pontine n. +++ + − 14 Raphe n. ++ +++ ++ 15 Superior olivary n. + ++ − (E) References Hussan, 2016; Hussan et al., 2017; Sarkar and Atoji, 2018 Islam and Atoji, 2008; Atoji and Karim, 2014a; Karim et al., 2014 Ni et al., 1995; Hisano et al., 2000, 2002; Fremeau et al., 2001, 2002, 2004; Gras et al., 2002; Schafer et al., 2002; Barroso-Chinea et al., 2007; Balaram et al., 2011; Ito et al., 2011; Vigneault et al., 2015 +++ intense expression; ++ moderate expression; + weak expression; no expression; VGLUT vesicular glutamate transporter; SC superior colliculus; N nucleus/nuclei TABLE 1 Continued Reptiles Birds Mammals Brain regions VGLUT1 VGLUT2 VGLUT3 Brain regions VGLUT2 VGLUT3 Brain regions VGLUT1 VGLUT2 VGLUT3 11 Superior raphe n. − − +++ Reticular n. ++ − Vestibular n. complex + ++ − 12 Inferior raphe n. − − + Caudal linear n. ++ Cochlear n. +++ ++ − 13 Median reticular n. + + − − Pontine n. +++ + − 14 Raphe n. ++ +++ ++ 15 Superior olivary n. Glutamatergic circuits In the turtle brain, VGLUT1 mRNAs have been found in pallial structures comprising the lateral cortex, dorsal cortex, medial cortex, DVR, and some amygdala nuclei (Sarkar and Atoji, 2018). Alternatively, the striatum showed positive expression for GluR immunoreactivity (Fowler et al., 1999). These existing data suggest that afferents to the striatum originating from the pallium in turtles are glutamatergic (Figure 3). Hippocampal–septal pathway The medial cortex of reptiles is thought to be homologous to the hippocampal formation of mammals and birds, which is supported by embryological, hodological, and neurophysiological data (Atoji and Wild, 2004, 2006; Butler and Hodos, 2005; Jarvis, 2009; Tosches et al., 2018), although obvious morphological differences are present among the species. The medial area of the reptilian cortex has a substantial projection to the septum (Desan, 1988; Hoogland and Vermeulen-vanderZee, 1993). In the hippocampus of mammals, granule cells and pyramidal cells are glutamatergic (Fremeau et al., 2001). The pyramidal cells of CA3 of Ammon’s horn, which accept the mossy fiber from granule cells of the and Atoji, 2008). Olfactory pathway There are main and accessory olfactory pathways in the olfactory system of amniotes except for humans, where the accessory olfactory system is absent (McGann, 2017). The accessory olfactory system is composed of the accessory olfactory bulb and the vomeronasal organ (Boehm, 2006). In the olfactory epithelium, specific neurons are present for olfaction, which receives the odor from the environment as chemical substances. The main olfactory bulb accepts projections from every olfactory receptor neuron (Lledo et al., 2005). In the olfactory pathway, olfactory receptor neurons send afferents to the glomerular layer and form synapses with the dendrites of mitral and tufted cells. These mitral and tufted cells further send afferent fibers to the olfactory cortex (Figure 4; Lledo et al., 2005; Ennis et al., 2015). In mammals, the olfactory pathway is suggested to be glutamatergic (Hisano et al., 2000; Kaneko et al., 2002). The main olfactory bulb is highly developed in reptiles, suggesting that the behavior of reptiles strongly depends on the olfactory system (Reiner and Karten, 1985; Lohman and Smeets, 1993). The projection neurons in the olfactory bulb of reptiles send their axons to the lateral cortex, hippocampus, olfactory tract, and amygdala (Figure 3; Reiner and Karten, 1985; Desan, 1988; Lohman and Smeets, 1993). The accessory olfactory bulbs in reptiles send projections to the posterior region of the central amygdaloid nucleus (Lohman and Smeets, 1993). In the olfactory bulb of turtles, mitral cells exhibited strong VGLUT1 and moderate VGLUT2 expression, identifying glutamate as the major neurotransmitter in the olfactory bulb afferent (Hussan, 2016; Hussan et al., 2017; Sarkar and Atoji, 2018). Alternatively, GluRs in the turtle olfactory bulb region and the central amygdaloid nucleus remain to be investigated. An electrophysiological study of the turtle olfactory bulb demonstrated that synaptic transmission from the axon terminal of an olfactory receptor neuron to mitral/tufted cell dendrites appeared as glutamatergic, and this synaptic transmission was regulated by NMDA and non-NMDA receptors (Berkowicz et al., 1994). Notably, in birds, mitral cells appeared as glutamatergic, and their target areas showed positive expression for GluRs (Figure 5; Wada et al., 2004; Islam and Atoji, 2008). Glutamatergic circuits The major glutamatergic circuits of mammalian brains are found in the olfactory system, the cortex to striatum pathway, the hippocampus to septum pathway, the visual and auditory systems, and the cerebellum (Broman et al., 2004). Here, we provide information on the glutamate circuit in the turtle brain based on findings in the literature on VGLUTs and GluRs mainly Frontiers in Neuroanatomy frontiersin.org 06 10.3389/fnana.2022.937504 Hussan et al. by in situ hybridization or immunohistochemistry, and we also discuss the comparison of glutamate circuits in the brains of turtles (Figure 3), birds (Figure 4), and mammals (Figure 5). (Hintiryan et al., 2016). Corticostriatal afferents arise from cortical pyramidal neurons and are located mostly in layer V, and to some extent in layers III and VI. These neurons utilize glutamate as their neurotransmitter and provide the major excitatory input to the striatum (Hisano et al., 2000). The corticostriatal afferent in mammals is topographically organized. Rostral areas of the striatum receive inputs from frontal areas and dorsolateral areas receive afferents from the sensorimotor cortex, while more caudal areas receive fibers from more rostral areas of the parietal cortex (Dudman and Gerfen, 2015; Hintiryan et al., 2016). In mammals, a strong expression of VGLUT1 mRNA is shown in layers V and VI of the cortex, while layers IV and VI show an intense expression for VGLUT2 mRNA (Ni et al., 1995; Fremeau et al., 2001). In contrast, GluA1-4 subtype mRNA and protein were labeled in the striatum (Keinanen et al., 1990; Martin et al., 1993; Sato et al., 1993). These findings indicate that corticostriatal pathways in mammals are glutamatergic (Figure 4). This speculation is also supported by electrophysiological and transcriptome studies in the neocortex of mammals (Andjelic et al., 2009; Tasic et al., 2018; Berg et al., 2021). In the telencephalic pallium of birds, VGLUT2 mRNA and protein were determined (Islam and Atoji, 2008; Atoji, 2011; Karim et al., 2014), and GluRs were expressed in the striatum (Ottiger et al., 1995; Wada et al., 2004; Islam and Atoji, 2008). In reptiles, corticostriatal projections have been found (Desan, 1988; Hoogland and Vermeulen-vanderZee, 1989; Gonzalez et al., 1990) and reported to be topographically organized (Desan, 1988; Gonzalez et al., 1990). Striatal projections originating from DVR have also been reported in reptiles (Gonzalez et al., 1990). Corticostriatal pathway Projections from the dorsal pallium to the striatum appear to be a shared feature of amniotes (Butler, 1994). In mammals, the cerebral cortex provides a major input to the striatum Frontiers in Neuroanatomy frontiersin.org 07 Hussan et al. 10.3389/fnana.2022.937504 FIGURE 2 Schematic longitudinal section of turtle brain showing the glutamatergic neuron-expressing area by the expression of VGLUT1 (blue), VGLUT2 (red), or both (green). Glutamatergic neurons have been identified by the examination of vesicular glutamate transporter (VGLUT1 and VGLUT2) mRNA (Hussan, 2016; Sarkar and Atoji, 2018). cereb, cerebellum; cerN, cerebellar nucleus; Co, cochlear nucleus; DLA, anterior dorsolateral nucleus; DMA, anterior dorsomedial nucleus; DVR, dorsal ventricular ridge; Gld, dorsolateral geniculate nucleus; ISMC, magnocellular part of isthmic nucleus; MC, mitral cells; NLH, lateral hypothalamic nucleus; NPH, periventricular hypothalamic nucleus; ob, olfactory bulb; R, rotundal nucleus; Re, nucleus reuniens; Rm, medial reticular nucleus; St, striatum; tect, optic tectum; TSC, torus semicircular nucleus; Ves, superior vestibular nucleus. FIGURE 3 Schematic drawing of the longitudinal section through the turtle brain showing the major glutamatergic circuits. Circuits showing the (a) olfactory pathways (black dot arrow; Reiner and Karten, 1985; Lohman and Smeets, 1993), (b) corticostriatal pathways (black solid arrow; Desan, 1988; Hoogland and Vermeulen-vanderZee, 1989; Gonzalez et al., 1990), (c) visual pathways (red dot arrow; Kenigfest et al., 2007); (d) isthmo–tectal pathways (purple arrow; Schechter and Ulinski, 1979; Sereno and Ulinski, 1987), and (e) auditory pathways (blue arrow; Belekhova et al., 1985; Kunzle, 1986). cereb, cerebellum; cerN, cerebellar nucleus; Co, cochlear nucleus; DVR, dorsal ventricular ridge; Gld, dorsolateral geniculate nucleus; ISMC, magnocellular part of isthmic nucleus; MC, mitral cells; NTOL, nucleus of lateral olfactory tract; ob, olfactory bulb; St, striatum; R, rotundal nucleus; Re, nucleus reuniens; Rm, medial reticular nucleus; tect, optic tectum; TSC, torus semicircular nucleus; Ves, superior vestibular nucleus. FIGURE 2 Schematic longitudinal section of turtle brain showing the glutamatergic neuron-expressing area by the expression of VGLUT1 (blue), VGLUT2 (red), or both (green). Glutamatergic neurons have been identified by the examination of vesicular glutamate transporter (VGLUT1 and VGLUT2) mRNA (Hussan, 2016; Sarkar and Atoji, 2018). (Hussan et al., 2017; Sarkar and Atoji, 2018), which have strong dentate gyrus, abundantly express GluA1-3 mRNAs (Sato et al., 1993). The lateral septal nucleus is strongly positive for GluA1-3 immunoreactivity, which accepts fibers from Ammon’s horn of the hippocampus (Martin et al., 1993). These data suggest that the hippocampal–septal pathway in mammals is glutamatergic. In birds, the hippocampal–septal pathway has been demonstrated (Atoji and Wild, 2004, 2006), suggesting that this pathway is glutamatergic (Islam and Atoji, 2008; Karim et al., 2014). In turtles, the medial cortical areas showed positive reactivity for glutamatergic neurons (Hussan et al., 2017; Sarkar and Atoji, 2018), which have strong projections to the septum, but GluRs have not yet been studied in the septum of turtles. (Hussan et al., 2017; Sarkar and Atoji, 2018), which have strong projections to the septum, but GluRs have not yet been studied in the septum of turtles. Corticostriatal pathway cereb, cerebellum; cerN, cerebellar nucleus; Co, cochlear nucleus; DLA, anterior dorsolateral nucleus; DMA, anterior dorsomedial nucleus; DVR, dorsal ventricular ridge; Gld, dorsolateral geniculate nucleus; ISMC, magnocellular part of isthmic nucleus; MC, mitral cells; NLH, lateral hypothalamic nucleus; NPH, periventricular hypothalamic nucleus; ob, olfactory bulb; R, rotundal nucleus; Re, nucleus reuniens; Rm, medial reticular nucleus; St, striatum; tect, optic tectum; TSC, torus semicircular nucleus; Ves, superior vestibular nucleus. FIGURE 2 Schematic longitudinal section of turtle brain showing the glutamatergic neuron-expressing area by the expression of VGLUT1 (blue), VGLUT2 (red), or both (green). Glutamatergic neurons have been identified by the examination of vesicular glutamate transporter (VGLUT1 and VGLUT2) mRNA (Hussan, 2016; Sarkar and Atoji, 2018). cereb, cerebellum; cerN, cerebellar nucleus; Co, cochlear nucleus; DLA, anterior dorsolateral nucleus; DMA, anterior dorsomedial nucleus; DVR, dorsal ventricular ridge; Gld, dorsolateral geniculate nucleus; ISMC, magnocellular part of isthmic nucleus; MC, mitral cells; NLH, lateral hypothalamic nucleus; NPH, periventricular hypothalamic nucleus; ob, olfactory bulb; R, rotundal nucleus; Re, nucleus reuniens; Rm, medial reticular nucleus; St, striatum; tect, optic tectum; TSC, torus semicircular nucleus; Ves, superior vestibular nucleus. FIGURE 3 Schematic drawing of the longitudinal section through the turtle brain showing the major glutamatergic circuits. Circuits showing the (a) olfactory pathways (black dot arrow; Reiner and Karten, 1985; Lohman and Smeets, 1993), (b) corticostriatal pathways (black solid arrow; Desan, 1988; Hoogland and Vermeulen-vanderZee, 1989; Gonzalez et al., 1990), (c) visual pathways (red dot arrow; Kenigfest et al., 2007); (d) isthmo–tectal pathways (purple arrow; Schechter and Ulinski, 1979; Sereno and Ulinski, 1987), and (e) auditory pathways (blue arrow; Belekhova et al., 1985; Kunzle, 1986). cereb, cerebellum; cerN, cerebellar nucleus; Co, cochlear nucleus; DVR, dorsal ventricular ridge; Gld, dorsolateral geniculate nucleus; ISMC, magnocellular part of isthmic nucleus; MC, mitral cells; NTOL, nucleus of lateral olfactory tract; ob, olfactory bulb; St, striatum; R, rotundal nucleus; Re, nucleus reuniens; Rm, medial reticular nucleus; tect, optic tectum; TSC, torus semicircular nucleus; Ves, superior vestibular nucleus. FIGURE 3 Schematic drawing of the longitudinal section through the turtle brain showing the major glutamatergic circuits. Corticostriatal pathway Circuits showing the (a) olfactory pathways (black dot arrow; Reiner and Karten, 1985; Lohman and Smeets, 1993), (b) corticostriatal pathways (black solid arrow; Desan, 1988; Hoogland and Vermeulen-vanderZee, 1989; Gonzalez et al., 1990), (c) visual pathways (red dot arrow; Kenigfest et al., 2007); (d) isthmo–tectal pathways (purple arrow; Schechter and Ulinski, 1979; Sereno and Ulinski, 1987), and (e) auditory pathways (blue arrow; Belekhova et al., 1985; Kunzle, 1986). cereb, cerebellum; cerN, cerebellar nucleus; Co, cochlear nucleus; DVR, dorsal ventricular ridge; Gld, dorsolateral geniculate nucleus; ISMC, magnocellular part of isthmic nucleus; MC, mitral cells; NTOL, nucleus of lateral olfactory tract; ob, olfactory bulb; St, striatum; R, rotundal nucleus; Re, nucleus reuniens; Rm, medial reticular nucleus; tect, optic tectum; TSC, torus semicircular nucleus; Ves, superior vestibular nucleus. Visual system The visual stimulus from the retina reaches the cortex of the brain by the following two pathways in amniotes (Butler and Hodos, 2005): (1) Thalamofugal pathway: Here, Frontiers in Neuroanatomy frontiersin.org 08 Hussan et al. 10.3389/fnana.2022.937504 FIGURE 4 Schematic display of the major glutamatergic circuits in the longitudinal section through the rat brain. Circuits showing the (a) olfactory pathways (black dot arrow; Lledo et al., 2005; Ennis et al., 2015), (b) corticostriatal pathways (black solid arrow; Butler, 1994; Hintiryan et al., 2016), (c) visual pathways (red dot arrow; Butler and Hodos, 2005; Kenigfest et al., 2007), and (d) auditory pathways (blue arrow; Butler and Hodos, 2005; Ito and Oliver, 2010; Schofield et al., 2014). Cg, cingulum; CN, cochlear nucleus; DLG, dorsal lateral geniculate nucleus; IC, inferior colliculus; LP, lateral posterior thalamic nucleus; LS, lateral septal nucleus; MG, medial geniculate body; Pir, piriform cortex; SC, superior colliculus; Tu, olfactory tubercle; vt, ventricle. FIGURE 5 Schematic representation of the major glutamatergic circuits in the longitudinal section of the pigeon brain. Circuits showing the (a) olfactory pathways (black dot arrow; Reiner and Karten, 1985; Islam and Atoji, 2008), (b) corticostriatal pathways (black solid arrow; Wada et al., 2004; Islam and Atoji, 2008), (c) visual pathways (red dot arrow; Kenigfest et al., 2007; Atoji and Karim, 2014b); (d) isthmo–tectal pathways (purple arrow; Islam and Atoji, 2008; Karim et al., 2014), and (e) auditory pathways (blue arrow; Butler and Hodos, 2005; Atoji and Karim, 2014b). cpi, Piriform cortex; DLA, dorsolateral anterior nucleus; E, entopallium; HA, apical hyperpallium; HD, densocellular hyperpallium; HI, intercalated hyperpallium; IHA, interstitial apical hyperpallium; ISPC, parvocellular part of isthmic nucleus L2, field L2; M, mesopallium; MLD, lateral mesencephalic nucleus, dorsal part; N, nidopallium; Ov, ovoidal nucleus; Rt, rotundal nucleus; St, striatum; T, triangular nucleus; TeO, optic tectum; TuO, olfactory tubercle; vt, ventricle. FIGURE 4 Schematic display of the major glutamatergic circuits in the longitudinal section through the rat brain. Circuits showing the (a) olfactory pathways (black dot arrow; Lledo et al., 2005; Ennis et al., 2015), (b) corticostriatal pathways (black solid arrow; Butler, 1994; Hintiryan et al., 2016), (c) visual pathways (red dot arrow; Butler and Hodos, 2005; Kenigfest et al., 2007), and (d) auditory pathways (blue arrow; Butler and Hodos, 2005; Ito and Oliver, 2010; Schofield et al., 2014). Visual system Cg, cingulum; CN, cochlear nucleus; DLG, dorsal lateral geniculate nucleus; IC, inferior colliculus; LP, lateral posterior thalamic nucleus; LS, lateral septal nucleus; MG, medial geniculate body; Pir, piriform cortex; SC, superior colliculus; Tu, olfactory tubercle; vt, ventricle. FIGURE 4 Schematic display of the major glutamatergic circuits in the longitudinal section through the rat brain. Circuits showing the (a) olfactory pathways (black dot arrow; Lledo et al., 2005; Ennis et al., 2015), (b) corticostriatal pathways (black solid arrow; Butler, 1994; Hintiryan et al., 2016), (c) visual pathways (red dot arrow; Butler and Hodos, 2005; Kenigfest et al., 2007), and (d) auditory pathways (blue arrow; Butler and Hodos, 2005; Ito and Oliver, 2010; Schofield et al., 2014). Cg, cingulum; CN, cochlear nucleus; DLG, dorsal lateral geniculate nucleus; IC, inferior colliculus; LP, lateral posterior thalamic nucleus; LS, lateral septal nucleus; MG, medial geniculate body; Pir, piriform cortex; SC, superior colliculus; Tu, olfactory tubercle; vt, ventricle. FIGURE 4 Schematic display of the major glutamatergic circuits in the longitudinal section through the rat brain. Circuits showing the (a) olfactory pathways (black dot arrow; Lledo et al., 2005; Ennis et al., 2015), (b) corticostriatal pathways (black solid arrow; Butler, 1994; Hintiryan et al., 2016), (c) visual pathways (red dot arrow; Butler and Hodos, 2005; Kenigfest et al., 2007), and (d) auditory pathways (blue arrow; Butler and Hodos, 2005; Ito and Oliver, 2010; Schofield et al., 2014). Cg, cingulum; CN, cochlear nucleus; DLG, dorsal lateral geniculate nucleus; IC, inferior colliculus; LP, lateral posterior thalamic nucleus; LS, lateral septal nucleus; MG, medial geniculate body; Pir, piriform cortex; SC, superior colliculus; Tu, olfactory tubercle; vt, ventricle. FIGURE 5 Schematic representation of the major glutamatergic circuits in the longitudinal section of the pigeon brain. Circuits showing the (a) olfactory pathways (black dot arrow; Reiner and Karten, 1985; Islam and Atoji, 2008), (b) corticostriatal pathways (black solid arrow; Wada et al., 2004; Islam and Atoji, 2008), (c) visual pathways (red dot arrow; Kenigfest et al., 2007; Atoji and Karim, 2014b); (d) isthmo–tectal pathways (purple arrow; Islam and Atoji, 2008; Karim et al., 2014), and (e) auditory pathways (blue arrow; Butler and Hodos, 2005; Atoji and Karim, 2014b). Ascending auditory pathways The peripheral sound is conveyed through the middle tympanic ear to the basilar papilla, which then projects to the cochlear nuclei (Bruce, 2007). In turtles, the mesencephalic auditory center–torus semicircular nucleus receives signals from brainstem auditory nuclei, including cochlear nuclei and the superior olivary complex (Kunzle, 1986), and then relays information to the thalamic auditory center–nucleus reuniens (Belekhova et al., 1985). The nucleus reuniens projects further to the telencephalic auditory center, the ventromedial part of the anterior DVR (Balaban and Ulinski, 1981; Belekhova et al., 1985). In the auditory pathways of turtles, VGLUT2 mRNA was expressed in the cochlear nuclei, torus semicircular nucleus, and nucleus reuniens (Sarkar and Atoji, 2018). Further study is required to investigate glutamatergic neurons in the superior olivary nuclei and GluRs in all the projection nuclei of ascending auditory pathways. These findings suggested that the ascending auditory pathways in the turtle brain are glutamatergic (Figure 3). In birds, glutamatergic neurons have been demonstrated in all ascending auditory nuclei by the examination of VGLUT2 mRNA expression (Islam and Atoji, 2008; Karim et al., 2014). The projection nuclei of these auditory nuclei express GluR mRNA (Ottiger et al., 1995; Wada et al., 2004; Islam and Atoji, 2008; Karim et al., 2014). In pigeons, the thalamopallial auditory pathways were confirmed to be glutamatergic (Atoji and Karim, 2014b). In the mammalian auditory pathway, sound reaches the brainstem auditory nuclei and olivary and cochlear nuclei, then reaches the thalamic auditory nucleus and the medial geniculate nucleus, and finally sends it to the auditory cortex (Figure 4; Butler and Hodos, 2005; Schofield et al., 2014). Glutamatergic neuronal populations have been studied in ascending auditory pathways, where subcortical auditory nuclei mostly express VGLUT2 mRNA and the auditory cortex expresses VGLUT1 mRNA (Hackett et al., 2011; Ito et al., 2011). In rats, glutamatergic terminals were confirmed in the inferior colliculus received from lower auditory brainstem nuclei by retrograde labeling and by the examination of VGLUT1 and VGLUT2 mRNA expression (Ito and Oliver, 2010). In turtles, to confirm the ascending auditory pathways are glutamatergic, a tract–tracing method is required which has been used in mammals (Ito and Oliver, 2010) and birds (Atoji and Karim, 2014b). Isthmo–tectal pathways The nucleus isthmi are present within the midbrain and have visual responsiveness in all vertebrates. This nucleus can influence the visual process by direct modulation of isthmo– tectal pathways (Wang, 2003). This modulation is mediated by reciprocal connections between the nucleus isthmi and optic tectum (Sereno and Ulinski, 1987; Powers and Reiner, 1993). In turtles, two distinct nuclei are present in the isthmic complex, pars parvocellular (ISPC) and pars magnocellular (ISMC), which receive afferent fibers from the same side of the optic tectum (Sereno and Ulinski, 1987). The superficial layers of the optic tectum receive axons from the retinal ganglion cell (RGC) of the eye. These axons then form synapses with the dendrites of the stratum griseum periventricular (SGP) neurons (Schechter and Ulinski, 1979). Furthermore, these SGP neurons send axons to the ISPC and ISMC nuclei (Kunzle and Schnyder, 1984). In turtles, VGLUT2 mRNA was found to be expressed in the neurons of the SGP layer (Hussan, 2016; Hussan et al., 2017; Sarkar and Atoji, 2018), and GluR immunoreactivity was found in their projection targets ISMC Visual system In the thalamofugal pathway of turtles (Hall et al., 1977; Balaban and Ulinski, 1981; Ulinski, 1986), glutamatergic neurons were found to be expressed in the Gld (Hussan, 2016; Hussan et al., 2017; Sarkar and Atoji, 2018), and GluR immunoreactivity was shown in the lateral dorsal cortex (Fowler et al., 1999). A pharmacological study showed that the thalamofugal visual pathway in turtles was glutamatergic, and this neurotransmission was mediated by NMDA and non-NMDA glutamate receptors (Larson-Prior et al., 1991). Furthermore, in the tectofugal pathway of turtles, the stratum griseum centrale (SGC) layer of the optic tectum receives projection from the retina, and the SGC further sends axons to the Rot. The Rot in turn projects to the anterior DVR (Hall et al., 1977; Bass and Northcutt, 1981). Vesicular glutamate transporter 2 mRNA was expressed in the SGC and Rot (Hussan, 2016; Hussan et al., 2017; Sarkar and Atoji, 2018), and immunoreactivity of GluRs was expressed in the Rot and anterior DVR (Fowler et al., 1999). These results suggested that both thalamofugal and tectofugal pathways in turtles are glutamatergic (Figure 3). Visual system the striate cortex, demonstrated positive expression for GluA1-4 mRNA (Martin et al., 1993; Sato et al., 1993). In the tectofugal pathway of mammals, glutamatergic neurons are found in the SC and thalamic nuclei (Hisano et al., 2002; Kaneko et al., 2002; Barroso-Chinea et al., 2007). The thalamic nucleus and the cortical layers are the target areas for this visual pathway that are positive for GluA1-4 mRNA expression (Keinanen et al., 1990; Martin et al., 1993; Sato et al., 1993). Similar studies were conducted in birds demonstrating glutamatergic circuits in the ascending visual systems (Figure 5; Islam and Atoji, 2008; Atoji and Karim, 2014b; Karim et al., 2014). In the thalamofugal pathway of turtles (Hall et al., 1977; Balaban and Ulinski, 1981; Ulinski, 1986), glutamatergic neurons were found to be expressed in the Gld (Hussan, 2016; Hussan et al., 2017; Sarkar and Atoji, 2018), and GluR immunoreactivity was shown in the lateral dorsal cortex (Fowler et al., 1999). A pharmacological study showed that the thalamofugal visual pathway in turtles was glutamatergic, and this neurotransmission was mediated by NMDA and non-NMDA glutamate receptors (Larson-Prior et al., 1991). Furthermore, in the tectofugal pathway of turtles, the stratum griseum centrale (SGC) layer of the optic tectum receives projection from the retina, and the SGC further sends axons to the Rot. The Rot in turn projects to the anterior DVR (Hall et al., 1977; Bass and Northcutt, 1981). Vesicular glutamate transporter 2 mRNA was expressed in the SGC and Rot (Hussan, 2016; Hussan et al., 2017; Sarkar and Atoji, 2018), and immunoreactivity of GluRs was expressed in the Rot and anterior DVR (Fowler et al., 1999). These results suggested that both thalamofugal and tectofugal pathways in turtles are glutamatergic (Figure 3). the striate cortex, demonstrated positive expression for GluA1-4 mRNA (Martin et al., 1993; Sato et al., 1993). In the tectofugal pathway of mammals, glutamatergic neurons are found in the SC and thalamic nuclei (Hisano et al., 2002; Kaneko et al., 2002; Barroso-Chinea et al., 2007). The thalamic nucleus and the cortical layers are the target areas for this visual pathway that are positive for GluA1-4 mRNA expression (Keinanen et al., 1990; Martin et al., 1993; Sato et al., 1993). Similar studies were conducted in birds demonstrating glutamatergic circuits in the ascending visual systems (Figure 5; Islam and Atoji, 2008; Atoji and Karim, 2014b; Karim et al., 2014). Visual system cpi, Piriform cortex; DLA, dorsolateral anterior nucleus; E, entopallium; HA, apical hyperpallium; HD, densocellular hyperpallium; HI, intercalated hyperpallium; IHA, interstitial apical hyperpallium; ISPC, parvocellular part of isthmic nucleus L2, field L2; M, mesopallium; MLD, lateral mesencephalic nucleus, dorsal part; N, nidopallium; Ov, ovoidal nucleus; Rt, rotundal nucleus; St, striatum; T, triangular nucleus; TeO, optic tectum; TuO, olfactory tubercle; vt, ventricle. Schematic representation of the major glutamatergic circuits in the longitudinal section of the pigeon brain. Circuits showing the (a) olfactory pathways (black dot arrow; Reiner and Karten, 1985; Islam and Atoji, 2008), (b) corticostriatal pathways (black solid arrow; Wada et al., 2004; Islam and Atoji, 2008), (c) visual pathways (red dot arrow; Kenigfest et al., 2007; Atoji and Karim, 2014b); (d) isthmo–tectal pathways (purple arrow; Islam and Atoji, 2008; Karim et al., 2014), and (e) auditory pathways (blue arrow; Butler and Hodos, 2005; Atoji and Karim, 2014b). cpi, Piriform cortex; DLA, dorsolateral anterior nucleus; E, entopallium; HA, apical hyperpallium; HD, densocellular hyperpallium; HI, intercalated hyperpallium; IHA, interstitial apical hyperpallium; ISPC, parvocellular part of isthmic nucleus L2, field L2; M, mesopallium; MLD, lateral mesencephalic nucleus, dorsal part; N, nidopallium; Ov, ovoidal nucleus; Rt, rotundal nucleus; St, striatum; T, triangular nucleus; TeO, optic tectum; TuO, olfactory tubercle; vt, ventricle. which projections enter into the nucleus rotundus (Rot) of reptiles and birds or to the lateral posterior nucleus and the pulvinar (Lp/pulv) in mammals; these projections, in turn, enter into the anterior DVR of reptiles or birds entopallium or mammalian extrastriate cortex and amygdala (Kenigfest et al., 2007; Day-Brown et al., 2010). In the thalamofugal pathway of mammals, Gld showed VGLUT2 mRNA expression (Hisano et al., 2002; Barroso-Chinea et al., 2007), and their target area, the retina directly projects into the dorsolateral geniculate nucleus (Gld/dLGN) of mammals and reptiles or the anterior dorsolateral complex (DLA) of birds, from which the further projections enter into the dorsal lateral cortex of reptiles, avian Wulst, or the striate cortex, or the primary visual cortex of mammals (Kenigfest et al., 2007). (2) Tectofugal pathway: Here, the retina projects first to the optic tectum of birds and reptiles or the superior colliculus (SC) of mammals, from Frontiers in Neuroanatomy 09 frontiersin.org Hussan et al. 10.3389/fnana.2022.937504 and ISPC (Keifer and Carr, 2000). Thus, the turtle isthmo–tectal pathway is suggested to be glutamatergic (Figure 3). Brainstem–cerebellar pathways In turtles, the cerebellum is an unbranched sheet consisting of the cerebellar cortex and the cerebellar nuclei Frontiers in Neuroanatomy 10 frontiersin.org Hussan et al. 10.3389/fnana.2022.937504 FIGURE 6 Schematic drawings of cross-sections through the mammal, bird, and, reptile (turtle) brains showing glutamatergic neurons (green dots) in the pallium of amniotes. The distribution of glutamatergic neurons in the pallium is based on the expression of (A) VGLUT1 and VGLUT2 mRNA in mammals (Ni et al., 1995; Fremeau et al., 2001), (B) VGLUT2 mRNA in birds (Islam and Atoji, 2008; Karim et al., 2014), and (C) VGLUT1 and VGLUT2 mRNA in reptiles (turtles) (Hussan, 2016; Sarkar and Atoji, 2018). FIGURE 6 Schematic drawings of cross-sections through the mammal, bird, and, reptile (turtle) brains showing glutamatergic neurons (green dots) in the pallium of amniotes. The distribution of glutamatergic neurons in the pallium is based on the expression of (A) VGLUT1 and VGLUT2 mRNA in mammals (Ni et al., 1995; Fremeau et al., 2001), (B) VGLUT2 mRNA in birds (Islam and Atoji, 2008; Karim et al., 2014), and (C) VGLUT1 and VGLUT2 mRNA in reptiles (turtles) (Hussan, 2016; Sarkar and Atoji, 2018). In turtles, the inferior olivary nucleus was demonstrated morphologically to be the source of climbing fibers (Ariel, 2005), and an electrophysiological study suggested that the climbing fibers in turtles are excitatory (Chan et al., 1989). Together with electrophysiological data, the findings from the immunohistochemical study of GluRs in the Purkinje cells also suggest that the climbing fibers are glutamatergic. In mammals, the pontine nuclei and granule cells of the cerebellar cortex showed VGLUT1 mRNA expression, whereas VGLUT2 mRNA was expressed in inferior olivary and vestibular nuclei (Ni et al., 1995; Hisano et al., 2002; Hioki et al., 2003). Conversely, target areas of these glutamatergic nuclei found to be positive for GluR expression, such as GluA1-3 mRNAs, are expressed in the Purkinje cells, and GluA2 and GluA4 mRNAs are expressed in the granule cells (Keinanen et al., 1990). In pigeons, VGLUT2 mRNA appeared to be expressed in the granular layer of the cerebellum. Besides, VGLUT2 mRNA is expressed in the inferior olivary, pontine, and vestibular nuclei, from which the climbing and mossy fibers originate (Islam and Atoji, 2008). Purkinje cells showed positive expression for GluA1-3 mRNA, and granule cells exhibited expression for GluA1 and GluA2 mRNA in pigeons (Ottiger et al., 1995; Islam and Atoji, 2008). Pallium the evolution and features of neurons and circuits of DVR are unique to reptiles and birds (Tosches et al., 2018; Colquitt et al., 2021). Although molecular signature implicates that DVR cells originate from ventral pallium and develop under the control of a distinct set of transcription factors compared to the mammalian neocortex, DVR in reptiles and birds are functionally similar to the mammalian neocortex in terms of processing of sensory input. The anterior DVR has sensory connectivity resemblance to that of the mammalian ventral pallium (lateral amygdala) and possesses similar types of neurons which express VGLUT1 (Tosches et al., 2018; Colquitt et al., 2021). Finally, in birds, correspondingly to reptiles and mammals, pallial structures such as hyperpallium, mesopallium, nidopallium, arcopallium, dorsolateral corticoid area, temporo– parieto–occipital area, piriform cortex, hippocampal formation, posterior pallial amygdala, and nucleus teniae of the amygdala express VGLUT2 mRNA (Islam and Atoji, 2008; Karim et al., 2014). In summary, in the telencephalon of adult turtles, VGLUT1 and VGLUT2 mRNA expression, that is, distribution of glutamatergic neurons was found in a restricted region of the brain, the pallium (Figure 6). This finding is well agreed with that of mammals (Ni et al., 1995; Fremeau et al., 2001) and birds (Islam and Atoji, 2008; Karim et al., 2014) in terms of the pallial organization of glutamatergic neurons. Moreover, single-cell transcriptomics data of reptiles and birds also suggested the presence of conserved regions and cell types in the amniote pallium (Tosches et al., 2018; Colquitt et al., 2021). Further research would clarify whether these cell types in the turtles constitute a similar circuit structure to the mammalian neocortex as demonstrated in birds (Spool et al., 2021; Ditz et al., 2022). The telencephalon of the reptilian brain is composed of two main parts: the cerebral cortex and DVR. The cerebral cortex consists of three divisions, namely, the medial, dorsal, and lateral cortices (Butler and Hodos, 2005). The dorsal cortex of the turtle is thought to correspond with the reptilian forerunner of the mammalian neocortex (Butler and Hodos, 2005; Güntürkün et al., 2017). The dorsal cortex has several similar features to the mammalian neocortex, such as thalamic afferents from the dorsal lateral geniculate nucleus, cholinergic inputs from the striatum, noradrenergic afferents from the locus coeruleus, and serotonergic afferents from the raphe nucleus (Reiner, 1993). Pallium Similar to the mammalian striate cortex, the visual dorsal cortex of turtles also sends efferent fibers to the dorsal lateral geniculate nucleus of the thalamus, and the optic tectum (Hall et al., 1977; Ulinski, 1986). Furthermore, turtles have a somatosensory part in the rostral dorsal cortex that resembles that of mammals (Reiner, 1993; Aboitiz et al., 2002; Medina, 2007; Güntürkün et al., 2017; Tosches and Laurent, 2019), although the anterior DVR of reptiles also possesses sensory neuronal attributes such as somatosensory, visual, and auditory neurons (Manger et al., 2002). In turtles, the dorsal cortex is composed of three layers: (1) the molecular layer: a superficial and broad layer; (2) the cellular layer: the middle layer, thin, and cell body–rich; and (3) the subcellular layer: it is also thin and the most inner layer (Güntürkün et al., 2017). Two principal types of neurons are present in the dorsal cortex, pyramidal, and non-pyramidal interneurons. The pyramidal neurons are involved with the main input and output connections of the cortex, whereas the non-pyramidal neurons are local circuit GABAergic interneurons (Crockett et al., 2015; Güntürkün et al., 2017). Recent studies suggest that glutamatergic and GABAergic neurons were likely the main components of the pallium in all vertebrates (Suryanarayana et al., 2017; Spool et al., 2021). Brainstem–cerebellar pathways These observations suggest that similar glutamatergic circuits exist in the brainstem–cerebellar pathway of reptiles, birds, and mammals. (Nieuwenhuys et al., 1998). Compared to mammals, the cerebellum of reptiles possesses two principal afferent pathways: the mossy fiber–granule cell–parallel fiber pathway and the climbing fiber pathway. In efferent cerebellar connections, Purkinje cells send projections to the cerebellar and vestibular nuclei; cerebellar nuclei further send fibers to the vestibular nuclei and reticular nuclei (Nieuwenhuys et al., 1998). In the turtle, VGLUT1 mRNA was found to be highly expressed in the granular cells of the cerebellum (Sarkar and Atoji, 2018), which further send projections as parallel fibers to the Purkinje cells. The Purkinje cells showed positive expression for GluR immunoreactivity (Keifer and Carr, 2000). Again, the vestibular nuclei and reticular nuclei from which the mossy fiber originates appeared to be glutamatergic due to the expression of VGLUT2 mRNA (Hussan, 2016; Sarkar and Atoji, 2018). In contrast, the mossy fiber target is the granule cells that express GluRs (Keifer and Carr, 2000). Thus, these findings indicate that the parallel fibers and mossy fibers are glutamatergic. This notion is also supported by an electrophysiological study that showed that glutamatergic neurotransmission at the parallel fiber–Purkinje cell synapse is mainly regulated by AMPA receptors, whereas at the mossy fiber–granule cell synapse, it is regulated by AMPA and NMDA receptors (Larson-Prior et al., 1995). Notably, pontine nuclei have not been found in reptiles and may have separately evolved in bird and mammal brains (Butler and Hodos, 2005). Frontiers in Neuroanatomy 11 frontiersin.org 10.3389/fnana.2022.937504 10.3389/fnana.2022.937504 Hussan et al. Glutamate in anoxia tolerance of turtle To study the underlying pathways to protect neurons from ischemic conditions, the turtle has been considered an emerging model animal because turtles can survive in anoxia and postanoxic reoxygenation without any harm to the brain (Milton, 2019). Likewise, the turtle embryonic cortical cell culture neurons showed extreme resistance to glutamate exposures that are fatal to mammalian cortical neurons (Choi et al., 1987; Wilson and Kriegstein, 1991). In addition, the turtles’ phylogenetic position and morphological, developmental, and molecular features make them interesting to research (Wang et al., 2013; Naumann et al., 2015). The phylogenetic position of the turtle among amniotes has a big dispute. Morphological data align the turtle with lepidosaurs (tuatara, lizards, and snakes), whereas molecular and genomic data find the turtle should group with archosaurs (birds and crocodiles) (Hedges, 2012). The most peculiar morphological characteristic of the turtle is its shell composed of two parts a plastron (ventral) and a carapace (dorsal). There is no temporal opening in their compact skull (Rice et al., 2016). In recent years, the turtle model has been used to understand temperature-dependent sex determination, which is specific to many reptiles (Tezak et al., 2020; Merchant-Larios et al., 2021). Turtles are oviparous, and embryos can be hatched in the incubator. It is also easy to keep them in captivity (Cadi et al., 2004). The turtle is an excellent model to study developmental stages because its embryo is accessible for manipulation during its development (Tezak et al., 2020; Merchant-Larios et al., 2021). Moreover, as we have discussed in section 4, the dorsal cortex of turtles has several resemblances with the neocortex of mammals such as afferent connectivity including thalamic, adrenergic, serotonergic, cholinergic, and efferent connectivity to the thalamus and the brainstem (Reiner, 1993; Medina, 2007). The dorsal cortex of turtles and mammalian neocortex also share cell types and circuitry, although the turtle cortex has three layers instead of the mammalian six layers (Tosches et al., 2018). Thus, the study of turtle dorsal cortices is crucial to understanding the evolution of the mammalian neocortex (Reiner, 1993; Briscoe and Ragsdale, 2018b; Tosches and Laurent, 2019; Striedter and Northcutt, 2020). Furthermore, The freshwater turtle T. scripta is a facultative anaerobe and can survive in anoxia for a day at room temperature and even a month at 3◦C without brain damage. It can tolerate the shocking effect of re-oxygenation after the end of anoxia without affecting brain functions (Milton, 2019). Functional involvement of glutamatergic neurons in the brains of turtles In the dorsal cortex of the turtle, pyramidal neurons showed that the expression of VGLUT1 mRNA (Sarkar and Atoji, 2018) was consistent with the immunohistochemical demonstration of glutamate (Fowler et al., 1999). In mammals, pyramidal neurons of the neocortex are highly positive for VGLUT1 mRNA (Ni et al., 1995). The medial region of the reptile cerebral cortex is comparable to the hippocampal formation of mammals, and the lateral cortex of reptiles is comparable to the piriform cortex of mammals (Tosches et al., 2018). In turtles, VGLUT1 mRNA is expressed in the medial and lateral cortices of the brain (Sarkar and Atoji, 2018; Tosches et al., 2018). Similarly, in the neocortex and hippocampal regions of adult rats, expression of VGLUT1 and VGLUT2 mRNA was observed (Ni et al., 1995; Fremeau et al., 2001). In addition to the cerebral cortex of turtles, the DVR appeared to show strong expression for VGLUT1 mRNA and weak expression for VGLUT2 mRNA. Recent research suggests that In the brain of a turtle, glutamatergic neurons have been identified by examining the expression patterns of VGLUT1-3 mRNA. However, few data are available regarding the functions of glutamatergic neurons in the brains of turtles. The dorsomedial cortex of the reptile brain is assumed to be homologous to the hippocampal formation of mammals. Behavioral studies of turtles suggest that their dorsal and medial cortices are implicated in learning and memory (Lopez et al., 2003a,b). In the brain of a turtle, the medial cortex in vitro showed frequency potentiation, a type of synaptic plasticity regulated by AMPA receptors (Muñoz et al., 1998a). Moreover, long-term potentiation is induced by tetanic stimulation in the medial cortex of the turtle brain, which is also regulated by AMPA receptors (Muñoz et al., 1998b). The injection of MK-801 (NMDA receptor antagonist) and dorsal cortex Frontiers in Neuroanatomy frontiersin.org 12 10.3389/fnana.2022.937504 10.3389/fnana.2022.937504 Hussan et al. lesions showed evidence for the participation of the dorsal cortex and NMDA receptor in the acquisition of a position habit of turtles (Avigan and Powers, 1995). The expression of VGLUT1 and 2 mRNA in the brains of turtles suggests that the dorsal and medial cortices have glutamatergic neurons (Hussan et al., 2017; Sarkar and Atoji, 2018). This morphological location of glutamatergic neurons in the dorsal and medial cortex of turtles is possibly involved in the learning and memory of turtles. Functional involvement of glutamatergic neurons in the brains of turtles turtles are long-lived species with brain structures and functions similar to those of mammals and birds, particularly for learning and memory. Therefore, this species could be studied for many years, as they can survive for a long time and have long-term memory capacity (Congdon et al., 2003). The correlation between long lifespan and stress resistance has not yet been studied in turtles. However, the elevated levels of certain anti-stress proteins (heat shock protein- Hsp72), anti-apoptotic factors (Bcl-2), and antioxidant factors (FOXO3a) may make the turtle resistant to aging pathologies (Kesaraju et al., 2014; Reiterer and Milton, 2020; Reiterer et al., 2021). Glutamate in anoxia tolerance of turtle Whole-cell AMPA receptor currents decline by 50–60% (Pamenter et al., 2008b; Zivkovic and Buck, 2010), whereas a 45–65% reduction in whole-cell NMDA receptor currents within 30 min of anoxia has also been reported (Pamenter et al., 2008a,c). During a short time (2 h) of anoxia of turtles, about a 35% rise in intracellular Ca2+ along with a decrease in the activity of NMDA receptors was observed (Bickler, 1998). The elevation of Ca2+ occurs due to its release from the mitochondria which regulate GluRs in anoxia (Pamenter et al., 2008c; Hawrysh and Buck, 2013; Hawrysh et al., 2022). These accumulated data suggest that glutamate is the key factor for anoxia resistance in the turtle brain and excitotoxic cell death in the mammalian brain. Inhibition of glutamate receptors or release of glutamate and enhancement of reuptake of glutamate could be the potential target to find therapeutics for the treatment of human diseases related to anoxia. protein such as Hsp72 was also reported in the turtle brain which causes neuroprotection through the modulation of reactive oxygen species (ROS) levels in anoxia/reoxygenation in turtles (Prentice et al., 2004; Kesaraju et al., 2014). Furthermore, the presence of abundant antioxidant activity such as methionine sulfoxide reductase and Forkhead box O3a (Foxo3a), a core regulator of the stress response, protects the turtle neurons during oxidative stress, particularly in anoxia and reoxygenation (Reiterer and Milton, 2020; Reiterer et al., 2021). Lastly, in the turtle brain, GABA is increased significantly (∼90-fold) during anoxia, which induces spike arrest by inhibiting the presynaptic release of glutamate and activating a postsynaptic inhibitory shunt (Nilsson and Lutz, 1991; Pamenter et al., 2011). Turtle is the most anoxia tolerant among reptiles as well as vertebrates (Bickler and Buck, 2007). Meanwhile, all reptiles, or even all turtles, are not equally tolerant to anoxia. The soft-shelled turtle (Apalone) is an example of being relatively less anoxia tolerant having 50% mortality after 14 days of anoxia in water at 3◦C (Reese et al., 2003). Among other members of reptiles, anoxia tolerance has been studied in some species of snakes (Seymour and Webster, 1975; Hermes-Lima and Storey, 1993; Rice et al., 1995). For example, garter snakes (Thamnophis sirtalis parietalis) are quite anoxia tolerant and can survive several hours without oxygen at 5◦C (Hermes-Lima and Storey, 1993; Rice et al., 1995). Comparatively, very little data are available regarding the anoxia tolerance in lizards. Glutamate in anoxia tolerance of turtle Studies have shown that the European common lizard (Lacerta vivipara) tolerates the frozen state (3 days at −3◦C) and utilizes its antioxidant system to cope with that hypoxic situation under freezing conditions (20 h, −2.5◦C) (Costanzo et al., 1995; Voituron et al., 2006). In general, reptiles, amphibians, and fishes are more anoxia tolerant than mammals and birds (Bickler and Buck, 2007). However, some species of turtles such as T. scripta are extremely anoxia tolerant. Now, there is a question of whether these unique features of the turtles are due to the evolutionary divergence of reptiles or whether turtles have specific adaptations for anoxia tolerance. To resolve the issue, further extensive studies of anoxia tolerance and factors that are correlated with anoxia are required to investigate other species of reptiles such as lizards, snakes, and alligators from a phylogenetic point of view. Glutamate in anoxia tolerance of turtle In mammals, re-oxygenation is a great problem because ischemia- reperfusion frequently causes stroke or myocardial infarction (Naumann et al., 2015). In turtles, different stress-responsive mechanisms are activated in an anoxic environment such as preparing for hypometabolism, averting depolarization of the brain due to anoxia, upregulation of protective pathways, and downregulation of injurious or apoptotic pathways (Milton, 2019). Various factors are inherently present in the turtle which make them able to survive in the anoxic condition. For example, the turtle’s brain possesses a high level of glycogen which permits glycolysis for a longer period in anoxic conditions (Lutz et al., 2003; Packard and Packard, 2005). By contrast, lizards are reported to die in winter due to a lack of glycogen storage in the liver (Zani et al., 2012). In addition, delta-opioid receptors, whose activation is neuroprotective in both turtles and mammals (Pamenter and Buck, 2008; Tian et al., 2013; Subedi and Wang, 2020), are present four times more in the turtle cortex than in mammals (Xia and Haddad, 2001). Moreover, an elevated level of transcription regulator nuclear factor κB was observed in the liver of turtles and showed a beneficial role in anoxia tolerance (Krivoruchko and Storey, 2010). In fact, an in vitro study of a rat model suggested a neuroprotective role of NF- kB in brain ischemia by the activation of anti-apoptotic and suppression of pro-inflammatory gene expression (Simmons et al., 2016). Besides, an increased level of pituitary adenylate cyclase-activating polypeptide (PACAP) was observed in the brain of turtles in comparison to rats and human brains (Reglödi et al., 2001), which has a neuroprotective effect on glutamate-induced neurotoxicity and oxidative stress (Morio et al., 1996; Kaneko et al., 2018). A high level of heat shock Frontiers in Neuroanatomy 13 frontiersin.org 10.3389/fnana.2022.937504 10.3389/fnana.2022.937504 Hussan et al. stage, glutamate release is modulated by adenosine receptors and K+ATP channels. In the later stage of anoxia, adenosine and GABAA receptors regulate to maintain the low level of glutamate (Thompson et al., 2007). In addition to reducing extracellular glutamate release, postsynaptic GluRs activity is also reduced. For example, after 1 h of anoxia in the turtle dorsal cortex, a 65% decrease in NMDA receptor open probability (Popen) has been observed (Buck and Bickler, 1998). Concluding remarks and the future directions Turtles could be an invaluable research model to study human glutamate-related neurological disorders because of their extreme anoxia resistance based in part on the prominent glutamate-controlling system. In mammalian models of anoxia, both pathological and protective responses are induced. Conversely in turtles, the pathological pathways are largely suppressed and protective pathways are enhanced. Many of the mechanisms used by the turtle in anoxia are similar to those described as critical factors in mammalian ischemic/hypoxic preconditioned models (Milton, 2019). Thus, understanding the mechanism of anoxia tolerance, especially regarding the control of glutamate, in turtles may lead to finding a novel drug target to combat anoxia or hypoxia-related human diseases. For this purpose, first, it is necessary to establish glutamatergic circuits in the turtle brain, for which a prior expression study of glutamate-related factors is essential. In turtles, glutamatergic neurons have previously been identified by the expression of VGLUT1 and VGLUT2 mRNA (Hussan, 2016; Hussan et al., 2017; Sarkar and Atoji, 2018), but the protein expression studies of these VGLUTs remain to be explored. Full expression data of both mRNA and protein of GluRs is needed to study the turtle brain, although the protein expression of some GluRs has been studied in certain areas of the turtle brain (Fowler et al., Controlling the excitatory neurotransmitter, particularly glutamate release and reuptake, is one of the crucial strategies of neuroprotection in anoxic turtles. In the mammalian brain, within a minute of anoxia, an increase in glutamate levels results in excitotoxic cell death which does not happen in the turtle brain. In the turtle brain, glutamate levels rather decrease and GABAergic signals increase (Hogg et al., 2014). In the early stage of anoxia (first hour), extracellular glutamate is maintained by decreasing glutamate release by neurons and reuptake continues by active glutamate transporters. At this Frontiers in Neuroanatomy frontiersin.org 14 10.3389/fnana.2022.937504 Hussan et al. 1999; Keifer and Carr, 2000). An ample amount of data on fiber connections of the turtle brain have previously been reported (Balaban and Ulinski, 1981; Ulinski, 1986; Reiner, 1993; Butler, 1994; Nieuwenhuys et al., 1998; Butler and Hodos, 2005; Chkheidze and Belekhova, 2005). Therefore, after completion of the gene expression study, the tract–tracing method is required to understand the glutamatergic circuits. In this review, we have shown possible glutamatergic circuits that could help to design further studies on the turtle brain. 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 MTH, AS, and HM wrote the manuscript. All authors contributed to the article and approved the submitted version. Concluding remarks and the future directions We have mentioned many benefits of the turtle as a research model; however, a few limitations also exist in studying turtle brains, including (1) the lack of a good brain atlas of the turtle brain, which might be due to the remarkable species variation among turtles; (2) the lack of genetically mutant turtle varieties (though it is possible to generate a transgenic turtle line using similar technology that is currently implemented in avian species) (Lee et al., 2020); and (3) the composition of turtle brains, such as their high glycogen (Lutz et al., 2003) and fiber content (Kalman et al., 1994) and large ventricles, which causes difficulty in the processing of turtle brain tissue for in situ hybridization or immunohistochemistry. Also, the application of genetic engineering for functional study in the turtle is still inadequate, although RNA interference (RNAi) methods have been implemented to knock down some genes in this species (Nayak et al., 2009; Kesaraju et al., 2014; Reiterer et al., 2021). These limitations could be overcome in the near future for further studies. The development of new technologies such as single-cell transcriptomics, neuroimaging, large-scale neural connectomics, optogenetics, and genetic engineering may become an advantage for comparative analysis of the brain including turtles. The turtle is not only important as an anoxic preconditioned model but also is interesting for understanding the evolution of the brain because it contains a brain structure that is in between mammals and birds such as the mammalian cortex and DVR in birds (Briscoe and Ragsdale, 2018b; Tosches and Laurent, 2019; Striedter and Northcutt, 2020). the turtle brain by approaches such as pharmacology and electrophysiology and apply the findings to mammalian therapy. The integrated knowledge of the glutamatergic pathways shown in this review would act as a fundamental basis for advanced studies. Acknowledgments We acknowledge all of the laboratory members for participating in helpful discussions and providing continuous support and the Tokyo Biochemical Research Foundation (TBRF) for providing TBRF postdoctoral fellowship for foreign researchers for MTH (TBRF-RF 21-135). In summary, in this review, we presented the expression areas of glutamate-related genes (VGLUTs and GluRs) and fiber connections of these areas in the turtle and compared them to those of birds and mammals. We also provided that glutamate is an important factor in anoxia tolerance of turtles and excitotoxic cell death in mammals. It is suggested that in mammals, CA1 neurons of the hippocampus are the most sensitive to hypoxia or ischemia (Michaelis, 2012; Shaw et al., 2021). Interestingly, the neurons in the turtle medial cortex, which is homologous to the hippocampus of mammals, possess epileptogenic properties suggesting their vulnerability (Shen and Kriegstein, 1986). Given that hippocampal cell types are well conserved in evolution (Tosches et al., 2018), the neurons of the turtle medial cortex would be therefore an interesting target for further investigation. 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LMNA p.R482W mutation related to FPLD2 alters SREBP1-A type lamin interactions in human fibroblasts and adipose stem cells
Orphanet journal of rare diseases
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Buendia Orphanet Journal of Rare Diseases 2015, 10(Suppl 2):O13 http://www.ojrd.com/content/10/S2/O13 Buendia Orphanet Journal of Rare Diseases 2015, 10(Suppl 2):O13 http://www.ojrd.com/content/10/S2/O13 Open Access Open Access ORAL PRESENTATION LMNA p.R482W mutation related to FPLD2 alters SREBP1-A type lamin interactions in human fibroblasts and adipose stem cells LMNA p.R482W mutation related to FPLD2 alters SREBP1-A type lamin interactions in human fibroblasts and adipose stem cells Brigitte Buendia From 1st French-Italian meeting on laminopathies and other nuclear envelope-related diseases Marseille, France. 15-16 January 2015 SREBP1 (Sterol regulatory element binding protein 1), transcription factor that regulates hundreds of genes involved in lipid metabolism and adipocyte differentia- tion, is a direct partner of A-type lamins. We show that i) in vitro, the tail regions of prelamin A, lamin A and lamin C bind a polypeptide of SREBP1 and ii) within cells, interactions between wild-type A-type lamins and SREBP1 occur mainly at the nuclear periphery but also within the nucleoplasm. While A-type lamin R482W mutation is responsible for Dunnigan type familial partial lipodystrophy (FPLD2), we show that both overexpres- sion of LMNA p.R482W in primary human preadipocytes and endogenous expression of A-type lamins p.R482W in FPLD2 patient fibroblasts, reduce A-type lamins-SREBP1 in situ interactions and upregulates a large number of SREBP1 target genes [1]. As this LMNA mutant was pre- viously shown to inhibit adipogenic differentiation, we propose that deregulation of SREBP1 by mutated A-type lamins constitutes one underlying mechanism of the physiopathology of FPLD2. Published: 11 November 2015 Reference 1. Vadrot N, Duband-Goulet I, Cabet E, Attanda W, Barateau A, Vicart P, et al: The p.R482W substitution in A-type lamins deregulates SREBP1 activity in Dunnigan-type familial partial lipodystrophy. Human molecular genetics 2015, 24(7):2096-109. doi:10.1186/1750-1172-10-S2-O13 Cite this article as: Buendia: LMNA p.R482W mutation related to FPLD2 alters SREBP1-A type lamin interactions in human fibroblasts and adipose stem cells. Orphanet Journal of Rare Diseases 2015 10(Suppl 2): O13. Correspondence: brigitte.buendia@univ-paris-diderot.fr Unité de Biologie Fonctionnelle et Adaptative (BFA), Université Paris Diderot- Paris 7, CNRS, UMR 8251, Paris, France 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: Reference Reference 1. Vadrot N, Duband-Goulet I, Cabet E, Attanda W, Barateau A, Vicart P, et al: The p.R482W substitution in A-type lamins deregulates SREBP1 activity in Dunnigan-type familial partial lipodystrophy. Human molecular genetics 2015, 24(7):2096-109. Reference 1. Vadrot N, Duband-Goulet I, Cabet E, Attanda W, Barateau A, Vicart P, et al: The p.R482W substitution in A-type lamins deregulates SREBP1 activity in Dunnigan-type familial partial lipodystrophy. Human molecular genetics 2015, 24(7):2096-109. Reference 1. Vadrot N, Duband-Goulet I, Cabet E, Attanda W, Barateau A, Vicart P, et al: The p.R482W substitution in A-type lamins deregulates SREBP1 activity in Dunnigan-type familial partial lipodystrophy. Human molecular genetics 2015, 24(7):2096-109. • Convenient online submission doi:10.1186/1750-1172-10-S2-O13 Cite this article as: Buendia: LMNA p.R482W mutation related to FPLD2 alters SREBP1-A type lamin interactions in human fibroblasts and adipose stem cells. Orphanet Journal of Rare Diseases 2015 10(Suppl 2): O13. doi:10.1186/1750-1172-10-S2-O13 Cite this article as: Buendia: LMNA p.R482W mutation related to FPLD2 alters SREBP1-A type lamin interactions in human fibroblasts and adipose stem cells. Orphanet Journal of Rare Diseases 2015 10(Suppl 2): O13. doi:10.1186/1750-1172-10-S2-O13 Cite this article as: Buendia: LMNA p.R482W mutation related to FPLD2 alters SREBP1-A type lamin interactions in human fibroblasts and adipose stem cells. Orphanet Journal of Rare Diseases 2015 10(Suppl 2): O13. doi:10.1186/1750-1172-10-S2-O13 Correspondence: brigitte.buendia@univ-paris-diderot.fr Unité de Biologie Fonctionnelle et Adaptative (BFA), Université Paris Diderot- Paris 7, CNRS, UMR 8251, Paris, France Submit your manuscript at www.biomedcentral.com/submit © 2015 Buendia This is an Open Access article distributed under the terms of the Creative Commons Attribution License (http:// creativecommons.org/licenses/by/4.0), which permits unrestricted use, distribution, and reproduction in any medium, provided the original work is properly cited. The Creative Commons Public Domain Dedication waiver (http://creativecommons.org/publicdomain/ zero/1.0/) applies to the data made available in this article, unless otherwise stated.
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External Evaluation of Event Extraction Classifiers for Automatic Pathway Curation: An extended study of the mTOR pathway
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1 Introduction Biological pathways encode sequences of biolog- ical reactions, such as phosphorylation, activa- tion etc, involving various biological species, such as genes, proteins (Aldridge et al., 2006; Kitano, 2002). Studying and analyzing pathways is cru- cial to understanding biological systems and for the development of effective disease treatments and drugs (Creixell et al., 2015; Khatri et al., 2012). There have been numerous efforts to re- construct detailed process-based and disease level pathway maps such as Parkinson disease map (Fu- jita et al., 2014), Alzheimers disease Map (Mizuno et al., 2012), mTOR pathway Map (Caron et al., 2010), and the TLR pathway map (Oda and Ki- tano, 2006). Traditionally, these maps are con- structed and curated by expert pathway curators who manually read numerous biomedical docu- ments, comprehend and assimilate the knowledge in them and construct the pathway. One of the key components in such APC sys- tems is identification of triggers, events and their relationships. These machine learning-based sys- tems are essentially just supervised classification components. This paper explores whether we can improve results of automated pathway curation for mTOR pathway by using different training datasets and learning algorithms. We show that the choice of event extraction classifiers increases F-score by up to 20% compared to state-of-the-art system. Our results also show that within limits the choice of training data has significantly less impact on re- sults than the choice of classifier. Our results also suggest that additional research is necessary to solve the problem of APC. With increasing number of scientific publica- tions manual pathway curation is becoming more and more impossible. Therefore, Automated Path- way Curation (APC) and semi-automated biolog- ical knowledge extraction has been an active re- search area (Ananiadou et al., 2010; Ohta et al., 2013; Szostak et al., 2015) trying to overcome the limitations of manual curation using vari- ous techniques from hand-crafted NLP systems External Evaluation of Event Extraction Classifiers for Automatic Pathway Curation: An extended study of the mTOR pathway Wojciech Kusa AGH University of Science and Technology Cracow, Poland wojciechkusa@gmail.com Michael Spranger Sony Computer Science Laboratories Inc. Tokyo, Japan michael.spranger@gmail.com Abstract (Allen et al., 2015) to machine learning techniques (Bj¨orne et al., 2011). Machine-learning NLP sys- tems, in particular, show good performance in BioNLP tasks, but they are still performing less good in automated pathway curation, partly be- cause there have been few attempts to measure the performance of NLP systems for APC directly. This paper evaluates the impact of vari- ous event extraction systems on automatic pathway curation using the popular mTOR pathway. We quantify the impact of train- ing data sets as well as different machine learning classifiers and show that some improve the quality of automatically ex- tracted pathways. Recently, there has been some attempt at rem- edying the situation and new datasets and eval- uation measures have been proposed. For in- stance, Spranger et al. (2016) use the popu- lar human-generated mTOR pathway map (Caron et al., 2010; Efeyan and Sabatini, 2010; Katiyar et al., 2009) and quantify the performance of a par- ticular APC system and its ability to recreate the complete pathway automatically. Results reported were mixed. Proceedings of the BioNLP 2017 workshop, pages 247–256, Vancouver, Canada, August 4, 2017. c⃝2017 Association for Computational Linguistics 1http://cermine.ceon.pl/index.html 2We refer to SBML vocabulary using the prefix “sbml”. 2 Automatic Pathway Curation We constructed an automatic pathway curation system that take as input scientific articles in PDF format and transforms them into SBML encoded, annotated pathway maps. The pipeline has multi- 247 Salakoski, 2015) allow to easily exchange the SVM classifiers with other supervised classifica- tion algorithms. For example, all scikit-learn mul- ticlass, supervised learning algorithms that sup- port sparse feature matrices can be applied (Pe- dregosa et al., 2011). Thanks to this it is possi- ble to test different algorithms for event extraction task and automatic pathway extraction. For this paper, we exchanges classifiers in all steps 1-4s as described in Section 3. The output of TEES is a standoff formatted representation of entities and events. Salakoski, 2015) allow to easily exchange the SVM classifiers with other supervised classifica- tion algorithms. For example, all scikit-learn mul- ticlass, supervised learning algorithms that sup- port sparse feature matrices can be applied (Pe- dregosa et al., 2011). Thanks to this it is possi- ble to test different algorithms for event extraction task and automatic pathway extraction. For this paper, we exchanges classifiers in all steps 1-4s as described in Section 3. The output of TEES is a standoff formatted representation of entities and events. ple steps. ple steps. 1. PDFs are translated into pure text files using the cermine1 tool. 1. PDFs are translated into pure text files using the cermine1 tool. 2. Preprocessing provides tokenization, POS tagging, dependency and syntax parsing. 2. Preprocessing provides tokenization, POS tagging, dependency and syntax parsing. 3. An event extraction system extracts the men- tions of entities (genes, proteins etc), reac- tions (e.g. phosphorylation) and their argu- ments (theme, cause, product). 4. A converter constructs pathways from the in- formation provided by the event extraction system. 2.1 Event Extraction We used the TURKU Event Extraction System (TEES) for event extraction (Bj¨orne et al., 2010). This system is one of the most successful BioNLP systems. It has not only won 1st place in BioNLP competitions but was also the only one NLP sys- tem that participated in all BioNLP-ST 2013 tasks (Bj¨orne et al., 2012). The system combines var- ious NLP techniques to extract information from text. TEES workflow consists of four steps: We used the TURKU Event Extraction System (TEES) for event extraction (Bj¨orne et al., 2010). 1. Trigger Detection - detection of named enti- ties and event triggers in a given sentence to construct nodes of the event graph. 2.2 Conversion Standoff to SBML pathways 5. An annotation system maps extracted entities and events to Entrez gene identifiers and SBO terms. In principle events and entities extracted by TEES correspond to biological species and reactions. We translate the NLP representation into SBML – the standard, XML-based markup language for representing biological models (Hucka et al., 2003). SBML essentially encodes models us- ing biological players called sbml:species2. sbml:species can participate in interac- tions, called sbml:reaction. Species par- ticipate in interaction as sbml:reactant, sbml:product and sbml:modifier. The basic idea being that some quantity of reactant is consumed to produce a product. Reactions are influenced by modifiers. The mapping algorithm is adopted from and described in more detail in Spranger et al. (2015). The following sections detail steps 3 to 5. The following sections detail steps 3 to 5. 2.3 SBO/GO, Entrez Gene Annotations The SBML encoded, automatically extracted path- way is further annotated using Systems Biology Ontology (SBO) (Le Nov`ere, 2006) and Gene On- tology (GO) terms. SBO also provides a class hi- erarchy for reaction types. For instance, the NLP system identify phosphorylation reactions, which are a subclass of conversion reactions. All reac- tions in the data are automatically annotated with SBO/GO term (coverage 100%) using an annota- tion scheme detailed in (Spranger et al., 2015). 2. Edge detection - construction of complex events linking few triggers to create event graph. Output produced during this step is often a directed, typed edge connecting two entity nodes. 3. Unmerging - event nodes from merged event graph are duplicated in order to separate ar- guments into valid combinations. This step is needed for evaluation of final results in BioNLP Shared Task standard. Species (e.g. proteins, genes) were annotated using the gene/protein named entity recognition and normalization software GNAT (Hakenberg et al., 2011) - a publicly available gene/protein normalization tool. GNAT returns a set of En- trez Gene identifiers (Maglott et al., 2005) for each input string. Species were annotated using all returned Entrez Gene identifiers for a particular 4. Modifiers detection - final component that defines additional attributes for events such as speculation and negation modifiers. By default TEES trains a different instance of multiclass Support Vector Machines (SVM) for each step. Recent versions of TEES (Bj¨orne and 248 Item ANN GE11 PC13 Documents 60 908 260 Words 11960 205729 53811 Entities 1921 11625 7855 Events 1284 10310 5992 Modifiers 71 1382 317 Renaming 101 571 455 species (organism human). We call the set of En- trez Gene identifiers returned by GNAT for each species Entrez Gene signature. 4 Datasets • Multi-layer Perceptron (MLP) MLP is a feedforward neural network model. We use hidden layer with 100 neurons and rectified linear unit activation function. We optimize for logarithmic loss using stochastic gradient descent. Learning rate is constant and equal to 0.001. 3 Classifiers for Event Extraction In this paper we evaluate classifiers for event ex- traction (Section 2.1) and their impact on the over- all performance of the automatic pathway extrac- tion system. We compare the following classifiers: Table 1: Corpora statistics Table 1: Corpora statistics Reaction type ANN GE11 PC13 Acetylation 0 0 38 Activation 0 0 359 Binding 211 988 606 Catalysis 87 0 0 Conversion 0 0 124 Deacetylation 0 0 1 Degradation 0 0 49 Demethylation 0 0 4 Dephosphorylation 14 0 22 Deubiquitination 0 0 3 Dissociation 55 0 54 Gene expression 46 2265 384 Hydroxylation 0 0 1 Inactivation 0 0 76 Localization 27 281 96 Methylation 0 0 7 Negative regulation 194 1309 801 Pathway 0 0 443 Phosphorylation 252 192 406 Positive regulation 235 3385 1506 Protein catabolism 18 110 0 Regulation 132 1113 707 Transcription 8 667 74 Translation 1 0 11 Transport 0 0 189 Ubiquitination 4 0 31 • Support Vector Machines (SVM) is the de- fault TEES classifier (Joachims, 1999). It was optimized for linear classification and its performance scales linearly with the number of training examples. • Decision Tree (DT) creates a model that can predict the target value by learning simple de- cision rules inferred from the training data. Compared to the other techniques they are relatively fast, cost of using tree is logarith- mic in the number of examples. We use Gini impurity criterion to evaluate quality of the split. • Random Forest (RF) classifiers fit a number of ensembled decision tree classifiers, each built from a bootstrap sample of a training set. The best split of node is chosen only from a random subset of the features, not all fea- tures. Final classifiers are combined by av- eraging their probabilistic prediction. Single tree have a higher bias but, due to averaging variance of the random forest as a whole de- creases. • Multinomial Naive Bayes (MNNB) This is an implementation of the naive Bayes algo- rithm for multinomial data which is one of the classic variants used in classification of discrete features (e.g. text classification). Additive smoothing parameter was set to 1. Table 2: Reaction types annotated for training data sets. 4.1 Training Datasets In order to quantify the impact of training data, we test the following three training sets. • ANN - consists of 60 abstracts of scien- tific papers from Pubmed database related to the mTORpathway map. This dataset was human-annotated for NLP system training (Ohta et al., 2011, Corpus annotations (c) GENIA Project) . For DT, RF, MNNB and MLP we use imple- mentations from scikit-learn Python library (Pe- dregosa et al., 2011). 249 • GE11 consists of 908 abstracts and full texts of scientific papers used in BioNLP ST 2011 GENIA Event Extraction task as training data (Kim et al., 2012). terms. Also we annotate the curated map with En- trez gene identifiers (similar to the automatic ex- traction data). We call this pathway TARGET. Testing classifiers The 522 full text papers – used by human curators for the construction of the mTOR pathway – are used for evaluating the dif- ferent text mining classifiers. For this, we plug in (trained) classifiers into the automatic pathway extraction pipeline which performs preprocessing, event extraction, conversion to SBML and anno- tation (see also Section 2). The output of this is an annotated SBML file that is subsequently com- pared to human-curated SBML-encoded pathway data. • PC13 consists of 260 abstracts of scientific papers used in BioNLP ST 2013 Pathway Curation task as training data (Ohta et al., 2013). The task goal was to evaluate the ap- plicability of event extraction systems to sup- port the automatic curation and evaluation of biomolecular pathway models. The overall corpora statistics are summarized in Table 1. GE11 and PC13 have the largest number of annotated events. ANN is much smaller in com- parison. Also, the distribution of event types dif- fers between data sets (Table 2). GE11 uses more general terms (Binding, Regulation) compared to PC13 where some specific events appear only a few times (Deacetylation, Hydroxylation, Methy- lation). 5 Evaluation Evaluation of the classifiers (and the system as a whole) is performed by comparing the auto- matically extracted pathway with the hand-curated pathway. Spranger et al. (2016) propose a num- ber of graph overlap algorithms for quantifying the difference and similarity of two pathways. Here we employ the same measures. The following summarizes the strategies. We train classifiers on four combinations of the three training datasets: 1) standalone GE11; 2) GE11+ANN - combined GE11 and ANN; 3) combined GE11+PC13+ANN - GE11, PC13 and ANN; 4) PC13+ANN - combined PC13 and ANN. For instance, DT+GE11 refers to a decision tree classifier trained on GE11. Species In order to decide whether species in two pathways are the same, we use the name of the identifiers and their Entrez gene signatures. nmeq: Two species are equal if their names are exactly equal. We remove certain prefixes from the names (e.g. phosphorylated). nmeq: Two species are equal if their names are exactly equal. We remove certain prefixes from the names (e.g. phosphorylated). We use GE11-Devel BioNLP ST2011 dataset for hyperparameter optimization of all classifiers. 6.1 Extraction Results: Species, Reactions, Subgraphs sobisa: Two reactions are equal, iff there is at least one SBO/GO term in each signature that relate in a is a relationship in the SBO re- action type hierarchy. For instance, if there is a phosphorylation reaction and a conver- sion reaction, then sboisa will match because phosphorylation is a subclass of conversion according to the SBO type hierarchy. sobisa: Two reactions are equal, iff there is at least one SBO/GO term in each signature that relate in a is a relationship in the SBO re- action type hierarchy. For instance, if there is a phosphorylation reaction and a conver- sion reaction, then sboisa will match because phosphorylation is a subclass of conversion according to the SBO type hierarchy. Generally speaking the extracted pathways con- tain two order of magnitudes more species reac- tions, and edges than the TARGET pathway (see Table 3 for all results). This is normal since the extracted pathways consist of all combinations of entity and event mentions in text. The same enti- ties may occur more often in the text then they are referenced in the actual pathway. Edges only match if their labels are strictly equal. So if an edge is a reactant, then it has to be a reactant in the other pathway. Same holds for products and modifiers. Our results show that extraction classifiers per- form inconsistent with respect to the identification of compartments. While some classifiers retrieve a lot of compartment information (via localization events), others (especially MNNB trained on ANN and PC13 datasets) do not extract any compart- ments. MNNB with our parameter choice might not be able to learn many different event types so it skips least frequent reaction types (one of which is localization event). Subgraph matching strategies are combina- tions of matching strategies for species, reactions (and for edges which is always the same). For in- stance, the matching strategy nmeq, sboeq is the most strict and requires that species names are ex- actly equal and that SBO/GO signatures of reac- tions are exactly equal. The matching strategy appeq/enteq/wc, sboisa is the most loose strategy. In this strategy, two species match if their names are approximately equal or if their Entrez gene identifiers overlap or if any of this applies to one of the constituents of the two species. Two reactions match if any of their SBO/GO terms are in a is a relationship. 4.2 Test Data appeq: Two species are equal if their names are approximately equal. Two names are approximately equal iff their Levenshtein- based string distance is above 90 (Leven- shtein, 1966) Performance of classifiers is tested on the mTOR pathway map (Caron et al., 2010). The map was constructed by expert human curators using 522 full text papers from the PubMed database. The experts curated a single large map using CellDe- signer (Funahashi et al., 2008) - a software for modeling and executing mechanistic models of pathways. CellDesigner represents information using a heavily customized XML-based SBML format (Hucka et al., 2003). enteq: Two species are equal if their entrez gene identifiers are exactly equal. This basically translates to the two species bqbiol:is identi- fier sets being exactly the same (order does not matter). entov: Two species are equal if their entrez gene identifiers sets overlap. This basically trans- lates to the two species bqbiol:is identifier sets overlapping. Target Human expert data We translate the curator map into standard SBML and further en- rich the information using SBO/GO and Entrez Gene annotations. For SBO/GO, we use existing annotations provided by curators and extend them by automatic annotations deduced from reactants and products of reactions. For example, if a phos- phoryl group is added in a reaction, it is annotated using the SBO term for phosphorylation. Each re- action may be annotated with multiple SBO/GO wc: Human curated data contains complex species that contain other species as con- stituents (species that consist of various pro- teins etc). wc allows species to match with constituents of complexes. Reaction match based on their SBO/GO anno- tations 250 fiers (DT, MNNB, RF, SVM) finished training on all selected combinations of training data sets. sboeq: Two reactions are equal iff their signa- tures are exactly the same. That is, the whole set of SBO/GO terms of one reaction is the same as of the other reaction. Since we tested 24 subgraph overlap measures with 18 classifiers, we receive a lot of data that cannot be discussed in detail in this paper. Here, we concentrate on general trends in the data. Code and datasets are published as appropriate3. sboov: Two reactions are equal, iff their signa- tures overlap. That is, the intersection of the set of SBO/GO terms of one reaction is with the set of SBO/GO terms of the other reaction is not empty. 6.1 Extraction Results: Species, Reactions, Subgraphs We compare a total of 24 matching strategies. Measuring how many subgraphs there are per pathway, we can see that more than half of all species extracted by classifiers are isolated and not connected to any reactions. Similarly we see many (small) subgraphs being extracted by the classi- fiers, whereas TARGET consists of essentially one large connected graph (with a few modeling mis- takes). 6.2 General Trends Subgraphs overlap Subgraph overlap is computed as follows. For each subgraph in the extracted pathway we search for subgraphs in the human curated data that match according to some subgraph matching strategy. We use micro-averaged F-score, preci- sion and recall (Sokolova and Lapalme, 2009) for quantifying the retrieval results. F-score is used to quantify the overlap of species, reactions and edges. We then macro-average these results to get a total F-score quantifying performance of the ex- traction system as a whole. Let us first concentrate on overall performance especially with respect to previous results. For this we compute the best classifiers and their score for different matching strategies. For each matching strategy, we evaluate all classifiers and then choose the best performing one and com- pare it with the results reported in Spranger et al. (2016)/Spr16. Table 4 shows that the best classi- fiers outperform Spr16 in all cases and for some subgraph overlap measures by 10 points. If we analyze the classifiers from this paper in more detail, results (Figure 1, Table 5) show that 3https://github.com/sbnlp/ 2017BioNLPEvaluation/ 6 Results Some classifiers take long to train, so we only have partial results for MLP. However, all other classi- 251 name # species # reactions # compartments # edges # reactant edges # edges product # modifiers # isolated species # isolated subgraphs DT+GE11 282361 92899 201 195531 89001 91895 14635 118162 187871 DT+GE11+ANN 284187 95096 188 212490 100529 93886 18075 115427 184542 DT+GE11+PC13+ANN 289504 94496 208 207447 94044 93559 19844 118281 188013 DT+PC13+ANN 279647 82977 20 188325 86802 82469 19054 123309 184698 MLP+GE11+ANN 278510 88502 230 193150 88655 87636 16859 114541 182456 MNNB+GE11 264413 69744 202 137828 61448 69250 7130 139402 198972 MNNB+GE11+ANN 245680 45690 0 86771 40102 45676 993 166712 206606 MNNB+GE11+PC13+ANN 269008 68926 0 142712 70292 68894 3526 151495 203903 MNNB+PC13+ANN 287314 76932 0 183029 94693 76925 11411 154210 199844 RF+GE11 227613 29573 9 50444 20786 29133 525 178233 206874 RF+GE11+ANN 261414 67974 347 130556 57195 67271 6090 136180 199157 RF+GE11+PC13+ANN 203314 32075 1 58083 25312 31704 1067 146342 177371 RF+PC13+ANN 236220 37018 0 68559 30493 36909 1157 168927 204771 SVM+GE11 288421 98938 451 200595 89769 97791 13035 109060 191175 SVM+GE11+ANN 262327 81207 388 169841 73033 80203 16605 109862 177023 SVM+GE11+PC13+ANN 275303 85435 312 179661 77587 84549 17525 114941 184481 SVM+PC13+ANN 275256 82119 59 177651 79239 81512 16900 120729 186122 TARGET 2242 777 7 2457 1044 892 521 15 4 Table 3: General statistics of all datasets. Number of extracted species, reactions and compartments. Total number of edges and of product, reactant and modifier edges. The table also shows the number of isolated species and the number of unconnected subgraphs for each pathway. The human curated mTOR pathway TARGET numbers are shown in the last row. Table 3: General statistics of all datasets. Number of extracted species, reactions and compartments. Total number of edges and of product, reactant and modifier edges. The table also shows the number of isolated species and the number of unconnected subgraphs for each pathway. The human curated mTOR pathway TARGET numbers are shown in the last row. 6 Results this Spr16 f-score f-score nmeq, sboeq 11.7 7.6 nmeq, sboov 15.3 11.4 nmeq, sboisa 18.1 13.6 appeq, sboeq 12.5 8.1 appeq, sboov 16.3 12.0 appeq, sboisa 19.4 14.5 appeq/enteq, sboeq 16.9 11.9 appeq/enteq, sboov 21.7 17.1 appeq/enteq, sboisa 26.0 20.4 appeq/entov, sboeq 36.2 26.9 appeq/entov, sboov 41.9 34.7 appeq/entov, sboisa 48.6 39.5 nmeq/wc, sboeq 23.3 15.0 nmeq/wc, sboov 26.0 19.6 nmeq/wc, sboisa 29.1 22.0 appeq/wc, sboeq 24.6 15.7 appeq/wc, sboov 27.4 20.4 appeq/wc, sboisa 30.9 23.1 appeq/enteq/wc, sboeq 39.7 29.1 appeq/enteq/wc, sboov 45.3 37.2 appeq/enteq/wc, sboisa 52.0 42.2 appeq/entov/wc, sboeq 39.7 29.1 appeq/entov/wc, sboov 45.3 37.2 appeq/entov/wc, sboisa 52.0 42.2 Table 4: This table compares macro F-score per- formance of the classifiers discussed in this paper with results reported in Spranger et al. (2016) for the strictest matching strategy (nmeq, sboeq) the best classifiers reach a macro F-score of 12 Figure 1: Best performing classifier f-score, pre- cision and recall for each subgraph overlap func- tions. The x-axis are the different subgraph over- lap function. The y-axis shows precision, recall, f-score of the highest classifier for each subgraph overlap function. Notice that these can be differ- ent classifiers for each subgraph overlap function (see Table 5 for all results). (with 14 precision, 13 recall scores). For the loos- est strategy (appeq/entov/wc, sboisa) this goes up to F-score 52 (47 precision, 66 recall). These re- sults show that when it comes to exact extraction the classifiers fail badly, whereas with more looser overlap strategies, performance becomes reason- able and there is some overlap between the ex- Figure 1: Best performing classifier f-score, pre- cision and recall for each subgraph overlap func- tions. The x-axis are the different subgraph over- lap function. The y-axis shows precision, recall, f-score of the highest classifier for each subgraph overlap function. Notice that these can be differ- ent classifiers for each subgraph overlap function (see Table 5 for all results). Table 4: This table compares macro F-score per- formance of the classifiers discussed in this paper with results reported in Spranger et al. (2016) (with 14 precision, 13 recall scores). For the loos- est strategy (appeq/entov/wc, sboisa) this goes up to F-score 52 (47 precision, 66 recall). 6 Results These re- sults show that when it comes to exact extraction the classifiers fail badly, whereas with more looser overlap strategies, performance becomes reason- able and there is some overlap between the ex- for the strictest matching strategy (nmeq, sboeq) the best classifiers reach a macro F-score of 12 252 tracted and the human-curated data. Of course, this also entails that the automatically extracted pathway does not completely capture what hu- mans are constructing from the text. Figure 2: Histogram of best classifiers. This hi togram is generated by counting how often a cla sifier is the best for a particular subgraph matchin strategy. Generally speaking overlap strategies that are loose with respect to constituents of complex species (wc) outperform their non wc counterparts. For instance, nmeq/wc, sboeq performs much bet- ter than nmeq, sboeq. This shows that complex species are important for the mTOR pathway but their extraction is not very detailed - which is why the overlap matching strategy has to be lenient with respect to complex species constituents. The increase in F-score for wc matching strategies is primarily driven by an increase in recall score. For instance, the difference between nmeq, sboeq and nmeq/wc, sboeq is more than 20 points, whereas precision does not improve that much. The rea- sons for that is that the same subgraphs in the ex- tracted pathway overlap with more subgraphs in TARGET. So it is not the case that other subgraphs in the extracted pathway overlap with TARGET. Results also show that recall is in general much higher than precision for looser strategies. For instance, wc strategies (right hand side of Figure 1) double the recall score w.r.t to their precision scores. This also shows that in principle loosen- ing matching strategies impacts mostly recall as the same subgraphs in the extracted data overlap with the human curated data. Acknowledgments We would like to thank the authors of the Turku Event Extraction System for providing such an ex- cellent system to the community. We also thank SBI for making the mTOR dataset available and their collaboration on evaluation and measure- ments. ing most often the best classifier, followed by var- ious DT-based classifiers and MLP. Figure 3 gives results for all classifiers across all matching strategies. Looser strategies give the max and strict matching strategies the min data points. We can see that performance is primar- ily driven by the choice of classifier as the F-score mostly varies with the type of classifier used (even though there are a few outliers). Situation is a bit more varied for precision and recall. Interestingly choice of dataset seems to have less impact. Gen- erally speaking MNNB are the least successful. RF clearly dominate precision on average but are close enough to DT and SVM on recall. 6.3 Classifier Performance in Detail The bottom figure in Figure 2 shows the best clas- sifiers in terms of precision, recall and F-score. We measured how often a classifier is the best classi- fier (for each of the 24 subgraph overlap strate- gies). It is clear that overall Random Forest classi- fier (RF) performance is the best. For all 24 match- ing strategies it is a Random Forest classifier that is better than any other competitor with RF trained on PC13 and ANN being the most frequent best classifier overall. Second place is Random For- est trained simply on GE11 (the largest dataset in terms of entities and events). No other classifiers (SVM, MLP, MNNB, DT) outperform RF. Train- ing on all datasets (RF+GE11+PC13+ANN) does not seem to increase success significantly. Perfor- mance across different RF classifiers is on par and good (see Table 5) Figure 2: Histogram of best classifiers. This his- togram is generated by counting how often a clas- sifier is the best for a particular subgraph matching strategy. RF+PC13+ANN is the most frequent best classifier w.r.t precision. RF+GE11 and RF+GE11+PC13+ANN also performing compa- rably. Compared to recall this means that RF wins F-score because they are best in precision. No RF classifier performs best in recall. Results show that MLP, DT and SVM all perform well for certain subgraph overlap strategies with SVM be- Results in the top figure of Figure 2 show that RF has the best precision performance. 253 7 Conclusion Figure 3: Statistics of classifier performance across all matching strategies. X-axis - classifiers. Y-axis - macro precision top, macro recall middle and macro f-score bottom (with 100 being perfect score). This paper continues the current trend of extend- ing NLP systems for APC and building more com- plete systems that allow evaluation with respect to some external standard - here the hand curated mTOR pathway. We measured the impact of different classifiers on retrieval performance and showed that certain classifiers have the potential to increase retrieval performance. Especially Random Forest classi- fiers perform much better on mTOR than previ- ously tried Support Vector Machines. On the other hand, the training data choice seems to have lit- tle impact (at least for the tested ANN, GE11 and PC13 training datasets). Spranger et al. (2016) argue that not all of the problems of APC can be overcome by using more training data on event extraction systems. They ar- gue that additions such as complex species recog- nition, co-reference resolution and pathway con- struction are needed to ultimately solve the prob- lem posed by APC. This certainly remains true and is not directly questioned by results in this paper. The system described here does not automatically compose single pathway maps from the extracted data. Nevertheless, our results suggest that a lot of progress can be made by improving on the event extraction part of the pipeline. This paper focuses on evaluating current ma- chine learning techniques for event extraction. We are currently in the process of evaluating other sys- tems including rule-based ones. Figure 3: Statistics of classifier performance across all matching strategies. X-axis - classifiers. Y-axis - macro precision top, macro recall middle and macro f-score bottom (with 100 being perfect score). Figure 3: Statistics of classifier performance across all matching strategies. X-axis - classifiers. Y-axis - macro precision top, macro recall middle and macro f-score bottom (with 100 being perfect score). J. Allen, W. de Beaumont, L. Galescu, and C. M. Teng. 2015. Complex event extraction using drum. BioNLP 2015 Workshop on Biomedical Natural Language Processing pages 1–11. References B. B Aldridge, J. M Burke, D. A Lauffenburger, and P. K Sorger. 2006. Physicochemical modelling of cell signalling pathways. Nature cell biology 8(11):1195–1203. J. Allen, W. de Beaumont, L. Galescu, and C. M. Teng. 2015. Complex event extraction using drum. BioNLP 2015 Workshop on Biomedical Natural Language Processing pages 1–11. 254 S. Ananiadou, S. Pyysalo, J. Tsujii, and D. Kell. 2010. 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Palaniappan, and S. Ghosh. 2016. Measuring the State of the Art of Automated Path- way Curation Using Graph Algorithms - A Case Study of the mTOR Pathway. ArXiv e-prints . S. Katiyar, E. Liu, C. Knutzen, et al. 2009. Redd1, an inhibitor of mtor signalling, is regulated by the cul4a–ddb1 ubiquitin ligase. EMBO reports 10(8):866–872. J. Szostak, S. Ansari, S. Madan, J. Fluck, M. Talikka, A. Iskandar, H. De Leon, M. Hofmann-Apitius, M. C Peitsch, and J. Hoeng. 2015. Construction of biological networks from unstructured informa- tion based on a semi-automated curation workflow. Database 2015:bav057. P. Khatri, M. Sirota, and A. Butte. 2012. Ten years of pathway analysis: current approaches and outstand- ing challenges. PLoS Comput Biol 8(2). References 255 DT+GE11 DT+GE11+ANN DT+GE11+PC13+ANN DT+PC13+ANN MLP+GE11+ANN MNNB+GE11 MNNB+GE11+ANN MNNB+GE11+PC13+ANN MNNB+PC13+ANN RF+GE11 RF+GE11+ANN RF+GE11+PC13+ANN RF+PC13+ANN SVM+GE11 SVM+GE11+ANN SVM+GE11+PC13+ANN SVM+PC13+ANN nmeq, sboeq 6.5 6.1 6.3 6.4 6.6 7.2 4.3 4.5 5.7 11.7 9.3 11.5 11.5 7.6 7.5 7.5 7.5 nmeq, sboov 10.1 9.5 9.8 9.6 9.7 12.0 10.1 11.0 9.5 15.3 13.8 15.1 14.6 11.4 11.4 11.1 10.2 nmeq, sboisa 11.9 11.4 11.7 11.7 11.6 14.2 12.2 12.3 10.2 18.1 16.1 17.6 17.7 13.5 13.5 13.2 12.3 appeq, sboeq 7.0 6.6 6.8 7.0 7.1 7.5 4.5 4.6 6.0 12.5 10.0 12.4 12.4 8.0 7.9 8.0 8.0 appeq, sboov 10.8 10.1 10.4 10.4 10.3 12.5 10.8 11.5 10.0 16.3 14.5 16.1 15.7 12.0 12.0 11.7 10.8 appeq, sboisa 12.8 12.2 12.5 12.6 12.5 14.9 13.1 13.0 10.7 19.4 17.1 18.9 19.1 14.4 14.4 14.1 13.1 appeq/enteq, sboeq 10.2 9.9 10.2 10.4 10.5 10.6 6.0 6.0 8.3 16.8 14.1 16.9 16.7 11.7 11.5 11.7 11.8 appeq/enteq, sboov 15.2 14.7 15.0 14.9 15.0 17.2 14.1 14.9 13.6 21.6 20.0 21.7 21.2 17.0 16.9 16.6 15.7 appeq/enteq, sboisa 18.1 17.6 18.0 18.0 17.9 20.6 17.4 17.1 14.7 25.9 23.5 25.4 26.0 20.2 20.1 19.8 18.9 appeq/entov, sboeq 23.6 23.0 22.9 23.3 24.2 24.1 17.2 16.3 17.2 33.8 31.6 35.2 36.2 26.4 26.2 25.7 25.3 appeq/entov, sboov 31.0 30.1 30.2 30.2 31.0 34.2 29.6 29.2 25.9 39.9 40.6 41.6 41.9 34.1 34.2 33.2 31.3 appeq/entov, sboisa 35.5 34.6 34.9 35.0 35.6 39.0 33.9 32.3 27.4 46.4 45.9 47.2 48.6 38.9 39.2 38.2 36.4 nmeq/wc, sboeq 13.4 12.4 12.2 12.5 12.9 13.6 6.9 6.4 8.4 22.0 17.9 22.3 23.3 14.9 14.4 13.9 14.0 nmeq/wc, sboov 17.9 16.9 16.6 16.5 16.9 20.1 16.8 16.4 14.1 25.4 23.5 25.8 26.0 19.5 19.3 18.3 17.2 nmeq/wc, sboisa 20.1 19.1 18.8 19.0 19.1 22.5 18.5 17.6 14.7 28.5 26.2 28.5 29.1 22.0 21.8 20.8 19.7 appeq/wc, sboeq 14.1 13.1 12.9 13.2 13.7 14.2 7.1 6.6 8.8 23.2 18.9 23.4 24.6 15.6 15.0 14.7 14.8 appeq/wc, sboov 18.7 17.6 17.3 17.3 17.7 20.8 17.3 16.9 14.6 26.7 24.5 27.0 27.4 20.3 20.0 19.2 18.1 appeq/wc, sboisa 21.1 20.1 19.8 20.1 20.2 23.5 19.3 18.3 15.2 30.3 27.5 30.1 30.9 23.1 22.8 22.0 20.8 appeq/enteq/wc, sboeq 25.7 25.1 24.8 25.3 26.3 26.4 18.3 16.9 18.0 36.7 34.1 38.3 39.7 28.7 28.6 28.0 27.5 appeq/enteq/wc, sboov 33.5 32.7 32.5 32.4 33.5 37.1 32.3 31.2 27.6 42.7 43.4 44.7 45.3 36.7 37.0 35.8 33.6 appeq/enteq/wc, sboisa 38.2 37.4 37.4 37.6 38.2 42.0 36.6 34.3 29.1 49.4 48.9 50.4 52.0 41.7 42.1 41.0 39.0 appeq/entov/wc, sboeq 25.7 25.1 24.8 25.3 26.3 26.4 18.3 16.9 18.0 36.7 34.1 38.3 39.7 28.7 28.6 28.0 27.5 appeq/entov/wc, sboov 33.5 32.7 32.5 32.4 33.5 37.1 32.3 31.2 27.6 42.7 43.4 44.7 45.3 36.7 37.0 35.8 33.6 appeq/entov/wc, sboisa 38.2 37.4 37.4 37.6 38.2 42.0 36.6 34.3 29.1 49.4 48.9 50.4 52.0 41.7 42.1 41.0 39.0 Table 5: Supplementary materials: Macro F-score all results 256
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Critically ill patients with diabetes and Middle East respiratory syndrome: A multi-center observational study
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Jose et al. BMC Infectious Diseases (2021) 21:84 https://doi.org/10.1186/s12879-021-05771-y Jose et al. BMC Infectious Diseases (2021) 21:84 https://doi.org/10.1186/s12879-021-05771-y Open Access Critically ill patients with diabetes and Middle East respiratory syndrome: a multi- center observational study Jesna Jose1,2, Hasan M. Al-Dorzi3 , Awad Al-Omari4, Yasser Mandourah5, Fahad Al-Hameed6, Musharaf Sadat3, Eman Al Qasim3, Basem Alraddadi7,8, Abdulrahman Al Harthy9, Ghaleb A. Al Mekhlafi10, Abdullah Almotairi11, Kasim Al Khatib12, Ahmed Abdulmomen13, Ismael Qushmaq14, Anees A. Sindi15, Ahmed Mady9,16, Othman Solaiman17, Rajaa Al-Raddadi18, Khalid Maghrabi17, Ahmed Ragab19, Ayman Kharaba20, Sarah Shalhoub21,22, Abdulsalam M. Al-Aithan23, Gajendra K. Vishwakarma2, Atanu Bhattacharjee24, Yaseen M. Arabi3* and The Saudi Critical Care Trials Group Abstract Background: Diabetes is a risk factor for infection with coronaviruses. This study describes the demographic, clinical data, and outcomes of critically ill patients with diabetes and Middle East Respiratory Syndrome (MERS). Methods: This retrospective cohort study was conducted at 14 hospitals in Saudi Arabia (September 2012–January 2018). We compared the demographic characteristics, underlying medical conditions, presenting symptoms and signs, management and clinical course, and outcomes of critically ill patients with MERS who had diabetes compared to those with no diabetes. Multivariable logistic regression analysis was performed to determine if diabetes was an independent predictor of 90-day mortality. Results: Of the 350 critically ill patients with MERS, 171 (48.9%) had diabetes. Patients with diabetes were more likely to be older, and have comorbid conditions, compared to patients with no diabetes. They were more likely to present with respiratory failure requiring intubation, vasopressors, and corticosteroids. The median time to clearance of MERS-CoV RNA was similar (23 days (Q1, Q3: 17, 36) in patients with diabetes and 21.0 days (Q1, Q3: 10, 33) in patients with no diabetes). Mortality at 90 days was higher in patients with diabetes (78.9% versus 54.7%, p < 0.0001). Multivariable regression analysis showed that diabetes was an independent risk factor for 90-day mortality (odds ratio, 2.09; 95% confidence interval, 1.18–3.72). Conclusions: Half of the critically ill patients with MERS have diabetes; which is associated with more severe disease. Diabetes is an independent predictor of mortality among critically patients with MERS. Keywords: Acute respiratory distress syndrome, Coronavirus, Diabetes, Middle East respiratory syndrome Correspondence: arabi@ngha.med.sa; yaseenarabi@yahoo.com * Correspondence: arabi@ngha.med.sa; yaseenarabi@yahoo.com 3Intensive Care Department, Ministry of National Guard Health Affairs, King Abdullah International Medical Research Center and King Saud Bin Abdulaziz University for Health Sciences, Riyadh, Saudi Arabia Full list of author information is available at the end of the article * Correspondence: arabi@ngha.med.sa; yaseenarabi@yahoo.com 3Intensive Care Department, Ministry of National Guard Health Affairs, King Abdullah International Medical Research Center and King Saud Bin Abdulaziz University for Health Sciences, Riyadh, Saudi Arabia Full list of author information is available at the end of the article * Correspondence: arabi@ngha.med.sa; yaseenarabi@yahoo.com 3Intensive Care Department, Ministry of National Guard Health Affairs, King Abdullah International Medical Research Center and King Saud Bin Abdulaziz University for Health Sciences, Riyadh, Saudi Arabia Full list of author information is available at the end of the article Background Arabia between September 2012 and January 2018. The study was approved by the Institutional Review Boards of all participating centers. The characterization of this cohort has already been published earlier [15]. SARI was defined as an acute respiratory infection, with fever and cough onset within the preceding 10 days and clinical or radiologic lung involvement. The presence of MERS- CoV was detected by real-time reverse-transcriptase polymerase chain reaction assay (rRT-PCR) performed on nasopharyngeal swabs or sputum samples in non- intubated patients and tracheal aspirates or bronchoalve- olar lavage in intubated patients as recommended by the Saudi Arabian Ministry of Health. Confirmatory labora- tory testing required a positive PCR on at least two spe- cific genomic targets (upE and ORF1a) or a single positive target (upE) with sequencing of a second target (RdRpSeq or NSeq). In patients with suspected MERS and negative rRT-PCR, testing was repeated at the dis- cretion of the treating teams. For infection control pur- poses, follow-up respiratory samples were collected approximately 1–2 times per week in MERS-CoV posi- tive patients [16] to assess clearance of MERS-CoV RNA [15]. g The Middle East respiratory syndrome coronavirus (MERS-CoV) is a novel zoonotic virus that can lead to severe acute respiratory infection (SARI) and life- threatening multi-organ dysfunction. It was first isolated from a fatal case of pneumonia in Jeddah, Saudi Arabia in 2012 [1, 2]. Since then, community-acquired cases and clusters in healthcare settings have been reported mainly in Saudi Arabia [3, 4], but also other countries [5]. By the end of March 2020, the World Health Organization (WHO) reported 2553 confirmed cases in 27 countries (84.3% of cases in Saudi Arabia) with a case fatality rate of 34.4% [6]. MERS clinical presentation ranges from asymptomatic infection to rapidly progres- sive severe respiratory failure with multi-organ failure [7, 8]. Symptoms usually manifest after an incubation period of 2–14 days, with fever, cough, and dyspnea [7– 9]. Admission to the intensive care unit (ICU) is fre- quently needed [7, 8]. Most severe MERS cases have been reported in older adults with chronic comorbidities, including diabetes mellitus [2, 7, 9–12]. One cohort study found that among 47 MERS patients, 68% had diabetes [7]. A case- control study demonstrated that diabetes was associated with an increased risk of MERS with an adjusted odds ratio [OR] of 6.99 (95% confidence interval [CI], 1.89– 25.86) [11]. Background Diabetes has also been associated with in- creased mortality in MERS patients [9, 13]. In animal studies, diabetes was associated with a dysregulated im- mune response resulting in more severe and prolonged lung pathology following MERS-CoV infection [14]. Statistical analysis In this study, patients were divided into two groups based on the history of preexisting diabetes mellitus, as reported by patients. We compared patients with dia- betes to patients with no diabetes using the Student t- test or the Mann-Whitney U test for continuous vari- ables based on normality assumption, and the chi-square test or Fisher’s exact test for categorical variables. Data collection Data were collected using the standardized International Severe Acute Respiratory and Emerging Infection Con- sortium (ISARIC) tool [17]. In this study, we included patients demographics, baseline characteristics, present- ing symptoms, physiologic and laboratory parameters, and severity of illness on ICU admission assessed by the Sequential Organ Failure Assessment (SOFA) score [18]. We also described the management in the ICU, includ- ing the use of invasive and noninvasive ventilation, extracorporeal membrane oxygenation (ECMO), prone positioning, and selected medications. Previous studies that evaluated diabetes in MERS had relatively small sample sizes, were mostly performed in single centers, and included a mix of critically and non- critically ill patients. We performed this study in a large cohort of critically ill patients with MERS, with the hy- pothesis that patients with diabetes and viral SARI would have a complicated course of illness and worse outcomes compared with patients with no diabetes. The objectives of this study are to describe the clinical pres- entation, management, and outcomes (including mortal- ity and MERS-CoV RNA shedding) of the Middle East Respiratory Syndrome in critically ill patients with diabetes. The primary outcome was 90-day mortality. Other studied outcomes were mortality at 14 and 28 days and on ICU and hospital discharge and ICU and hospital length of stay (LOS). For patients who survived hospital discharge, the 90-day outcome was assessed by calling the patients. We also assessed the time to clearance of MERS-CoV RNA, which was defined as the time from the first performed rRT-PCR until the test was negative on two occasions, without a positive test afterward [15]. Methods We followed the STROBE (STrengthening the Reporting of OBservational studies in Epidemiology) guidelines in reporting this study. © The Author(s). 2021 Open Access This article is licensed under a Creative Commons Attribution 4.0 International License, which permits use, sharing, adaptation, distribution and reproduction in any medium or format, as long as you give appropriate credit to the original author(s) and the source, provide a link to the Creative Commons licence, and indicate if changes were made. The images or other third party material in this article are included in the article's Creative Commons licence, unless indicated otherwise in a credit line to the material. If material is not included in the article's Creative Commons licence and your intended use is not permitted by statutory regulation or exceeds the permitted use, you will need to obtain permission directly from the copyright holder. To view a copy of this licence, visit http://creativecommons.org/licenses/by/4.0/. The Creative Commons Public Domain Dedication waiver (http://creativecommons.org/publicdomain/zero/1.0/) applies to the data made available in this article, unless otherwise stated in a credit line to the data. Jose et al. BMC Infectious Diseases (2021) 21:84 Page 2 of 9 Page 2 of 9 Jose et al. BMC Infectious Diseases (2021) 21:84 Patients and settings This is a retrospective cohort study of adult (≥14-year- old) patients with SARI due to MERS-CoV who were ad- mitted to the ICUs of 14 referral hospitals in Saudi Page 3 of 9 Jose et al. BMC Infectious Diseases (2021) 21:84 Jose et al. BMC Infectious Diseases (2021) 21:84 To examine the independent association of diabetes with 90-day mortality in MERS patients, we performed multivariable logistic regression analysis adjusting for certain variables selected based on their clinical rele- vance, excluding the ones which were in the exposure– causal pathway. The variables entered in the model were age, sex, asthma or chronic pulmonary disease, chronic neurological disease, immunosuppressant use before ad- mission, body mass index (BMI), and SOFA score. chronic renal disease (71 (41.5%) versus 39 (21.8%), p < 0.0001) and cardiac disease (95 (55.6%) versus 60 (40.5%), p < 0.0001). They were more likely to present with dyspnea and sputum production. The time from symptom onset to ICU admission was similar. The laboratory findings are presented in Table 2. There were no differences in white blood cell and plate- let counts between the two groups. Patients with dia- betes had higher blood glucose (median 12.1 mmol/L (Q1,Q3: 9.9, 16.1) versus median 8.5 mmol/L (Q1,Q3: 6.5, 11.6), p < 0.0001), blood urea nitrogen (median 12.0 mmol/L (Q1,Q3: 7.3, 20.8) versus median 9.1 mmol/L (Q1,Q3: 4.1, 16.9), p = 0.0002) and creatinine (median 141.4 mmol/L (Q1,Q3: 91.0, 327.0) versus median 114.9 mmol/L (Q1,Q3: 67.0, 217.0), p = 0.0004). y ( ) For the multivariable logistic regression analysis, 24% (84/350) of patients had missing data (BMI – 81/350, 23%, age – 2/350, 0.5%, and SOFA score – 3/350, 0.8%). Hence missing data were handled using the multiple im- putation technique with 50 imputations. Two imput- ation methods were considered to support the imputation technique: (I) “Predictive mean matching” and (II) “Impute then Transform” approach. The data set had an arbitrary missing data pattern and it was as- sumed that the missing data were missing at random, such that the probability of a missing observation may depend on observed values but not on unobserved values. Predictive mean matching was used to impute missing values for these variables. Outcomes of patients The mortality at 90 days was higher in patients with dia- betes (78.9% versus 54.7%, p < 0.0001) (Table 3). On multivariable logistic regression analysis, in both the models (I and II) diabetes was associated with increased mortality (OR, 2.09; 95% CI, 1.18–3.72). Other predic- tors of mortality were age (OR per 1-year increment, 1.04; 95% CI, 1.02–1.06), female gender (OR 1.68; 95% CI, 1.06–2.67), SOFA (OR per 1-point increment 1.20; 95% CI, 1.14–1.26) (Table 4). Management in the ICU Table 3 shows the management interventions performed during the ICU stay. More patients with diabetes were treated with non-invasive ventilation and with invasive mechanical ventilation (89.5% versus 81.6%, p = 0.04) than non-diabetics. The time from symptom onset to in- tubation was similar. In comparison to patients with no diabetes, there was more use of nitric oxide in patients with diabetes (28 (16.4%) versus 16 (8.9), p = 0.04, but less use of ECMO (6 (3.5%) versus 16 (8.9%), p = 0.04). For other organ support, more patients with diabetes had shock requiring vasopressors compared to those with no diabetes (86.0% versus 72.1%, p = 0.002). Corti- costeroids were given more commonly in patients with diabetes (58.5% versus 41.9%, p = 0.002). Renal replace- ment therapy was provided more often in patients with diabetes (60.2% versus 39.7%, p = 0.0001). More patients with diabetes received ribavirin and interferon (40.9% versus 26.3%, p = 0.02). Kaplan-Meier curves for the time to MERS-CoV RNA clearance were constructed censoring by hospital dis- charge or at 90 days whichever occurred first. The log- rank test was used to compare the median survival time between the groups. In addition, Kaplan-Meier curves for survival were also plotted and were censored at 90 days; the log-rank test was used to compare the time to survival between the groups. All statistical tests were two-sided with significance set at α < 0.05. All analyses were conducted using SAS version 9.4 (SAS Institute, Cary, NC). Patients and settings For the imputation of BMI, we used the “impute then transform” approach in- stead of imputing BMI directly, such that we imputed the height and weight assuming the imputation model was oblivious of the relation between these two variables [19]. We reported the results of multivariable regres- sion analysis without imputation (Model I: Complete case analysis) and with imputation (Model II: Multiple imputation). Characteristics of patients During the study period, 350 patients with MERS SARI were admitted to the participating ICUs. Patients with diabetes constituted 48.9% of the cohort. Table 1 de- scribes the characteristics and presenting symptoms of patients with diabetes and no diabetes. Compared to pa- tients with no diabetes, those with diabetes were older (median age 61.0 years (Q1, Q3: 53.0, 72.0) versus me- dian age 54.0 years (Q1, Q3: 35.0, 67.0), p < 0.0001) and more likely to have other comorbid conditions such as ICU LOS was longer for patients with diabetes (Table 3). The time to clearance of MERS-CoV RNA was similar in both groups (23 days (Q1, Q3: 17, 36) in patients with diabetes and 21.0 days (Q1, Q3: 10, 33) in patients with no diabetes). Figure 1 demonstrates the Kaplan Meir curves for time-to-clearance of MERS-CoV rRT-PCR and shows no difference between patients with diabetes and no diabetes. Page 4 of 9 Jose et al. BMC Infectious Diseases (2021) 21:84 Jose et al. BMC Infectious Diseases Table 1 Baseline characteristics of patients with diabetes and Middle East Respiratory Syndrome (MERS) compared to patients with no diabetes and MERS able 1 Baseline characteristics of patients with diabetes and Middle East Respiratory Syndrome (MERS) compared to patients with Table 1 Baseline characteristics of patients with diabetes and Middle East Respiratory Syndrome (MERS) compared to patients with no diabetes and MERS Variables Diabetes N = 171 No Diabetes N = 179 P-value Age (year), median (Q1, Q3) 61.0 (53.0, 72.0) 54.0 (35.0, 67.0) < 0.0001 BMI (Kg/m2), median (Q1, Q3) 29.3 (24.6, 33.3) 28.3 (24.1, 33.0) 0.31 Male sex – no. (%) 114 (66.7) 127 (70.9) 0.39 Healthcare worker – no. (%) 4 (2.3) 28 (15.6) < 0.0001 Community-acquired – no. (%) 102 (59.6) 83 (46.4) Healthcare-associated (Non-healthcare worker) – no. (%) 65 (38.0) 68 (38.0) Days from the onset of symptoms to the emergency room, median (Q1, Q3) 5.0 (3.0, 8.0) 4.0 (2.0, 7.0) 0.30 Days from symptom onset to ICU admission, median (Q1, Q3) 7.0 (4.0, 10.5) 7.0 (4.0, 11.0) 0.66 Days from symptom onset to intubation, median (Q1, Q3) 8.0 (5.0, 12.0) 8.0 (5.0, 13.0) 0.37 Presenting symptoms – no. y , , Q q , Q q , q g The denominator of the percentage is the total number of subjects in the treatment group. For continuous variables, Mann-Whitney U test was used to calculate the P-value. For categorical variables, Chi-square test was used to calculate the P-value unless otherwise noted. ^Fisher’s exact test was used to calculate P-value Discussion the MIRACLE trial demonstrated a reduction in mortal- ity with the combination of lopinavir-ritonavir and inter- feron beta-1b; but none of patients in this cohort had received this combination [22]. Our study demonstrates that patients with diabetes con- stituted around half of the critically ill patients with MERS; MERS patients with diabetes presented with dys- pnea and sputum production and were more likely to have respiratory failure requiring mechanical ventilation than those with no diabetes; and diabetes was an inde- pendent predictor of mortality in MERS. Viral shedding duration was similar in patients with diabetes and no diabetes. Diabetes is associated with reduced neutrophil chemo- taxis after stimulation [23] and blunted inflammatory re- sponse to endotoxemia [24]. These abnormalities are thought to be the reasons why diabetics have an in- creased risk of various infections [25]. For viral infec- tions, diabetes has been associated with increased risk for hospitalization after H1N1 infection [26], ICU admis- sion [26], and death [27]. Comorbidities, including dia- betes, have been associated with increased mortality in MERS patients [28]. In a small cohort from two hospi- tals in Saudi Arabia, diabetes was present in 10.5% of survivors and 70.0% of non-survivors (p = 0.002) [29]. A study that evaluated MERS cases during the Korean out- break found that diabetes was a risk factor for mortality on multivariate analysis (OR, 2.47; 95% CI, 1.06–5.72) [9]. Analysis of 1743 MERS cases found that patients with comorbidity (diabetes mellitus, cardiovascular dis- ease, renal disease, or pulmonary disease) had higher mortality risk (adjusted hazard ratio, of 3.7; 95% CI, 2.6– 5.7) [13]. In Severe Acute Respiratory Syndrome (SARS), diabetes (OR, 3.0; 95% CI, 1.4–6.3) and fasting blood glucose ≥7.0 mmol/L (OR, 3.3; 95%, CI 1.4–7.7) were Diabetes is a global health problem and leads to sig- nificant complications that increase the risk of morbidity and development of critical illness. Saudi Arabia is among the countries with high prevalence rates (> 30%) [20]. This may partly explain the high prevalence of dia- betes in our cohort of critically ill MERS patients. In a Korean cohort of 186 patients with confirmed MERS pa- tients, diabetes was present in 18.8% [9]. In our study, patients with diabetes presented with more severe re- spiratory symptoms and hypoxia, required mechanical ventilation more frequently, and were given nitric oxide as rescue therapy more often. They also required vaso- pressors more often. Characteristics of patients Saudi A among the countries with high prevalence rate [20]. This may partly explain the high prevalenc betes in our cohort of critically ill MERS patie Korean cohort of 186 patients with confirmed M tients, diabetes was present in 18.8% [9]. In o patients with diabetes presented with more s spiratory symptoms and hypoxia, required m ventilation more frequently, and were given nit as rescue therapy more often. They also requir pressors more often. These patients were more receive ribavirin and interferon (alpha or beta- or in combination; these antivirals have not bee ated with improved outcomes in MERS [21]. Table 2 Physiological parameters on day 1 of admissio (MERS) compared to patients with no diabetes and ME Variables Diab N = Respiratory parameters on ICU day 1, median (Q1, Q3) PaO2 (mmHg) 65.1 SaO2 (%) 92.0 FiO2, 0.7 ( PaO2/FiO2 ratio 98.0 Extrapulmonary parameters on ICU day 1, median (Q1, Q Mean arterial pressure (mmHg) 70.0 Leukocyte (× 109/L) 7.90 Hemoglobin (g/dL) 10.4 Hematocrit 33.0 Platelets (×109/L) 188. Glucose (mmol/L) 12.1 Blood urea nitrogen (mmol/L) 12.0 Creatinine (μmol/L) 141. Bilirubin (μmol/L) 12.3 PaO2 partial pressure of oxygen, SaO2 Oxygen saturation, FiO2 Fra fraction of inspired oxygen, ALT alanine aminotransferase, AST aspa Data on variables were not available for some patients; the numbe were as follows: PaO2: 5 patients and 3 patients, SaO2: 3 patients a MAP: 5 patients and 5 patients, Leukocyte: 5 patients and 9 patien patients and 5 patients, Glucose: 23 patients and 26 patients, Bloo and 23 patients Jose et al. BMC Infectious Diseases (2021) 21:84 Page 5 of 9 Page 5 of 9 Jose et al. BMC Infectious Diseases (2021) 21:84 Jose et al. BMC Infectious Diseases (2021) 21:84 Discussion These patients were more likely to receive ribavirin and interferon (alpha or beta-1a) alone or in combination; these antivirals have not been associ- ated with improved outcomes in MERS [21]. Characteristics of patients (%) Lower respiratory Dyspnea 136 (79.5) 123 (68.7) 0.02 Cough 122 (71.3) 117 (65.4) 0.23 With sputum 75 (43.9) 58 (32.4) 0.03 With bloody sputum 11 (6.4) 18 (10.1) 0.22 Chest pain 36 (21.1) 32 (17.9) 0.45 Wheezing 10 (5.8) 9 (5.0) 0.74 Upper respiratory Earache 2 (1.2) 1 (0.6) 0.62^ Rhinorrhea 6 (3.5) 11 (6.1) 0.25 Sore throat 23 (13.5) 24 (13.4) 0.99 Systemic symptoms Fever (temperature > 38 °C) 130 (76.0) 131 (73.2) 0.54 Myalgia or arthralgia 32 (18.7) 34 (19.0) 0.95 Headache 14 (8.2) 21 (11.7) 0.27 Fatigue 66 (38.6) 55 (30.7) 0.12 Abdominal pain 22 (12.9) 25 (14.0) 0.76 Lymphadenopathy 1 (0.6) 2 (1.1) > 0.99^ Diarrhea 20 (11.7) 18 (10.1) 0.62 Vomiting/nausea 28 (16.4) 30 (16.8) 0.92 Altered consciousness/ confusion 44 (25.7) 30 (16.8) 0.04 Seizures 2 (1.2) 2 (1.1) > 0.99^ Other comorbidities – no. (%) Chronic pulmonary disease (including asthma) 22 (12.9) 24 (13.4) 0.88 Liver disease 12 (7.0) 10 (5.6) 0.58 Chronic renal disease 71 (41.5) 39 (21.8) < 0.0001 Chronic cardiac disease 95 (55.6) 43 (24.0) < 0.0001 Chronic neurological disease 22 (12.9) 16 (8.9) 0.24 BMI > 30 (Kg/m2) 55 (45.5) 60 (40.5) 0.42 Rheumatologic disease 2 (1.2) 5 (2.8) 0.45^ Any malignancy including leukemia, lymphoma, or solid tumors 14 (8.2) 20 (11.2) 0.35 Immunosuppressant use before admission 6 (3.5) 15 (8.4) 0.06 SOFA score on ICU day 1, median (Q1, Q3) 9.0 (6.0, 12.0) 8.0 (5.0, 11.0) 0.02 BMI Body mass index, ICU intensive care unit, Q1 first quartile, Q3 third quartile, SOFA Sequential Organ Failure Assessment The denominator of the percentage is the total number of subjects in the treatment group. For continuous variables, Mann-Whitney U test was used to calculate the P-value. For categorical variables, Chi-square test was used to calculate the P-value unless otherwise noted. ^Fisher’s exact test was used to calculate P-value SOFA score on ICU day 1, median (Q1, Q3) Discussion Our study demonstrates that patients with diab stituted around half of the critically ill patie MERS; MERS patients with diabetes presented w pnea and sputum production and were more have respiratory failure requiring mechanical ve than those with no diabetes; and diabetes was pendent predictor of mortality in MERS. Viral duration was similar in patients with diabetes diabetes. Diabetes is a global health problem and lead nificant complications that increase the risk of m and development of critical illness. Discussion Recently, Table 2 Physiological parameters on day 1 of admission to ICU in patients with diabetes and Middle East Respiratory Syndrome (MERS) compared to patients with no diabetes and MERS Variables Diabetes N = 179 No Diabetes N = 171 P-value Respiratory parameters on ICU day 1, median (Q1, Q3) PaO2 (mmHg) 65.1 (56.0, 79.0) 71.0 (60.2, 86.4) 0.01 SaO2 (%) 92.0 (87.0, 95.0) 93.5 (90.0, 95.0) 0.004 FiO2, 0.7 (0.45, 1.0) 0.6 (0.45, 1.00) 0.24 PaO2/FiO2 ratio 98.0 (64.0, 160.0) 122.6 (73.4, 187.5) 0.02 Extrapulmonary parameters on ICU day 1, median (Q1, Q3) Mean arterial pressure (mmHg) 70.0 (61.0, 83.0) 70.0 (60.0, 80.0) 0.72 Leukocyte (× 109/L) 7.90 (4.50, 11.60) 6.80 (4.20, 11.20) 0.31 Hemoglobin (g/dL) 10.4 (9.0, 12.50) 11.0 (8.5, 13.0) 0.48 Hematocrit 33.0 (28.55, 38.50) 35.0 (28.0, 40.0) 0.24 Platelets (×109/L) 188.0 (117.0, 253.0) 168.5 (113.0, 253.0) 0.32 Glucose (mmol/L) 12.1 (9.9, 16.1) 8.5 (6.5, 11.6) < 0.0001 Blood urea nitrogen (mmol/L) 12.0 (7.3, 20.8) 9.1 (4.1, 16.9) 0.0002 Creatinine (μmol/L) 141.4 (91.0, 327.0) 114.9 (67.0, 217.0) 0.0004 Bilirubin (μmol/L) 12.3 (7.8, 23.7) 12.0 (7.8, 22.9) 0.86 PaO2 partial pressure of oxygen, SaO2 Oxygen saturation, FiO2 Fraction of inspired oxygen, PaO2 FiO2 ratio, the ratio of the partial pressure of oxygen to the fraction of inspired oxygen, ALT alanine aminotransferase, AST aspartate transaminase, Q1 first quartile, Q3 third quartile Data on variables were not available for some patients; the number of patients with missing data in the Diabetes group and the No diabetes group, respectively, were as follows: PaO2: 5 patients and 3 patients, SaO2: 3 patients and 3 patients, FiO2: 8 patients and 17 patients, PaO2: FiO2 ratio: 9 patients and 19 patients, MAP: 5 patients and 5 patients, Leukocyte: 5 patients and 9 patients, Hemoglobin: 5 patients and 10 patients, Hematocrit:7 patients, and 9 patients, Platelets: 6 patients and 5 patients, Glucose: 23 patients and 26 patients, Blood urea: 8 patients and 9 patients, Creatinine:4 patients and 2 patients, Bilirubin level: 22 patients and 23 patients Table 2 Physiological parameters on day 1 of admission to ICU in patients with diabetes and Middle East Re (MERS) compared to patients with no diabetes and MERS meters on day 1 of admission to ICU in patients with diabetes and Middle East Respiratory Syndrome s with no diabetes and MERS p yg , , p , Q q , Q q Data on variables were not available for some patients; the number of patients with missing data in the Diabetes group and the No diabetes group, respectively, were as follows: PaO2: 5 patients and 3 patients, SaO2: 3 patients and 3 patients, FiO2: 8 patients and 17 patients, PaO2: FiO2 ratio: 9 patients and 19 patients, MAP: 5 patients and 5 patients, Leukocyte: 5 patients and 9 patients, Hemoglobin: 5 patients and 10 patients, Hematocrit:7 patients, and 9 patients, Platelets: 6 patients and 5 patients, Glucose: 23 patients and 26 patients, Blood urea: 8 patients and 9 patients, Creatinine:4 patients and 2 patients, Bilirubin level: 22 patients and 23 patients Page 6 of 9 Jose et al. Discussion BMC Infectious Diseases (2021) 21:84 Table 3 Main interventions and outcomes in patients with diabetes and Middle East Respiratory Syndrome (MERS) compared to patients with no diabetes and MERS Variables Diabetes N = 171 No Diabetes N = 179 P-value Interventions Non-invasive positive pressure ventilation – no. (%) 64 (37.4) 43 (24.0) 0.007 Invasive ventilation – no. (%) 153 (89.5) 146 (81.6) 0.04 Duration, median (Q1, Q3) 9.5 (4.0,17.0) 9.0 (4.0, 16.0) 0.68 Neuromuscular blockade – no. (%) 55 (32.2) 78 (43.6) 0.03 High-frequency oscillation ventilation – no. (%) 16 (9.4) 10 (5.6) 0.18 ECMO – no. (%) 6 (3.5) 16 (8.9) 0.04 Nitric oxide – no. (%) 28 (16.4) 16 (8.9) 0.04 Prone positioning – no. (%) 14 (8.2) 19 (10.6) 0.44 Duration, median (Q1, Q3) 3.0 (2.0,3.0) 3.0 (2.0, 3.0) 0.97 Any oxygen rescue therapy – no. (%) 73 (42.7) 84 (46.9) 0.43 Vasopressors – no. (%) 147 (86.0) 129 (72.1) 0.002 Duration, median (Q1, Q3) 6.5 (4.0,13.0) 6.0 (3.0, 14.0) 0.83 Blood transfusion – no. (%) 59 (34.5) 58 (32.4) 0.68 Antivirals – no. (%) Both interferon and ribavirin – no. (%) 70 (40.9) 47 (26.3) 0.02^ Interferon only – no. (%) 4 (2.3) 5 (2.8) Ribavirin only – no. (%) 10 (5.8) 8 (4.5) Oseltamivir – no. (%) 89 (52.0) 107 (59.8) 0.15 Corticosteroids – no. (%) 100 (58.5) 75 (41.9) 0.002 Renal replacement therapy – no. (%) 103 (60.2) 71 (39.7) 0.0001 Duration, median (Q1, Q3) 8.0 (4.0,14.0) 8.0 (3.0, 14.0) 0.92 Intravenous immunoglobins – no. (%) 9 (5.3) 15 (8.4) 0.25 Tracheostomy – no (%) 5 (2.9) 9 (5.0) 0.32 Outcomes ICU mortality – no. (%) 133 (77.8) 95 (53.1) < 0.0001 Hospital mortality – no. (%) 136 (79.5) 102 (57.0) < 0.0001 90-day mortality – no. (%) 135 (78.9) 98 (54.7) < 0.0001 28-day mortality – no. (%) 127 (74.3) 90 (50.3) < 0.0001 14-day mortality – no. (%) 89 (52.0) 76 (42.5) 0.07 ICU length of stay (days), median (Q1, Q3) 11.0 (6.0,19.0) 8.0 (5.0, 17.0) 0.05 Hospital length of stay (days), median (Q1, Q3) 18.0 (10.0,33.0) 20.0 (10.0, 37.0) 0.63 ECMO extracorporeal membrane oxygenation, ICU Intensive care unit. Discussion The denominator of the percentage is the total number of subjects in the group Table 3 Main interventions and outcomes in patients with diabetes and Middle East Respiratory Syndrome (MERS) compared to patients ith no diabetes and MERS Table 3 Main interventions and outcomes in patients with diabetes and Middle East Respiratory Syndrome (MERS) compared to patients with no diabetes and MERS Outcomes ECMO extracorporeal membrane oxygenation, ICU Intensive care unit. The denominator of the percentage is the total n disease and delayed recovery compared to non-diabetic mice [14]. This was associated with delayed inflamma- tion which lasted through 21 days after infection [14]. Diabetic mice exhibited fewer inflammatory monocyte/ macrophages and CD4+ T cells and lower levels of TNF-a, IL-6, and IL-12b [14]. This may explain the find- ings of severe MERS in patients with diabetes. independent predictors of death [30]. Studies on the as- sociation of diabetes with disease severity and outcome in COVID-19 have yielded mixed results [31–36]. In a meta-analysis, the risk of severe COVID-19 was not sig- nificantly increased in patients with diabetes (OR, 2.07; 95% CI, 0.89–4.82) [36]. Other studies found no associ- ation between diabetes and morality [32, 35]. Viral shedding was relatively prolonged in our MERS patients. However, the time to clearance of MERS-CoV RNA was similar in patients with diabetes and no dia- betes. Prolonged shedding has been reported in MERS It remains unclear how diabetes may contribute to in- creased disease severity and mortality in people infected with MERS-CoV. In a mouse model of MERS-CoV in- fection, diabetic mice had a prolonged phase of severe Page 7 of 9 Jose et al. BMC Infectious Diseases (2021) 21:84 Table 4 Multivariable model to examine whether diabetes is an independent predictor of 90-day mortality in patients with Middle East Respiratory Syndrome (MERS). We adjusted for age, sex, asthma or chronic pulmonary disease, chronic neurological disease, immunosuppressant use before admission, body mass index (BMI), and SOFA score. Model I: Complete case analysis with no imputation (participants with any missing data are excluded). Model II: Multiple imputation (participants with missing data identified East Respiratory Syndrome (MERS). We adjusted for age, sex, asthma or chronic pulmonary disease, chronic neurological disease, immunosuppressant use before admission, body mass index (BMI), and SOFA score. Model I: Complete case analysis with no imputation (participants with any missing data are excluded). Outcomes Model II: Multiple imputation (participants with missing data identified and replaced) Variables Model I (N = 266) Model II (N = 350) OR (95% CI) P-value OR (95% CI) P-value Diabetes 2.09 (1.18, 3.72) 0.005 2.13 (1.15, 3.95) 0.02 SOFA (per one-unit increase) 1.20 (1.14, 1.26) < 0.0001 1.17 (1.12, 1.23) < 0.0001 Female sex 1.68 (1.06, 2.67) 0.02 1.74 (1.09, 2.79) 0.02 Age (per one-year increase) 1.04 (1.02, 1.06) 0.0002 1.04 (1.02, 1.06) < 0.0001 Chronic neurological disease 3.07 (0.80, 11.81) 0.07 3.40 (1.04, 11.14) 0.04 BMI (kg/m2) (per one-unit increase) 0.97 (0.90, 1.03) 0.23 0.96 (0.91, 1.02) 0.21 Immunosuppressant use before admission 1.24 (0.29, 5.26) 0.74 1.13 (0.35, 3.64) 0.84 Asthma or chronic pulmonary disease 1.20 (0.66, 2.20) 0.51 1.04 (0.57, 1.91) 0.90 OR Odds Ratio, CI Confidence Interval, BMI body mass index, SOFA Sequential Organ Failure Assessment stress hyperglycemia or undiagnosed diabetes. This may affect the associations between diabetes and various out- comes. Given the high prevalence of diabetes in Saudi Arabia, the results of our study may not be generalizable to populations of lower diabetes prevalence. patients in other studies [37], and has been associated with corticosteroid use [38]. Corticosteroids were used more commonly in patients with diabetes in the current study. The findings of this study should be interpreted in light of its strengths and weaknesses. The strengths in- clude that it is the largest cohort of critically ill patients with MERS. The limitations are related to the nature of the database and include diabetes diagnosis by history and absence of data on glycemic measures, such as type of diabetes, hemoglobin A1c, glucose control during hospitalization, and prior or current diabetes medica- tions. In addition, glucose levels in patients with no dia- betes were elevated, suggesting that some patients had Conclusion Diabetes was highly prevalent in a cohort of critically ill patients with MERS. Patients with diabetes had more se- vere illness. Diabetes was an independent predictor of mortality. Ethics approval and consent to participants The study was approved by the Ministry of National Guard Health Fig. 1 Panel a: Time-to-clearance of the Middle East respiratory syndrome coronavirus (MERS-CoV) RNA among patients with diabetes and no diabetes. Time to clearance was defined as the time taken from the date of ICU admission to having two negative RT-PCR tests not followed by positive test. Log-rank test is used to calculate the P-value. Panel b: Kaplan Meir curves for survival among patients with diabetes and no diabetes and Middle East respiratory syndrome (MERS) Fig. 1 Panel a: Time-to-clearance of the Middle East respiratory syndrome coronavirus (MERS-CoV) RNA among patients with diabetes and no diabetes. Time to clearance was defined as the time taken from the date of ICU admission to having two negative RT-PCR tests not followed by positive test. Log-rank test is used to calculate the P-value. Panel b: Kaplan Meir curves for survival among patients with diabetes and no diabetes and Middle East respiratory syndrome (MERS) Page 8 of 9 Page 8 of 9 Page 8 of 9 Jose et al. BMC Infectious Diseases (2021) 21:84 Jose et al. BMC Infectious Diseases Affairs Institutional Review Board (IRB- RC14–025-R) and by the IRBs of all participating sites (Table S2: Sup- plement). Informed consent was waived by the IRB be- cause of the retrospective and observational nature of the study. Medicine, King Fahad Medical City, Riyadh, Saudi Arabia. 12Intensive Care Department, Al-Noor Specialist Hospital, Makkah, Saudi Arabia. 13Department of Critical Care Medicine, King Saud University, Riyadh, Saudi Arabia. 14Section of Critical Care Medicine, Department of Medicine, King Faisal Specialist Hospital and Research Center, Jeddah, Saudi Arabia. 15Department of Anesthesia and Critical Care, Faculty of Medicine, King Abdulaziz University, Jeddah, Saudi Arabia. 16Tanta University Hospitals, Tanta, Egypt. 17Intensive Care Department, King Faisal Specialist Hospital and Research Center, Riyadh, Saudi Arabia. 18Department of Community Medicine, Faculty of Medicine, King Abdulaziz University, Jeddah, Saudi Arabia. 19Intensive Care Department, King Fahd Hospital, Jeddah, Saudi Arabia. 20Department of Critical Care, King Fahad Hospital, Ohoud Hospital, Al-Madinah, Saudi Arabia. 21Department of Medicine, Division of Infectious Diseases, University of Western Ontario, London, Canada. 22King Fahad Armed Forces Hospital, Jeddah, Saudi Arabia. Authors’ contributions JJ and YMA: Conception and design, data acquisition, analytical plan, interpretation of data for the work, drafting of the manuscript, critical revision of the manuscript for important intellectual content, approval of the final version to be published, and agreement to be accountable for all aspects of the work. HMD, AO, YM, FH, MS, EQ, BAR, ARH, GAM, AA, KK, AAM, IQ, AAS, AM, OS, RR, KM, AR, AK, SS, AMA: Data acquisition, critical revision of the manuscript for important intellectual content, approval of the final version to be published, and agreement to be accountable for all aspects of the work. GKV and AB: Conception and design, analytical plan, data analysis, critical revision of the manuscript for important intellectual content, approval of the final version to be published, and agreement to be accountable for all aspects of the work. JJ and YMA: Conception and design, data acquisition, analytical plan, interpretation of data for the work, drafting of the manuscript, critical revision of the manuscript for important intellectual content, approval of the final version to be published, and agreement to be accountable for all aspects of the work. HMD, AO, YM, FH, MS, EQ, BAR, ARH, GAM, AA, KK, AAM, IQ, AAS, AM, OS, RR, KM, AR, AK, SS, AMA: Data acquisition, critical revision of the manuscript for important intellectual content approval of the final Conclusion 23Department of Medicine, Critical Care Division, King Abdulaziz Hospital, Al Ahsa, Saudi Arabia. 24Homi Bhaba National Institute, Section of Biostatistics, Centre for Cancer Epidemiology, Tata Memorial Centre, Navi Mumbai, India. Funding Thi This research did not receive any specific grant from funding agencies in the public, commercial, or not-for-profit sectors. 5. Cho S, Kang J, Ha Y, Park G, Lee J, Ko J, Lee J, Kim J, Kang C, Jo I. MERS-CoV outbreak following a single patient exposure in an emergency room in South Korea: an epidemiological outbreak study. Lancet (London, England). 2016;388(10048):994. Consent for publication All the authors have read the final manuscript and approved its submission. References 1. Zaki AM, van Boheemen S, Bestebroer TM, Osterhaus AD, Fouchier RA. Isolation of a novel coronavirus from a man with pneumonia in Saudi Arabia. N Engl J Med. 2012;367(19):1814–20. 2. Arabi YM, Balkhy HH, Hayden FG, Bouchama A, Luke T, Baillie JK, Al-Omari A, Hajeer AH, Senga M, Denison MR, et al. Middle East respiratory syndrome. N Engl J Med. 2017;376(6):584–94. 3. Assiri A, McGeer A, Perl TM, Price CS, Al Rabeeah AA, Cummings DA, Alabdullatif ZN, Assad M, Almulhim A, Makhdoom H, et al. Hospital outbreak of Middle East respiratory syndrome coronavirus. N Engl J Med. 2013;369(5): 407–16. 4. Oboho IK, Tomczyk SM, Al-Asmari AM, Banjar AA, Al-Mugti H, Aloraini MS, Alkhaldi KZ, Almohammadi EL, Alraddadi BM, Gerber SI, et al. 2014 MERS- CoV outbreak in Jeddah--a link to health care facilities. N Engl J Med. 2015; 372(9):846–54. Competing interests 7. Assiri A, Al-Tawfiq J, Al-Rabeeah A, Al-Rabiah F, Al-Hajjar S, Al-Barrak A, Flemban H, Al-Nassir W, Balkhy H, Al-Hakeem R. Epidemiological, demographic, and clinical characteristics of 47 cases of Middle East respiratory syndrome coronavirus disease from Saudi Arabia: a descriptive study. Lancet Infect Dis. 2013;13(9):752. Yaseen Arabi provided nonpaid consultations on therapeutics for MERS for Gilead Sciences and SAB Biotherapeutics and he is a Board Member of the International Severe Acute Respiratory and Emerging Infection Consortium (ISARIC). He is the Lead-Co Chair of the Think-20 Saudi Arabia (T20) Taskforce for COVID-19. Other authors declared that they have no competing interests. 8. Saad M, Omrani A, Baig K, Bahloul A, Elzein F, Matin M, Selim M, Al Mutairi M, Al Nakhli D, Al Aidaroos A. Clinical aspects and outcomes of 70 patients with Middle East respiratory syndrome coronavirus infection: a single-center experience in Saudi Arabia. Int J Infect Dis. 2014;29:301. Acknowledgments We would like to thank the International Severe Acute Respiratory and Emerging Infection Consortium (ISARIC) for their support in the database construction. Received: 12 August 2020 Accepted: 6 January 2021 Supplementary Information y The online version contains supplementary material available at https://doi. org/10.1186/s12879-021-05771-y. Additional file 1. Availability of data and materials The dataset(s) supporting the conclusions of this article will be made available on the approval of the PI and according to the rules of King Abdullah International Medical Research Center (KAIMRC). 6. Cai Y, Yu SQ, Postnikova EN, Mazur S, Bernbaum JG, Burk R, Zhang T, Radoshitzky SR, Muller MA, Jordan I, et al. CD26/DPP4 cell-surface expression in bat cells correlates with bat cell susceptibility to Middle East respiratory syndrome coronavirus (MERS-CoV) infection and evolution of persistent infection. PLoS One. 2014;9(11):e112060. Publisher’s Note 18. Vincent J, Moreno R, Takala J, Willatts S, De Mendonça A, Bruining H, Reinhart C, Suter P, Thijs L. The SOFA (Sepsis-related Organ Failure Assessment) score to describe organ dysfunction/failure. On behalf of the Working Group on Sepsis-Related Problems of the European Society of Intensive Care Medicine. Intensive Care Med. 1996;22(7):707. 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. 19. Von Hippel PT. How to impute interactions, squares and ther transformed variables. Sociol Methodol. 2009;39(1):265–91. 20. Meo S, Usmani A, Qalbani E. Prevalence of type 2 diabetes in the Arab world: impact of GDP and energy consumption. Eur Rev Med Pharmacol Sci. 2017;21(6):1303. 21. Arabi Y, Shalhoub S, Mandourah Y, Al-Hameed F, Al-Omari A, Al Qasim E, Jose J, Alraddadi B, Almotairi A, Al Khatib K. Ribavirin and interferon therapy for critically ill patients with Middle East respiratory syndrome: a multicenter observational study. Clin Infect Dis. 2019. 22. Arabi YM, Asiri AY, Assiri AM, Balkhy HH, Al Bshabshe A, Al Jeraisy M, Mandourah Y, Azzam MHA, Bin Eshaq AM, Al Johani S, et al. Interferon Beta- 1b and Lopinavir-ritonavir for Middle East respiratory syndrome. N Engl J Med. 2020;383(17):1645–56. 23. Delamaire M, Maugendre D, Moreno M, Le Goff MC, Allannic H, Genetet B. Impaired leucocyte functions in diabetic patients. Diabet Med. 1997;14(1): 29–34. 24. Andreasen AS, Pedersen-Skovsgaard T, Berg RM, Svendsen KD, Feldt- Rasmussen B, Pedersen BK, Moller K. Type 2 diabetes mellitus is associated with impaired cytokine response and adhesion molecule expression in human endotoxemia. Intensive Care Med. 2010;36(9):1548–55. human endotoxemia. Intensive Care Med. 2010;36(9):1548–55. 25. Muller LM, Gorter KJ, Hak E, Goudzwaard WL, Schellevis FG, Hoepelman AI, Rutten GE. Increased risk of common infections in patients with type 1 and type 2 diabetes mellitus. Clin Infect Dis. 2005;41(3):281–8. 26. Allard R, Leclerc P, Tremblay C, Tannenbaum TN. Diabetes and the severity of pandemic influenza a (H1N1) infection. Diabetes Care. 2010;33(7):1491–3. 27. Hanslik T, Boelle PY, Flahault A. Preliminary estimation of risk factors for admission to intensive care units and for death in patients infected with a(H1N1)2009 influenza virus, France, 2009-2010. PLoS Curr. 2010;2:RRN1150. 28. Park J-E, Jung S, Kim A, Park J-E. MERS transmission and risk factors: a systematic review. BMC Public Health. 2018;18. 29. Author details 1 1Department of Biostatistics and Bioinformatics, King Abdullah International Medical Research Center, Riyadh, Saudi Arabia. 2Department of Mathematics & Computing, Indian Institute of Technology (ISM), Dhanbad, Jharkhand 826004, India. 3Intensive Care Department, Ministry of National Guard Health Affairs, King Abdullah International Medical Research Center and King Saud Bin Abdulaziz University for Health Sciences, Riyadh, Saudi Arabia. 4Department of Intensive Care, College of Medicine, Alfaisal University, Dr Sulaiman Al-Habib Group Hospitals, Riyadh, Saudi Arabia. 5Military Medical Services, Ministry of Defense, Prince Sultan Military Medical City, Riyadh, Saudi Arabia. 6Department of Intensive Care, College of Medicine, King Saud bin Abdulaziz University for Health Sciences, King Abdullah International Medical Research Center, King Abdulaziz Medical City, Jeddah, Saudi Arabia. 7Department of Medicine, King Faisal Specialist Hospital and Research Center, Jeddah, Saudi Arabia. 8Department of Medicine, University of Jeddah, Jeddah, Saudi Arabia. 9Intensive Care Department, King Saud Medical City, Riyadh, Saudi Arabia. 10Department of Intensive Care Services, Prince Sultan Military Medical City, Riyadh, Saudi Arabia. 11Department of Critical Care 9. Choi WS, Kang C-I, Kim Y, Choi J-P, Joh JS, Shin H-S, Kim G, Peck KR, Chung DR, Kim HO. Clinical presentation and outcomes of Middle East respiratory syndrome in the Republic of Korea. Infect Chemother. 2016; 48(2):118. 10. Al-Tawfiq JA, Hinedi K, Ghandour J, Khairalla H, Musleh S, Ujayli A, Memish ZA. Middle East respiratory syndrome coronavirus: a case-control study of hospitalized patients. Clin Infect Dis. 2014;59(2):160–5. 11. Alraddadi BM, Watson JT, Almarashi A, Abedi GR, Turkistani A, Sadran M, Housa A, Almazroa MA, Alraihan N, Banjar A. Risk factors for primary Middle East respiratory syndrome coronavirus illness in humans, Saudi Arabia, 2014. Emerg Infect Dis. 2016;22(1):49. 12. Alqahtani F, Aleanizy F, Mohamed RAEH, Alanazi M, Mohamed N, Alrasheed M, Abanmy N, Alhawassi T. Prevalence of comorbidities in cases of Middle East respiratory syndrome coronavirus: a retrospective study. Epidemiol Infect. 2019;147:1–5. Page 9 of 9 Page 9 of 9 Page 9 of 9 Jose et al. BMC Infectious Diseases (2021) 21:84 Jose et al. BMC Infectious Diseases (2021) 21:84 13. Yang Y-M, Hsu C-Y, Lai C-C, Yen M-F, Wikramaratna PS, Chen H-H, Wang T-H. Impact of comorbidity on fatality rate of patients with Middle East respiratory syndrome. Sci Rep. 2017;7:11307. report of 72 314 cases from the Chinese Center for Disease Control and Prevention. JAMA. 2020. 35. Author details 1 Wu C, Chen X, Cai Y, Xia Ja, Zhou X, Xu S, Huang H, Zhang L, Zhou X, Du C. Risk Factors Associated With Acute Respiratory Distress Syndrome and Death in Patients With Coronavirus Disease 2019 Pneumonia in Wuhan, China. JAMA Internal Med. 180(7):934–43. 14. Kulcsar KA, Coleman CM, Beck SE, Frieman MB. Comorbid diabetes results in immune dysregulation and enhanced disease severity following MERS-CoV infection. JCI insight. 2019;4(20). 36. Yang J, Zheng Y, Gou X, Pu K, Chen Z, Guo Q, Ji R, Wang H, Wang Y, Zhou Y. Prevalence of comorbidities in the novel Wuhan coronavirus (COVID-19) infection: a systematic review and meta-analysis. Int J Infect Dis. 2020. 15. Arabi YM, Al-Omari A, Mandourah Y, Al-Hameed F, Sindi AA, Alraddadi B, Shalhoub S, Almotairi A, Al Khatib K, Abdulmomen A. Critically ill patients with the Middle East respiratory syndrome: a multicenter retrospective cohort study. Crit Care Med. 2017;45(10):1683–95. 37. Bin S, Heo J, Song M, Lee J, Kim E, Park S, Kwon H, Kim S, Kim Y, Si Y. Environmental contamination and viral shedding in MERS patients during MERS-CoV outbreak in South Korea. Clin Infect Dis. 2016;62(6):755. 16. Mawatari H, Yoneda M, Fujita K, Nozaki Y, Shinohara Y, Sasaki H, Iida H, Takahashi H, Inamori M, Abe Y, et al. Association between phospholipids and free cholesterol in high-density lipoprotein and the response to hepatitis C treatment in Japanese with genotype 1b. J Viral Hepat. 2010; 17(12):859–65. 38. Arabi Y, Mandourah Y, Al-Hameed F, Sindi A, Almekhlafi G, Hussein M, Jose J, Pinto R, Al-Omari A, Kharaba A. Corticosteroid therapy for critically ill patients with Middle East respiratory syndrome. Am J Respir Crit Care Med. 2018;197(6):757. 17. Chowell G, Blumberg S, Simonsen L, Miller MA, Viboud C. Synthesizing data and models for the spread of MERS-CoV, 2013: key role of index cases and hospital transmission. Epidemics. 2014;9:40–51. Springer Nature remains neutral with regard to jurisdictional claims in published maps and institutional affiliations. Publisher’s Note Sherbini N, Iskandrani A, Kharaba A, Khalid G, Abduljawad M, Al-Jahdali H. Middle East respiratory syndrome coronavirus in Al-Madinah City, Saudi Arabia: demographic, clinical and survival data. J Epidemiol Global Health. 2017;7(1):29. 30. Yang J, Feng Y, Yuan M, Yuan S, Fu H, Wu B, Sun G, Yang G, Zhang X, Wang L. Plasma glucose levels and diabetes are independent predictors for mortality and morbidity in patients with SARS. Diabetic Med. 2006;23(6):623. 31. Zhang J, Dong X, Cao Y, Yuan Y, Yang Y, Yan Y, Akdis C, Gao Y. Clinical characteristics of 140 patients infected by SARS-CoV-2 in Wuhan, China. Allergy. 2020. 32. Zhou F, Yu T, Du R, Fan G, Liu Y, Liu Z, Xiang J, Wang Y, Song B, Gu X. Clinical course and risk factors for mortality of adult inpatients with COVID- 19 in Wuhan, China: a retrospective cohort study. Lancet (London, England). 2020. 33. Guan W, Ni Z, Hu Y, Liang W, Ou C, He J, Liu L, Shan H, Lei C, Hui D. Clinical characteristics of coronavirus disease 2019 in China. N Engl J Med. 2020. 33. Guan W, Ni Z, Hu Y, Liang W, Ou C, He J, Liu L, Shan H, Lei C, Hui D. Clinical characteristics of coronavirus disease 2019 in China. N Engl J Med. 2020. 34. Wu Z, McGoogan J. Characteristics of and important lessons from the coronavirus disease 2019 (COVID-19) outbreak in China: summary of a 34. Wu Z, McGoogan J. Characteristics of and important lessons from the coronavirus disease 2019 (COVID-19) outbreak in China: summary of a
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Atomically precise clusters of gold and silver: A new class of nonlinear optical nanomaterials
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To cite this version: Rodolphe Antoine. Atomically precise clusters of gold and silver: A new class of nonlinear optical nanomaterials. Frontier Research Today, 2018, 1, pp.1001. ￿10.31716/frt.201801001￿. ￿hal-02980242￿ 1 INTRODUCTION ond Harmonic Generation (SHG) is a second-order process whereas Two-Photon Excitation Fluorescence (TPEF) and Third Harmonic Generation (THG) are both third-order processes. The combination of the three processes intrinsi- cally provides different contrasts for living matter micros- copy (see Figure 1, left) 5. Of note, the use of THG in the second NIR region (1 – 1.4 µm and 1.5 – 1.7 µm) is one of the strategy of choice for non-linear imaging in scattering tissue. 6 Recent developments in optical imaging techniques, especially the multi-photon excitation (MPE) technique that permits studies of biological interactions at a deep cel- lular level, has intended intensive analysis in developing multi-photon absorption fluorophores. Biological tissues are optically transparent in the near-infrared region. Flu- orophores that may absorb light within the NIR region by multi-photon absorption become significantly helpful in bio-imaging. The MPE technique permits molecular imag- ing by using either exogenous markers or endogenous sig- nals. Endogenous non-linear optics (NLO) signals are usu- ally weak and frequently need improvements of the instru- ments detection threshold and the development of scientif- ic innovative targets, like endogenous fluorescent proteins 1 to be applicable to MPE microscopy. Likewise, exogenous markers like organic dyes are synthesized for MPE research however their use remains restricted by their comparative- ly low two-photon excited visible radiation cross sections in liquid environments and their fast photo-bleaching. 2 In addition, alternative probes are possible such as quantum dots with broad absorption and separate, tunable emission wavelengths withstanding photo-bleaching 3. Preliminary studies have shown that gold or silver nanoclusters (Au or Ag NCs), nanomaterial fabricated from few to hundred gold or silver protected by thiolated molecules exhibiting molecular-like properties 4, could also provide a valuable route in the nonlinear optical regime and MPE in particu- lar. Designing highly efficient second (χ (2)) and third order (χ (3)) NLO chromophores is basically a matter of finely combining a high density of delocalized electrons in a sym- metrical or unsymmetrical environment. Gold and silver NCs constitute therefore smart candidates (see Figure 1, right panel), though the reported (χ (2)) efficiencies are still weaker than those of push-pull dyes 7 and are not currently competitive as contrast agents for MPE applications. Rodolphe Antoine* Received: 06 September 2018, Accepted: 12 September 2018, Published Online: 13 September 2018 Citation Information: Rodolphe Antoine. Frontier Research Today 2018;1:1001 doi: 10.31716/frt.201801001 Cite in Other Styles ABSTRACT: Functional ligand-protected metal cluster nanomaterials with increased two-photon absorption and two-photon excited emission might result in new technologies within the fields of bio-imaging applications. During this article, I review the two-photon absorption/emission properties of atomically precise ligand-protected silver and gold nanoclusters, coined “ligand-core” NLO-phores. This includes quantum- chemical methodologies using time-dependent density theory. I will analyze physical phenomena and trends resulting in giant two-photon absorption/emission responses of a number of series of model nanoclusters. I will then focus my review on the effects of the relaxation pathways within the linear and nonlinear optical regime, similarly as innovative ways aiming at enhancing their two-photon emission responses. Keywords: Thiolated gold nanoclusters; Gold; Silver; High-yield synthesis; Mass-spectrometry; Electronic properties; Optical proper- ties; Non-linear optics; Multi-photon microscopy Keywords: Thiolated gold nanoclusters; Gold; Silver; High-yield synthesis; Mass-spectrometry; Electronic properties; Optical proper- ties; Non-linear optics; Multi-photon microscopy HAL Id: hal-02980242 https://hal.science/hal-02980242v1 Submitted on 6 Nov 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. 2018, Volume 1, Article Number 1001 View Online Frontier Research Today Published by Frontier Research Today S.A. http://www.frt.org Frontier Research Today 2018; Volume 1, Article Number 1001 | Page 1 of 11 SILVER: SYNTHESIS, CHARACTERIZATION AND OPTICAL PROPERTIES fluorescence property. The formation and stabilization of gold or silver nanoclusters in solution have been accom- plished in various ways (see Figure 2). The proper choice of parameters for the reaction, including the temperature, the reducing method, the stabilizers and the initial ratio of metal salt:stabilizer, plays a crucial role for the successful synthesis of nanoclusters and to limit the size to few-atom nanoclusters. In addition to the ultrasmall size, the ligands used for NCs preparation also have impacts on their flu- orescence properties. Jin and coworkers 28 demonstrated that for gold NCs, the surface ligands of NCs not only can be used as capping agent but also largely affect the fluores- cence of NCs through charge transfer from surface ligand to the gold core. When the surface ligands have strong elec- tron donation capability, the fluorescence can be enhanced. And the ligands with electron-rich atoms or groups have been found as a very effective choice for promising surface ligand of NCs to enhance the fluorescence. fluorescence property. The formation and stabilization of gold or silver nanoclusters in solution have been accom- plished in various ways (see Figure 2). The proper choice of parameters for the reaction, including the temperature, the reducing method, the stabilizers and the initial ratio of metal salt:stabilizer, plays a crucial role for the successful synthesis of nanoclusters and to limit the size to few-atom nanoclusters. In addition to the ultrasmall size, the ligands used for NCs preparation also have impacts on their flu- orescence properties. Jin and coworkers 28 demonstrated that for gold NCs, the surface ligands of NCs not only can be used as capping agent but also largely affect the fluores- cence of NCs through charge transfer from surface ligand to the gold core. When the surface ligands have strong elec- tron donation capability, the fluorescence can be enhanced. And the ligands with electron-rich atoms or groups have been found as a very effective choice for promising surface ligand of NCs to enhance the fluorescence. 2.1 Atomically precise clusters of gold and silver For small noble metal clusters -in the size range where each atom counts-, Mie-Drude-like model, that predicts the optical response of free-electron metals in the bulk state, is no longer appropriate to discuss absorption spectra in the details. 1 INTRODUCTION Our investigation on ligand protected silver and gold clusters 8-15 has shown that the structure of the metal atom core, its charge and symmetry, dramatically influence the NLO cross-sections and the core stabilizing ligands play a key role in NLO efficiencies. We coined this new class of NLO materials : “Ligand-Core” NLO-phores 16, 17. This feature article overviews mainly methodologies used for addressing the two-photon absorption (TPA) and two-photon excited (TPEF) emission properties of atomi- cally precise clusters of gold and silver. In particular I will describe some strategies that have been suggested recently to enhance TPEF properties. This includes metal core-dop- ing 18, a promising strategy as it distorts the metallic atom core, as well as strategies able to rigidify the protective shell 19 This feature article overviews mainly methodologies used for addressing the two-photon absorption (TPA) and two-photon excited (TPEF) emission properties of atomi- cally precise clusters of gold and silver. In particular I will describe some strategies that have been suggested recently to enhance TPEF properties. This includes metal core-dop- ing 18, a promising strategy as it distorts the metallic atom core, as well as strategies able to rigidify the protective shell 19. Using results obtained on atomically precise clusters of silver, we get an extensive comprehension of the physics underlying the two-photon process and its amplitude, as well as to suggest an exploratory root for novel molecular 20 Multi-photon optics stems from the nonlinear light-mat- ter interaction, induced by an intense optical electric field E and is described by a medium polarization P=χ (1) E+χ (2) EE+χ (3)EEE+..., where χ (1) is the linear susceptibility tensor representing effects such as linear absorption and refrac- tion, χ (2) is the second-order nonlinear optical susceptibility, χ (3) is the third-order nonlinear susceptibility and so on. Sec- 19. Using results obtained on atomically precise clusters of silver, we get an extensive comprehension of the physics underlying the two-photon process and its amplitude, as well as to suggest an exploratory root for novel molecular engineering for further enhancement of TPA 20. 2 ATOMICALLY PRECISE CLUSTERS OF GOLD 2 ATOMICALLY PRECISE CLUSTERS OF GOLD Frontier Research Today 2018; Volume 1, Article Number 1001 | Page 1 of 11 Frontier Research Today 2018; Volume 1, Article Number 1001 | Page 1 of 11 Published by Frontier Research Today S.A. http://www.frt.org DOI: 10.31716/frt.201801001 Front. Res. Today. Published by Frontier Research Today S.A. http://www.frt.org | Page 2 of 11 1 INTRODUCTION 2018; Volume 1, Article Number 1001 Figure 1. (left) Non-linear optics (NLO) processes: 2PF are used to image fluorescent dyes or endogenous molecules. SHG is used to image non-centrosymmetric structures such as collagen fibers and THG is used to visualize the refractive index differences such as the interface of lipid droplets. (right) Selected protected metal clusters that may display different NLO signals. Figure 1. (left) Non-linear optics (NLO) processes: 2PF are used to image fluorescent dyes or endogenous molecules. SHG is used to image non-centrosymmetric structures such as collagen fibers and THG is used to visualize the refractive index differences such as the interface of lipid droplets. (right) Selected protected metal clusters that may display different NLO signals Frontier Research Today 2018; Volume 1, Article Number 1001 SILVER: SYNTHESIS, CHARACTERIZATION AND OPTICAL PROPERTIES The geometry of the clusters must be determined by quantum chemistry methods that often use group theory and the optic response are described in terms of molecular transitions whose positions and intensities are predicted by sophisticated calculations of quantum mechanics (vide in- fra). As a pioneering work, the absorption spectra obtained with the EOM-CCSD and STEOM-CCSD methods for the most stable structures of Ag5–8 nicely illustrated the molec- ular-like behavior of nanoclusters leading to an electronic energy quantization and the changes in the leading features of the patterns as a function of the cluster size 21. While the optical properties of such small metal clusters have been largely investigated in the gas phase, their study in the solid and liquid phase requires some “stabilization” that prevent them from fragmentation or degradation. The use of solid gas or inorganic matrices permits to protect gold or silver clusters from photodissociation 22-25. Also, the large excit- ed state charge separation is also a possible process in the photophysics of metals clusters composed by few atoms. Organic scaffolds allow the formation and stabilization of metal clusters in solution. The use of organic scaffolds for fluorescent metal nanoclusters are relatively new, first re- ported by the group of Dickson in 2002 for silver nanoclus- ter 26. These organic scaffolds have tremendous potentials, as the interaction between the ligands and metal clusters can be adjusted leading to tunability in their spectroscopic properties. For example by using DNA oligomers as organic scaffolds and by playing with the nucleotide sequence of DNA oligomers it is possible to synthesize silver nanoclus- ters that emit from the blue to near-infrared region 27. 2.2 Atomically precise clusters of gold and silver: synthetic routes 2.2 Atomically precise clusters of gold and silver: synthetic routes The production of silver and gold nanoclusters can be performed following several routes. The metal ions from dissolved metal salts can be reduced, either by a chemical reductant (e.g. sodium borohydride, …), (see Figure 3) by light (photoreduction with near-ultraviolet light) or by γ-rays (by radiolysis of water). The chemical reduction and the photoreduction are the most commonly used methods 29. The specific properties of metal nanoclusters, such as the composition, stability and fluorescence quantum yield, de- pend largely on the scaffold used during reduction. f Thiols are frequently used on noble metal substrates be- cause of the strong affinity of sulfur for these metals. And thiolated ligands (-SR) have appeared to be extremely good candidates to produce ultrasmall nanocluster sizes, in par- ticular for gold 30. Following the pioneering work of Brust et al. based on the reduction of the metal precursors and the formation of metal core, thiol-containing small molecules were extensively used to stabilize gold and silver nanoclus- ters in the aqueous solution 31, 32. The use of thiol-containing small molecules as stabilizers permits to better control the production of AuNCs than phosphine-capped ones, con- Ligands play very important roles in the formation of NCs as protective agents, which can prevent the metal clus- ters from aggregation and then keep the size-dependent Frontier Research Today 2018; Volume 1, Article Number 1001 DOI: 10.31716/frt.201801001 Front. Res. Today. 2018; Volume 1, Article Number 1001 Figure 2. Protected metal nanoclusters with possible scaffolds. Figure 2. Protected metal nanoclusters with possible scaffolds. tributing to the stronger Au-S covalent bonding. Generally, the method of synthesizing thiolate-capped AuNCs has processes as follows. Gold salts [AuCl4] are dissolved in water and then transferred to an organic solvent by phase transfer agent; the thiols are added to the mixture induc- ing reduction of Au 3+ ions into Au + ions and form Au +-SR - complexes or polymers; then the Au + polymers are reduced by adding the reducing agent and lead to thiolate-protective gold nanoclusters. g Glutathione (GSH), a ubiquitous low-molecular weight g Glutathione (GSH), a ubiquitous low-molecular weight Figure 3. (top panel) General route to produce thiolate protected nanoclusters by a chemical reductant.(bottom panel) PAGE for Ag:SG clusters by (left) Bigioni synthesis (see ref. 43) and (right) our focused Ag:SG synthesis. Figure 3. 2.2 Atomically precise clusters of gold and silver: synthetic routes The as-prepared AuNCs were isolated into single-sized Aun(SR)m clusters by the PAGE method and characterized using electrospray mass spectrometry 34, 35. While the routes for producing metal NCs lead to a mix- ture of Aun(SR)m cluster size, achieving atomic precision and molecular purity is challenging because the nanoclus- ter growth is extremely complicated and remains poorly understood. Nevertheless, a systematic methodology called “size focusing”, for achieving atomically precise clusters of gold and silver with molecular purity has been proposed. This methodology consists of two primary steps, (i) kinet- ically controlled synthesis of an Mn(SR)m mixture with a properly controlled size range and (ii) thermodynamically dictated size-focusing of the mixture to single-sized nano- clusters. In parallel, a new approach, which is to utilize li- gand exchange to induce size and structure transformation and, hence, to attain new Mn(SR)m nanoclusters was also proposed 36. Concerning the characterization techniques, X-ray crys- tallography is the “holy-grail” technique to solve the crystal structure of nanoclusters and reveals the nature of bonding and the packing of atoms 4, 37-39. Recently, complete struc- tures have been experimentally resolved for many gold and silver nanoclusters, including the most popular Au25(SR)18, Au38(SR)24, and Au102(SR)44 NCs by X-ray crystallography 4. Many other methods are used to characterize Au-NCs. X-ray photoelectron spectroscopy (XPS) is a valuable tool for confirming the oxidation state of gold in the sample, based on the Au-Au and Au-S binding energies. Various imaging techniques are widely employed to determine nanoparticle size and sample dispersity, such as transmission electron microscopy (TEM) and atomic force microscopy (AFM). Au NC composition is best resolved by high resolution mass spectrometry (MS). The most widely used ionization meth- ods for Au NC characterization by MS are matrix-assisted laser desorption ionization (MALDI) and electrospray ion- ization (ESI) 40-42. Near-ultraviolet and visible absorbance may arise from transitions between molecular orbitals with high ligand contribution to orbitals with high metal character (LMCT) and from metal−metal electronic transitions. A rapid (<1 ps lifetime) decay pathway for clusters which have a core of metal atoms, that may lead to an emission in the visible. A long-lived (>100 ns lifetime), charge-transfer component is exhibited for all clusters. NIR emission in the clusters is related to the surface states and originates from the charge transfer excited state (see Figure 4). 2.2 Atomically precise clusters of gold and silver: synthetic routes (top panel) General route to produce thiolate protected nanoclusters by a chemical reductant.(bottom panel) PAGE for Ag:SG clusters by (left) Bigioni synthesis (see ref. 43) and (right) our focused Ag:SG synthesis. Frontier Research Today 2018; Volume 1, Article Number 1001 | Page 3 of 11 Published by Frontier Research Today S.A. http://www.frt.org DOI: 10.31716/frt.201801001 Front. Res. Today. 2018; Volume 1, Article Number 1001 theory (TDDFT) calculations on the electronic structure of Au25 clusters (using the reported structure with the sin- gle-crystal X-ray crystallographic analysis) have shown that the HOMO and the lowest three LUMOs are mainly composed of 6sp atomic orbitals of gold and a certain degree of the S (3p) 47. The other higher HOMO orbitals are mainly constructed from the 5d 10 atomic orbitals of gold and hence constitute the d-band. The calculated absorption transitions are in agreement with the experimental observations. Re- cent ultrafast spectroscopic studies on relaxation of higher excited states have provided more insights into understand- ing the photoluminescence mechanism of Au25 clusters. Goodson et al. found that 500 nm emission fundamentally arises from the electron–hole recombination in the Au13 core with little perturbation from surface ligands, but NIR emission at 700 nm originates from the recombination of holes in the ground core state and electron decay from core excited states to S–Au–S– Au–S semi rings 48. Jin et al. re- cently found that charge state and surface ligands also have a significant influence on the NIR emission wavelength and QYs of Au25 clusters 49. Clearly, more detailed photophysi- cal studies are required for evaluating how surface ligands influence the photoluminescence mechanisms of such sys- tems. The last ten years, some general trends have been fig- ured out concerning the de-excitation pathways following a visible or near-UV absorption. The following experimental and theoretical findings were assembled from the present work and literature to derive the energy diagram in Figure 4 50. thiol, played a significant role in producing gold NCs which showed good water solubility, bioactive surface, and high stability. Whetten and coworkers have proposed an unprecedented thiol-protective AuNC route by using the GSH (N-γ-glutamyl-cysteinyl-glycine) as the stabilizer. The as-synthesized AuNCs were fractionated by using poly- acrylamide gel electrophoresis (PAGE) and characterized by mass spectrometry (MS) 33. Tsukuda and colleagues have also reported the characterization of fractionated AuNCs protected by GSH monolayers. 3 ATOMICALLY PRECISE CLUSTERS OF GOLD AND SILVER AS NEW NLO CHRO- MOPHORES: BACKGROUND AND DESIGN The understanding of the structure–property relationship of molecular TPA is of great importance for the rational de- sign of optimized two-photon chromophores. We will use the analogy with push-pull molecules in order to describe how theoretical data can be used to get an extensive com- prehension of the physics underlying the two-photon pro- cess and its amplitude, as well as to suggest an exploratory root for novel chemical engineering for further enhance- ment of TPA in atomically precise clusters of silver and gold. Published by Frontier Research Today S.A. http://www.frt.org | Page 4 of 11 Frontier Research Today 2018; Volume 1, Article Number 1001 2.3 Atomically precise clusters of gold and silver: Optical properties One-photon excited fluorescence (OPEF) of metal nanoparticles is of considerable interest due to their po- tential applications in biomedicine for instance. However, the origin and underlying mechanism of OPEF in these clusters is still poorly understood, although some recent theoretical investigations by Christine M. Aikens, using time-dependent density functional theory (TD-DFT), shed some new lights on the key process for photon emission 44-46. Unravelling the crystal structure has to better evaluate the structure–absorption relationships of some thiolate pro- tected gold clusters. Time-dependent density functional Push-pull dipolar molecules are characterized by a low-lying, high-intensity absorption band, related to the intramolecular charge transfer (ICT) between the electron donor (D) and acceptor (A) groups (see Figure 5). The TPA cross section of such molecules is considered to be governed basically by two factors: transition dipole moments and transition energies of the molecule. As seen Frontier Research Today 2018; Volume 1, Article Number 1001 Published by Frontier Research Today S.A. http://www.frt.org | Page 4 of 11 DOI: 10.31716/frt.201801001 Front. Res. Today. 2018; Volume 1, Article Number 1001 DOI: 10.31716/frt.201801001 Figure 4. Cartoon diagram showing the relaxation pathways in gold nanoclusters following one photon absorption. (2) DOI: 10.31716/frt.201801001 DOI: 10.31716/frt.201801001 below, the theoretical expression of TPA cross section (δT- PA(ω)) based on the perturbation expansion is comprised of the numerator including transition dipole moments and the denominator including the transition energies and the incident photon energy. The energy term governs the wavelength dispersion of δTPA(ω) whereas the dipole mo- ment term governs the overall magnitude of δTPA(ω).Thus, the structure–property relationship for the molecules with large dTPA(ω) can be reduced by optimizing the transition dipole moments and frequencies involved in the TPA pro- cess. It is commonly accepted that from the perturbation theo- ry, the TPA cross section at the laser frequency of ω is given as 51 (1) where c and h are the speed of light and the Planck con- stant, respectively. g(ω) denotes the normalized lineshape function of the TPA transition, |Seg| is so-called two-photon tensor. Figure 4. Cartoon diagram showing the relaxation pathways in gold nanoclusters following one photon absorption. The TPA cross section δTPA(ω) can be written in SI units as: 52 (2) (2) surface ligand molecules. 2.3 Atomically precise clusters of gold and silver: Optical properties These three shells may commu- nicate in two different ways: charge transfer from ligand to metal core (analogy with ligand-to-metal charge transfer (LMCT) or ligand-to metal-metal charge transfer (LMMCT) observed in metal complexes) and through direct bonding or direct donation of delocalized electrons of electron-rich groups of the ligands 17. Such “communications” between ligands and metal core may increase the transition dipole moments leading to enhanced δTPA(ω). The main parameters δTPA(ω) responsible for are: change in the permanent dipole moment ∆μ; transition dipole mo- ments μeg, μee'; angles between dipole moments; linewidth Γ, and detuning energies from intermediate and final states, (ħωeg-ħω) and (ħωe'g-2ħω). g g Enhancement of δTPA(ω) can be obtained by playing with the following factors : 1. Increasing the transition dipole moments. In mo- lecular design, this can be realized by increasing the π-conjugation length, or by introducing electron do- nor/acceptor groups. In non-centrosymmetric mol- ecules, increasing the difference of the ground and excited state permanent dipole moments can also increase δTPA(ω). Density functional theory (DFT) and its time-dependent version (TDDFT) have been used for determination of the structural and optical properties of ligand-protected silver and gold clusters (see Figure 6). There are two approach- es for addressing two-photon absorption within analytic response method: First, the calculation of third-order frequency-dependent response function from the second hyperpolarizability in which imaginary part is related to TPA cross section; the second approach involves the single residue of the second-order response function or the first hyperpolarizability. The latter represents more practical way of computing the TPA cross section. In spite of the suc- cess, it is necessary to notice that in standard response the- ory, the response functions can diverge, since the response function has poles whenever one or more of the optical fre- quencies equal an excitation energy. This can lead to non- 2. Maximizing resonance terms. Decreasing the detun- ing energy between intermediate and ground states can significantly enhance δTPA(ω). If the intermediate state is located halfway between ground state and final state, a “double resonance” condition can be achieved, which can lead to a dramatic enhancement of δTPA(ω). 3. Reducing the linewidth of the lowest energy one-photon transition. Such factors have been figured out in details for design strategies and structure–property relations of cyanine and cyanine-like molecular structures with the goal of enhanc- ing TPA in the near-IR for multiphoton fluorescence sens- ing applications 52. Frontier Research Today 2018; Volume 1, Article Number 1001 | Page 5 of 11 2.3 Atomically precise clusters of gold and silver: Optical properties F i R h T d 2018 V l 1 A i l N b 1001 | P 5 f 11 Figure 5. Schematic illustration of (left) a nonlinear optical (NLO), push-pull chromophore and (right) a “ligand-core” NLO-phore with ligand-protected silver and gold clusters. g Atomically precise nanoclusters of silver or gold can be viewed as a “multi-shell system” composed by (1) a me- tallic core, (2) a metal-ligand interface, in particular with staple motifs leading to metal-sulfur bonds, and (3) the Figure 5. Schematic illustration of (left) a nonlinear optical (NLO), push-pull chromophore and (right) a “ligand-core” NLO-phore with ligand-protected silver and gold clusters. Frontier Research Today 2018; Volume 1, Article Number 1001 | Page 5 of 11 Published by Frontier Research Today S.A. http://www.frt.org DOI: 10.31716/frt.201801001 Front. Res. Today. 2018; Volume 1, Article Number 1001 DOI: 10.31716/frt.201801001 Front. Res. Today. 2018; Volume 1, Article Number 1001 Figure 6. TDDFT TPA spectra of a) Ag11(SCH3)7, b) Ag15(SCH3)11 and c) Ag31(SCH3)19 nanoclusters for the lowest energy structures involving 4, 8 and 12 delocalized electrons in the metal core. Figure 6. TDDFT TPA spectra of a) Ag11(SCH3)7, b) Ag15(SCH3)11 and c) Ag31(SCH3)19 nanoclusters for the lowest energy structures involving 4, 8 and 12 delocalized electrons in the metal core. factors influencing the TPA cross-sections have been figure out: (i) the excitation between ligands and the metal core are characteristic of the nonlinear transitions, (ii) the “dou- ble resonance” between states involved in the OPA and TPA processes is required to obtain giant TPA cross-sec- tions, (iii) large dipole transition moments are related to a non-uniform electron distribution within the metal core. The role of the structural properties, i.e. of the geometry of the metal core in determining this electron distribution, is therefore crucial. factors influencing the TPA cross-sections have been figure out: (i) the excitation between ligands and the metal core are characteristic of the nonlinear transitions, (ii) the “dou- ble resonance” between states involved in the OPA and TPA processes is required to obtain giant TPA cross-sec- tions, (iii) large dipole transition moments are related to a non-uniform electron distribution within the metal core. The role of the structural properties, i.e. of the geometry of the metal core in determining this electron distribution, is therefore crucial. physical behavior for molecular properties in the resonance region. Published by Frontier Research Today S.A. http://www.frt.org | Page 6 of 11 2.3 Atomically precise clusters of gold and silver: Optical properties More details about com- putational details can be found in ref. 14, 17. 4 “LIGAND-CORE” NLO-PHORES 2.3 Atomically precise clusters of gold and silver: Optical properties However, introducing damping terms in different ways the singularities of the response functions can be cor- rected or effectively removed 14. f The two-photon absorption cross section for an excitation from the ground state |0> to a final state |f> is defined in terms of normalized shape function g(ωµ+ων) and the two-photon absorption transition amplitude tensor T ωµων, f (3) In the case of the TPA cross-sections, interplay between a resonance effect and large transition dipole moments is essential. As the size of the silver nanoclusters increases, transition dipole moments should continue to increase due to larger core size (and thus larger core-to-ligand distances) and/or non-uniform electronic distribution in the metal core. Also, the optical band gap decreases as the size of the nanoclusters increases 39, shifting the spectra towards the NIR spectral region, a feature useful for bio-imaging appli- cations. In order to obtain this tensor, the quadratic density func- tional response theory was applied. Two-photon absorption transition amplitude tensor between the ground and the excited state is defined as (4) where it is assumed that frequency of incident radiation is equal to half of excitation energy from ground to excit- ed state, i.e. ω=ωf/2. In the above equation µa and µb are Cartesian components of dipole moment operator µ, and ωk and ωf are the frequencies of excitation from |0> to |k> and |f> respectively. Thus application of this formula in- cludes explicit summation over excited states and requires computation of dipole moment operator µ between excited states. Of note, in order to prevent the TPA cross sections from blowing up near the one-photon resonances, the SOSs approach uses a damping factor Γ. More details about com- putational details can be found in ref. 14, 17. where it is assumed that frequency of incident radiation is equal to half of excitation energy from ground to excit- ed state, i.e. ω=ωf/2. In the above equation µa and µb are Cartesian components of dipole moment operator µ, and ωk and ωf are the frequencies of excitation from |0> to |k> and |f> respectively. Thus application of this formula in- cludes explicit summation over excited states and requires computation of dipole moment operator µ between excited states. Of note, in order to prevent the TPA cross sections from blowing up near the one-photon resonances, the SOSs approach uses a damping factor Γ. 4 “LIGAND-CORE” NLO-PHORES 4.1 NLO emission of Ag29(DHLA)12. Playing with photons and colors 4.1 NLO emission of Ag29(DHLA)12. Playing with photons and colors tum clusters are excellent two-photon absorbers but rather poor two-photon excited emitters 53. To enhance emission efficiencies, the ligand shell rigidity is an in- teresting strategy that would allow for enhanced photon emission as compared to non-radiative relaxation upon photo-excitation. Pyo et al. 19 have shown that it is possible to achieve luminescence quantum yield >60% by rigidi- fying the metal-sulfur interface with the binding of bulky groups. It is possible to push forward these concepts, using either core-doping or rigidification, to the nonlinear optical regime. tum clusters are excellent two-photon absorbers but rather poor two-photon excited emitters 53. To enhance emission efficiencies, the ligand shell rigidity is an in- teresting strategy that would allow for enhanced photon emission as compared to non-radiative relaxation upon photo-excitation. Pyo et al. 19 have shown that it is possible to achieve luminescence quantum yield >60% by rigidi- fying the metal-sulfur interface with the binding of bulky groups. It is possible to push forward these concepts, using either core-doping or rigidification, to the nonlinear optical regime. For organic molecules, the emission typically occurs from its lowest excited energy level for a given spin multiplicity (referred to as Kasha’s rule). However nanoclusters as well as certain organic molecules tend to break this rule and emit at more than one possible wavelength depending on the electronic structure, density of states and excited state dynamics involved. Regardless of whether a molecule/ nanocluster obeys the Kasha’s rule or not, in order to gain a more detailed understanding of the excited state emission dynamics of a chromophore, one may carry out the time resolved experiments. The strategy developed recently is to use voluminous ammonium counter-ions, a nitrogen cation surrounded by four alkyl chains. In solution, the fluorescence yields of NCs are often affected by the solvent (in particular wa- ter), the counter-ions will come by electrostatic interaction (between the counterions and the carboxylates of the glu- tatione) to stick to the surface of the NCs which will have the effect of protecting it from the environment and also to “rigidify” its surface. The effect is spectacular on the one-photon fluorescence, as shown on Au15 in water, which then complexed with tetrabutylammonium becomes ex- tremely fluorescent (see Figure 8). 4.1 NLO emission of Ag29(DHLA)12. Playing with photons and colors 4.1 NLO emission of Ag29(DHLA)12. Playing with photons and colors A general observation: these NCs have huge two-photon absorption cross sections typically 50,000 GM #1 for Ag29 against their cross section for two-photon emission is only 0.5GM 13. For NLO applications, they are still less efficient than dyes but they are biocompatible and present low tox- icity unlike dyes. We have also observed for the Ag29 an interesting behavior for potential applications, which con- cerns its emission properties following the absorption of one or two photons, as shown in Figure 7. With a photon at 400 nm or 2 photons at 800 nm, an emission spectrum of either blue or red is obtained. So we have one single nanoo- bject with two colors, using linear or nonlinear optics. This We conducted a theoretical investigation of the nonlinear optical properties for the lowest energy structures of the Ag11L7, AG15L11 and Ag31L19 nanoclusters, where L stands for the SCH3 group (Figure 6) 16. They contain respectively 4, 8 and 12 delocalized electrons within the core. Several Published by Frontier Research Today S.A. http://www.frt.org | Page 6 of 11 Frontier Research Today 2018; Volume 1, Article Number 1001 DOI: 10.31716/frt.201801001 Front. Res. Today. 2018; Volume 1, Article Number 1001 Figure 7. (left panel) Spectroscopic characterization of the synthesized Ag29(DHLA)12 clusters dispersed in water. Absorp- tion spectrum (black), OPEF spectrum (top) and TPEF spectrum (bottom). The arrows represent the wavelength of exci- tation by OPE and TPE processes (right panel) Schematics showing the proposed excited state relaxation dynamics in the Ag29(DHLA)12 clusters in TPEF experiments. Figure 7. (left panel) Spectroscopic characterization of the synthesized Ag29(DHLA)12 clusters dispersed in water. Absorp- tion spectrum (black), OPEF spectrum (top) and TPEF spectrum (bottom). The arrows represent the wavelength of exci- tation by OPE and TPE processes (right panel) Schematics showing the proposed excited state relaxation dynamics in the Ag29(DHLA)12 clusters in TPEF experiments. Figure 7. (left panel) Spectroscopic characterization of the synthesized Ag29(DHLA)12 clusters dispersed in water. Absorp- tion spectrum (black), OPEF spectrum (top) and TPEF spectrum (bottom). The arrows represent the wavelength of exci- tation by OPE and TPE processes (right panel) Schematics showing the proposed excited state relaxation dynamics in the Ag29(DHLA)12 clusters in TPEF experiments. behavior is still poorly understood and probably reflects the complexity of the relaxation of excited electronic states characteristic of the molecular or quantum regime. y efficiencies efficiencies At this stage, we reckon that protected gold quan- Published by Frontier Research Today S.A. http://www.frt.org 4.1 NLO emission of Ag29(DHLA)12. Playing with photons and colors We extended this study to the NLO regime and were able to show that the same dramatic effect is observed for TPEF and with a variety of large counterions, the best candidate to date remains tetra- butylammonium (see Figure 8). The TPEF cross sections the unit of the molecular TPA cross-section (GM) : 1 GM = 10 -50 cm 4.s.photons -1. Note that the emission spectra upon one- and two-pho- ton excitation (Figure 4) are almost identical except for the region below 400 nm, such deviations might be the “signa- ture” of a deviation from the Kasha’s rule… Note that the photochemistry of gold nanoclusters is more complex than S1, S2 π-π* states of organic molecules, where excitations within the gold core as well as couplings with surface states (through LMCT and LMMCT) may occur. 4.2 Bulky counterions. A simple route to enhance the TPEF ffi 4.2 Bulky counterions. A simple route to enhance the TPEF efficiencies At this stage, we reckon that protected gold quan- We recently pushed forward this strategy consisting in using bulky counterions to enhance the luminescence in the nonlinear optical regime. We showed that by an appropriate choice of bulky counterions and of solvent, a 30-fold increase in TPEF signal in the red for glutathione-protected gold clusters could be obtained. A simple way to increase rigidity of the protective shell is to replace thiolated ligands by proteins instead. Bovine serum albumin-Au25 NCs indeed exhibit an efficient two-photon Factors ~30 gained on TPEF cross-sections allowed con- focal imaging under 780 nm excitation. As a proof of con- cept and before going to cell imaging, we made an emul- sion from a water-heptane mixture, it gives rise to droplets of water trapped in heptane of micrometric size. NCs, in this case gold in the presence of counterions are soluble in water and were used to image the droplets. The image of TPEF in false blue color is shown in Figure 8, where we recognize the droplet containing the NCs. The pause time for stack images is only few seconds, which shows the effi- ciency for two-photon imaging. At this stage, we reckon that protected gold quan- #1Maria Goeppert-Mayer, Nobel Prize in Physics 1963. Her name is now known for the unit of the molecular TPA cross-section (GM) : 1 GM = 10 -50 cm 4.s.photons -1. Frontier Research Today 2018; Volume 1, Article Number 1001 | Page 7 of 11 Published by Frontier Research Today S.A. http://www.frt.org DOI: 10.31716/frt.201801001 Front. Res. Today. 2018; Volume 1, Article Number 1001 Figure 8. (left panels) (top) TPEF image of Au NCs containing methanol droplets in heptane and (bottom) structure of bulky counterions used to bind to glutathione-protected gold clusters. (right panels) (top) One-photon excited fluorescence spectra of Au15(SG)13 in water and TBA-Au15(SG)13 in methanol. (bottom) Two-photon excited fluorescence spectra at excitation wavelength 780 nm of Au15(SG)13 in aqueous solution compared to different bulky cations- Au15(SG)13 in methanol. Figure 8. (left panels) (top) TPEF image of Au NCs containing methanol droplets in heptane and (bottom) structure of bulky counterions used to bind to glutathione-protected gold clusters. (right panels) (top) One-photon excited fluorescence spectra of Au15(SG)13 in water and TBA-Au15(SG)13 in methanol. (bottom) Two-photon excited fluorescence spectra at excitation wavelength 780 nm of Au15(SG)13 in aqueous solution compared to different bulky cations- Au15(SG)13 in methanol. vivo) bio-imaging applications. One of the technological objective of this study will be to bridge the gap between new cell biomarkers and two-photon NLO-phores design. of these objects then become interesting for multiphoton optics and we have crossed the road towards 2-photon con- focal microscopy. p p g Designing highly efficient second- and third-order non- linear optical (NLO) chromophores is largely a matter of finely combining a high density of delocalized electrons in a symmetrical or unsymmetrical environment. For en- hancing NLO efficiencies, innovative strategies should be explored in the future. To enhance second order χ (2) effi- ciencies, metal core-doping is a promising strategy as it dis- torts the metallic atom core 54. Also, enhanced fluorescence of AuNCs by silver doping was reported by Le Guével et al. 55,56 Therefore to enhance third order χ (3) efficiencies, silver doping can be coupled to ligand shell rigidity as the latter favors the radiative properties of AuNCs. This route was recently explored by Olesiak-Banska et al. who showed that Au/Ag NCs exhibit two-photon excited luminescence emis- sion and second-harmonic generation (SHG) and that these properties remain the same in liquid crystalline matrix 56. An alternative route to enhance TPEF efficiencies, is to use the concept of “rigidity”. Published by Frontier Research Today S.A. http://www.frt.org | Page 8 of 11 Frontier Research Today 2018; Volume 1, Article Number 1001 Acknowledgements [13] Russier-Antoine I, Bertorelle F, Hamouda R, Rayane D, Dugourd P, Sanader Z, et al. Tuning Ag29 nanocluster light emis- sion from red to blue with one and two-photon excitation. Na- noscale 2016;8(5):2892-98. doi:10.1039/C5NR08122J Most of the work presented would not have been possible without the fruitful collaborations with Isabelle Russi- er-Antoine, Franck Bertorelle, Željka Sanader, Marjan Krstić, Philippe Dugourd, Pierre-François Brevet and Vlasta Bonačić-Koutecký. Therefore, I wish to express my deepest gratitude to them. Furthermore, I would like to acknowledge financial support of the French-Croatian project “Internation- al Laboratory for Nano Clusters and Biological Aging, LIA NCBA”. [14] Sanader Z, Krstic M, Russier-Antoine I, Bertorelle F, Dugourd P, Brevet P-F, et al. Two-photon absorption of ligand-protected Ag15 nanoclusters. Towards a new class of nonlinear optics nano- materials. Physical Chemistry Chemical Physics 2016;18:12404- 08. doi:10.1039/C6CP00207B [15] Sanader Z, Mitric R, Bonacic-Koutecky V, Bellina B, Antoine R, Dugourd P. Nature of electronic excitations at the metal-bio- organic interface illustrated on histidine-silver hybrids. Physical Chemistry Chemical Physics 2014;16(3):1257-61. doi:10.1039/ c3cp52712c 5 CONCLUDING REMARKS The aim of the present study was to gain fundamental knowledges on the mechanism involved in multiphoton processes in atomically precise gold and silver nanoclusters (NCs). By measuring two photon absorption, two photon excited fluorescence cross sections and first hyperpolariz- ability for such NCs, we have provided unique benchmarks for theoretical modeling of the origin of enhanced NLO properties of ultra-small ligated metal clusters, as well as the interplay between the cluster core and the interface be- tween the ligand shell and the metallic part. It will also serve as a basis for further developments in the design of high efficiency NLO-phores with good stabil- ity and low toxicity for in vitro (and possibly ultimately in Published by Frontier Research Today S.A. http://www.frt.org | Page 8 of 11 Frontier Research Today 2018; Volume 1, Article Number 1001 DOI: 10.31716/frt.201801001 Front. Res. Today. 2018; Volume 1, Article Number 1001 References [1] De Meulenaere E, Nguyen Bich N, de Wergifosse M, Van Hecke K, Van Meervelt L, Vanderleyden J, et al. 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Zwitterion functionalized gold nanoclusters for multimodal near infrared fluorescence and photoacoustic imag- ing. APL Materials 2017;5(5):053404. doi:10.1063/1.4977203 Open Access This article is licensed under a Creative Commons Attribution 4.0 International License. © The Author(s) 2018 [58] Raut SL, Shumilov D, Chib R, Rich R, Gryczynski Z, Gry- czynski I. Two photon induced luminescence of BSA protected gold clusters. Chemical Physics Letters 2013;561(Supplement C):74-6. doi:10.1016/j.cplett.2013.01.028 [58] Raut SL, Shumilov D, Chib R, Rich R, Gryczynski Z, Gry- czynski I. Two photon induced luminescence of BSA protected gold clusters. Chemical Physics Letters 2013;561(Supplement C):74-6. doi:10.1016/j.cplett.2013.01.028 [58] Raut SL, Shumilov D, Chib R, Rich R, Gryczynski Z, Gry- czynski I. Two photon induced luminescence of BSA protected gold clusters. 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English
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Classification systems for causes of stillbirth and neonatal death, 2009–2014: an assessment of alignment with characteristics for an effective global system
BMC pregnancy and childbirth
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* Correspondence: shl2164@cumc.columbia.edu 1Mater Research Institute, The University of Queensland (MRI-UQ), Brisbane, Australia 2International Stillbirth Alliance, Millburn, USA Full list of author information is available at the end of the article Classification systems for causes of stillbirth and neonatal death, 2009–2014: an assessment of alignment with characteristics for an effective l b l Susannah Hopkins Leisher1,2*, Zheyi Teoh1, Hanna Reinebrant1,2, Emma Allanson3,4, Hannah Blencowe5, Jan Jaap Erwich2,6, J. Frederik Frøen7,8, Jason Gardosi9, Sanne Gordijn2,6, A. Metin Gülmezoglu3, Alexander E. P. Heazell2,10,11, Fleurisca Korteweg2,12, Joy Lawn5, Elizabeth M. McClure2,13, Robert Pattinson14, Gordon C. S. Smith15, Ӧzge Tunçalp3, Aleena M. Wojcieszek1,2 and Vicki Flenady1,2 Leisher et al. BMC Pregnancy and Childbirth (2016) 16:269 DOI 10.1186/s12884-016-1040-7 Leisher et al. BMC Pregnancy and Childbirth (2016) 16:269 DOI 10.1186/s12884-016-1040-7 RESEARCH ARTICLE Open Access Classification systems for causes of stillbirth and neonatal death, 2009–2014: an assessment of alignment with characteristics for an effective global system Susannah Hopkins Leisher1,2*, Zheyi Teoh1, Hanna Reinebrant1,2, Emma Allanson3,4, Hannah Blencowe5, Jan Jaap Erwich2,6, J. Frederik Frøen7,8, Jason Gardosi9, Sanne Gordijn2,6, A. Metin Gülmezoglu3, Alexander E. P. Heazell2,10,11, Fleurisca Korteweg2,12, Joy Lawn5, Elizabeth M. McClure2,13, Robert Pattinson14, Gordon C. S. Smith15, Ӧzge Tunçalp3, Aleena M. Wojcieszek1,2 and Vicki Flenady1,2 Open Access © 2016 The Author(s). Open Access This article is distributed under the terms of the Creative Commons Attribution 4.0 International License (http://creativecommons.org/licenses/by/4.0/), which permits unrestricted use, distribution, and reproduction in any medium, provided you give appropriate credit to the original author(s) and the source, provide a link to the Creative Commons license, and indicate if changes were made. The Creative Commons Public Domain Dedication waiver (http://creativecommons.org/publicdomain/zero/1.0/) applies to the data made available in this article, unless otherwise stated. * Correspondence: shl2164@cumc.columbia.edu Systems assessed Eighty-one new, modified or used systems for SB and/or NND were identified through a systematic literature review reported in this series (see [3] for the methodology and results of this systematic review, including the PRISMA flowchart, and Additional file 1 for details of included systems). Throughout this paper, systems are referred to by first author and year of publication of the source document, e.g. “De Galan-Roosen 2002”, which is a standard way of labelling studies in systematic reviews, i.e. Cochrane. The many co-authors of some systems are named in the relevant citation. The review found that alignment of systems with general principles of the ICD, the global standard for cause of death assignment and reporting, was some- what limited, with just 21 % of systems using ICD codes. Systems were also found to have quite low coverage as measured by data from published reports between 2009 and 2014 showing numbers of deaths classified by each system, including in high-burden countries. The majority of systems were used only in the regions (high- or low/medium-income countries) where they had been developed. (Continued from previous page) (Continued from previous page) Conclusions: There is an unmet need for a system exhibiting all the characteristics of a globally effective system as defined by experts in the use of systems, as none of the 81 contemporary classification systems assessed was highly aligned with these characteristics. A particular concern in terms of global effectiveness is the lack of alignment with “ease of use” among all systems, including even the most-aligned. A system which meets the needs of users would have the potential to become the first truly globally effective classification system. Keywords: Stillbirth, Neonatal death, Perinatal death, Classification, Classification system, Cause Background identified 17 such characteristics (reported in this series; see Wojcieszek et al. [7]). g Classification of the causes of the 5.3 million peri- natal deaths (stillbirths and neonatal deaths) that occur each year is critical to reducing these deaths; it increases our understanding of underlying causes and enables comparison of causes within and between countries [1, 2]. In a related manuscript, we describe a systematic review which identified 81 classification systems for causes of stillbirth and neonatal death (in addition to the World Health Organization (WHO) International Classification of Diseases 10th revision (ICD-10)) that were created, modified, and/or used between 2009 and 2014, all with widely varying char- acteristics. Stated reasons for system development included the need to add features and missing categories, increase accuracy, reach new user groups, enable identification of underlying causes, and reduce the number of “unexplained” deaths [3]. This is the second part of a two-part study. Part one was a systematic review of classification systems for causes of SB and NND created or used between 2009 and 2014; results are presented in this series [3]. The aim of the present study was to assess the align- ment of identified classification systems against the expert-identified characteristics in order to inform work towards a globally effective approach for classification of causes of SB and NND. Abstract Background: To reduce the burden of 5.3 million stillbirths and neonatal deaths annually, an understanding of causes of deaths is critical. A systematic review identified 81 systems for classification of causes of stillbirth (SB) and neonatal death (NND) between 2009 and 2014. The large number of systems hampers efforts to understand and prevent these deaths. This study aimed to assess the alignment of current classification systems with expert-identified characteristics for a globally effective classification system. Methods: Eighty-one classification systems were assessed for alignment with 17 characteristics previously identified through expert consensus as necessary for an effective global system. Data were extracted independently by two authors. Systems were assessed against each characteristic and weighted and unweighted scores assigned to each. Subgroup analyses were undertaken by system use, setting, type of death included and type of characteristic. Results: None of the 81 systems were aligned with more than 9 of the 17 characteristics; most (82 %) were aligned with four or fewer. On average, systems were aligned with 19 % of characteristics. The most aligned system (Frøen 2009-Codac) still had an unweighted score of only 9/17. Alignment with individual characteristics ranged from 0 to 49 %. Alignment was somewhat higher for widely used as compared to less used systems (22 % v 17 %), systems used only in high income countries as compared to only in low and middle income countries (20 % vs 16 %), and systems including both SB and NND (23 %) as compared to NND-only (15 %) and SB-only systems (13 %). Alignment was higher with characteristics assessing structure (23 %) than function (15 %). (Continued on next page) © 2016 The Author(s). Open Access This article is distributed under the terms of the Creative Commons Attribution 4.0 International License (http://creativecommons.org/licenses/by/4.0/), which permits unrestricted use, distribution, and reproduction in any medium, provided you give appropriate credit to the original author(s) and the source, provide a link to the Creative Commons license, and indicate if changes were made. The Creative Commons Public Domain Dedication waiver (http://creativecommons.org/publicdomain/zero/1.0/) applies to the data made available in this article, unless otherwise stated. Page 2 of 16 Leisher et al. BMC Pregnancy and Childbirth (2016) 16:269 Outcome measures Data produced by different systems are often in- compatible, hampering efforts to increase understand- ing of the global burden of specific causes of perinatal deaths [4, 5]. In 2008, the WHO began work to rationalize the global approach to classifica- tion of causes of perinatal death. This approach, the ICD for Perinatal Mortality, or ICD-PM, is now in the testing phase [6]. As part of this effort, an itera- tive process to identify characteristics for an effective global classification system for causes of stillbirth (SB) and neonatal death (NND) was undertaken, and a global panel of experts in perinatal death classification 1. Frequency of system alignment with individual characteristics for an effective global classification system; y 2. Weighted and unweighted scores measuring system alignment against the set of all 17 characteristics. The characteristics were those developed through expert consultation as reported by Wojcieszek et al. [7]. Ten characteristics related to systems’ structure, assessing comprehensiveness, relevance, validity, and Leisher et al. BMC Pregnancy and Childbirth (2016) 16:269 Page 3 of 16 ▪of the majority (>50%) of SB and/or NND that occur in a country in at least one year, or sufficiency of detail for understanding cause of death. The remaining seven characteristics related to systems’ functioning, assessing reliability, accessi- bility, and value to users. In this paper, we assess alignment against the penultimate list of characteris- tics reported by Wojcieszek et al., which comprised eight structural characteristics and nine functional characteristics, as this was the format for which weights (percent agreement by the expert panel) were available. ∘otherwise stated to be a system developed on purpose for national government use.  Widely used system: any system used to classify 1000+ deaths and/or in 2+ countries between 2009 and 2014.  Level: Some systems may have a single “level” of causes and other systems may have several levels of causes, with the top level listing more general causes and each lower level listing sub-categories within a given general cause. For example, classifying the cause of a SB or NND in a system with multiple levels would mean that a set of causes, from most general (taken from the top level) to most specific (taken from the lowest level), would be selected, e.g. “congenital anomaly” from the top level and then more detail on that cause via assignation of a sub-category at the next level down, e.g. “trisomy 13”. Outcome measures  Level: Some systems may have a single “level” of causes and other systems may have several levels of causes, with the top level listing more general causes and each lower level listing sub-categories within a given general cause. For example, classifying the cause of a SB or NND in a system with multiple levels would mean that a set of causes, from most general (taken from the top level) to most specific (taken from the lowest level), would be selected, e.g. “congenital anomaly” from the top level and then more detail on that cause via assignation of a sub-category at the next level down, e.g. “trisomy 13”. Following are definitions of some terms used in this article:  System: Any approach to classifying causes of neonatal deaths and/or stillbirths that was described by authors of included papers as a “system” or “approach”, and/or that included a clearly delineated list of causes separated from the data.  Modified system: Any system that was created as a result of making changes to an existing system, where:  the system presented was described by the authors as a modification of an existing system, or 10 A global system must have clear guidelines for use and definitions for all terms used 1 Data collection and analysis  it was apparent that the system had been modified, despite the authors stating that the system was unchanged from its original form (e.g. different number of levels, number of categories at the top level, meaning of categories, etc.). Rules were developed to extract variables to measure the 17 characteristics using information available in pub- lished reports (see Table 1 for a summary of rules, and Additional file 2 for greater detail). Each system was assessed for alignment with individ- ual characteristics and categorized as either “aligned” or “not aligned”. Frequency of system alignment with indi- vidual characteristics was assessed. Overall system align- ment with the full set of 17 characteristics was assessed using two measures: a weighted and an unweighted score. The unweighted score for a system was calculated by adding the total number of characteristics with which a system was aligned. The weighted score was equal to the total of the weights for each characteris- tic with which the system was aligned, where the weights represented the percentage of experts who had voted to include that characteristic, as reported by Wojcieszek et al. ([7]). Thus, if all experts agreed to include a characteristic, its weight was 1, and if 80 % agreed, its weight was 0.80. The maximum pos- sible unweighted and weighted scores were 17 and 15.64, respectively.  New system: Any system that was created without modifying an existing system.  Used system: A system that was used for any purpose (e.g. clinical, research) other than purely developmental (e.g. testing for reliability).  Global system: Any system used to classify or estimate causes of stillbirths and neonatal deaths in all countries for which data is available.  National system: ∘used by a national government for annual reporting of causes for the majority (>50%) of SB and/or NND nationwide, or ∘used by any research group (e.g. the United States Agency for International Development, USAID, or the United Nations Children’s Fund, UNICEF) to classify causes of death Sensitivity to cut-offs for quantitative variables was assessed by reanalyzing system alignment at higher and lower cut-offs and comparing the resulting lists of most- aligned systems. Data collection and analysis Subgroup analyses were undertaken to explore dif- ferences in alignment according to: (i) type of death in- cluded (SB only, NND only, or both); (ii) systems that were widely vs less used (a widely used system was de- fined as any system used to classify 1000 or more deaths and/or used in two or more countries between 2009 and 2014; details presented in [3]); (iii) region of use accord- ing to World Bank country classification (HIC vs LMIC) (“weak” variables). For example, the variable recording the number of categories at the highest level of a system was judged to be particularly robust (“strong”) in meas- uring characteristic 7, which calls for systems to have a small number of main categories, as data extraction was straightforward. On the other hand, the variable record- ing whether a system was available in more than one language was judged to be less robust (“weak”) in measur- ing characteristic 14, since it was possible that we had missed systems in languages not commonly found in the databases searched for the systematic literature review. The maximum possible unweighted and weighted scores using “strong” variables only were 12 and 11, respectively. Data were entered into in Stata/IC 12.1 for analysis of frequency distributions. System developers who are co-authors were excluded from data extraction and analysis. Data collection and analysis Sensitivity analyses were also under- taken to determine the effect of excluding variables judged to measure a given characteristic less well ▪as reported by Demographic and Health Surveys (DHS) in at least one year, where DHS data is assumed to be nationally representative, or Leisher et al. BMC Pregnancy and Childbirth (2016) 16:269 Page 4 of 16 Table 1 Summary of how alignment was assessed Characteristics Weight Variables used to assess alignment Aligned if Judgment of variable as a measure of alignm Structural characteristics 1 A global system must use rules to ensure valid assignment of cause of death categories .98 Rules available? Yes Strong 2 A global system must be able to work with all levels of data (from both low-income and high-income countries), including minimal levels .98 Yes for all three variables Used in both HIC and LMIC? Strong Used with verbal autopsy? Strong Used in >1 LMIC? Weak 3 A global system must ensure cause of death categories are relevant in all settings .96 Used in both HIC and LMIC? Yes Weak 4 A global system must require associated factors to be recorded and clearly distinguished from causes of death .94 Yes for both variables below Associated factors included? Strong Distinguishes associated factors from causes? Strong 5 A global system must distinguish between antepartum and intrapartum conditions .90 Distinguishes IP from AP? Yes Strong 6 A global system should record the level of data available to assign the cause of death (e.g. verbal autopsy only, placental histology, autopsy, etc.) .86 Records type of data used? Yes Strong 7 A global system must have multiple levels of causes of death, with a small number of main categories .82 As below Number of causes ≤10 Strong Number of levels 2+ Strong 8 A global system must include a sufficiently comprehensive list of categories to result in a low proportion of deaths classified as “other” .80 % “other” Max <20 % Weak Functional characteristics 9 A global system must be easy to use, and produce data that are easily understood and valued by users 1 As below # deaths classified/# countries of use 500+ cases and/ or 2+ countries Weak Definitions available? Yes Weak Rules available? Yes Weak National? Yes Weak 10 A global system must have clear guidelines for use and definitions for all terms used 1 Yes for both variables below Definitions available? Strong Rules available? Data collection and analysis Strong Leisher et al. BMC Pregnancy and Childbirth (2016) 16:269 Page 5 of 16 Table 1 Summary of how alignment was assessed (Continued) Table 1 Summary of how alignment was assessed (Continued) 11 A global system must produce data that can be used to inform strategies to prevent perinatal deaths .96 As below IP vs AP? Yes Weak % “other” Max <20 % Weak National? Yes Weak 12 A global system must require neonatal deaths to be clearly distinguished from stillbirths .94 Yes for both variables below Distinguishes SB and NND? Strong Separate categories for SB and NND? Strong 13 A global system must have high inter- and intra-rater reliability .94 Reliability testing? Yes; min ≥0.60 Strong 14 A global system must be available in different formats including inexpensive ehealth and mhealth options, and in multiple languages .92 Yes for both variables below E-format? Strong >1 language? Weak 15 A global system must allow easy access to the data by the end-users .92 Accessible data? Yes Weak 16 A global system must incorporate both stillbirths and neonatal deaths .86 Both SB and NND? Yes Strong 17 A global system must require the single most important factor leading to the death to be recorded .86 As below Hierarchical? No or partially Weak Only 1 cause allowed? Yes Strong Includes FGR/IUGR/SGA? No Strong 11 A global system must produce data that can be used to inform strategies to prevent perinatal deaths .96 [8]; and (iv) type of characteristic (functional vs struc- tural). For the type of characteristic, mean unweighted scores for alignment of all systems with functional and structural characteristics were calculated (with max- imum possible scores of 9 and 8, respectively). (“weak” variables). For example, the variable recording the number of categories at the highest level of a system was judged to be particularly robust (“strong”) in meas- uring characteristic 7, which calls for systems to have a small number of main categories, as data extraction was straightforward. On the other hand, the variable record- ing whether a system was available in more than one language was judged to be less robust (“weak”) in measur- ing characteristic 14, since it was possible that we had missed systems in languages not commonly found in the databases searched for the systematic literature review. The maximum possible unweighted and weighted scores using “strong” variables only were 12 and 11, respectively. Overall alignment The range of unweighted scores for system alignment with the 17 expert-identified characteristics for an effective glo- bal system was 0 to 9 out of a maximum possible score of 17, meaning that none of the 81 systems was aligned with more than 9 of these characteristics (see Table 2). Most systems (82 %) were aligned with four or fewer character- istics. The range of weighted scores for system alignment with the characteristics was 0 to 7.94 out of a maximum Subgroup analyses were undertaken to explore dif- ferences in alignment according to: (i) type of death in- cluded (SB only, NND only, or both); (ii) systems that were widely vs less used (a widely used system was de- fined as any system used to classify 1000 or more deaths and/or used in two or more countries between 2009 and 2014; details presented in [3]); (iii) region of use accord- ing to World Bank country classification (HIC vs LMIC) Leisher et al. Overall alignment BMC Pregnancy and Childbirth (2016) 16:269 Page 6 of 16 Table 2 Weighted and unweighted scores measuring system alignment against expert-identified characteristics Score using all variables Score using “strong” variables only Unweighted Weighted Unweighted Weighted Maximum possible score 17 15.64 12 11.00 Froen 2009-Codac [9] 9 7.94 8 7.14 Korteweg 2006-Tulip [10] 7 6.20 6 5.40 Black 2010-CHERG [11] 6 5.50 3 2.82 Cole 1986 [12] 6 5.48 5 4.52 Flenady 2009-PSANZ-PDC [13] 6 5.50 5 4.54 Kotecha 2014-Wales [14] 6 5.42 4 3.70 Ujwala 2012 [15] 6 5.18 5 4.38 Chan 2004-PSANZ-NDC [23] 5 4.46 4 3.66 Kidanto 2009 [24] 5 4.38 5 4.38 Lawn 2006-CHERG [25] 5 4.72 4 3.82 Manning 2013-maternal & fetal-Ireland [26] 5 4.52 4 3.60 Pattinson 1989 [27] 5 4.58 4 3.78 Schmiegelow 2012 [28] 5 4.42 5 4.42 Varli 2008-Stockholm [29] 5 4.58 4 3.78 Wigglesworth 1980 [30] 5 4.46 3 2.70 Abdellatif 2013 [31] 4 3.34 3 2.54 CMACE 2010-maternal & fetal [32] 4 3.60 4 3.60 CMACE 2010-neonatal [32] 4 3.46 3 2.66 de Galan-Roosen 2002 [16] 4 3.48 4 3.48 Engmann 2012 [33] 4 3.46 3 2.66 Flenady 2009-PSANZ-NDC [13] 4 3.58 3 2.78 Gardosi 2014-MAINa 4 3.52 4 3.52 Gordijn 2009 [18] 4 3.68 4 3.68 Khanum 2009 [34] 4 3.42 3 2.62 Kidron 2009 [35] 4 3.78 4 3.78 McClure 2015 [42]b 4 3.74 5 4.60 Mo-Suwan 2009 [36] 4 3.52 4 3.52 MRC 2002-PPIP-South Africa [37] 4 3.52 3 2.72 National Services Scotland 2013-neonatal [38] 4 3.40 2 1.68 NIPORT 2005-Bangladesh [39] 4 3.70 2 1.98 Shah 2011 [40] 4 3.60 4 3.66 Van Diem 2010 [41] 4 3.46 3 2.66 VanderWielen 2011-WiSSP [42] 4 3.60 4 3.60 Wood 2012 [43] 4 3.44 4 3.44 Basys 2014-Lithuania [44] 3 2.58 3 2.58 Chan 2004-PSANZ-PDC [23] 3 2.84 3 2.84 CMACE 2011-maternal & fetal [45] 3 2.62 3 2.62 Cole 1989-ICE [46] 3 2.84 3 2.84 De Reu 2009-Tulip mod. Overall alignment [47] 3 2.52 2 1.72 Froen 2009-simplified Codac [9] 3 2.54 3 2.54 Gardosi 2005-ReCoDe [48] 3 2.76 2 1.80 inst expert-identified characteristics bles Score using “strong” variables only Weighted Unweighted Weighted 15.64 12 11.00 7.94 8 7.14 6.20 6 5.40 5.50 3 2.82 5.48 5 4.52 5.50 5 4.54 5.42 4 3.70 5.18 5 4.38 4.46 4 3.66 4.38 5 4.38 4.72 4 3.82 4.52 4 3.60 4.58 4 3.78 4.42 5 4.42 4.58 4 3.78 4.46 3 2.70 3.34 3 2.54 3.60 4 3.60 3.46 3 2.66 3.48 4 3.48 3.46 3 2.66 3.58 3 2.78 3.52 4 3.52 3.68 4 3.68 3.42 3 2.62 3.78 4 3.78 3.74 5 4.60 3.52 4 3.52 3.52 3 2.72 3.40 2 1.68 3.70 2 1.98 3.60 4 3.66 3.46 3 2.66 3.60 4 3.60 3.44 4 3.44 2.58 3 2.58 2.84 3 2.84 2.62 3 2.62 2.84 3 2.84 2.52 2 1.72 2.54 3 2.54 2.76 2 1.80 2.52 2 1.72 Leisher et al. BMC Pregnancy and Childbirth (2016) 16:269 Page 7 of 16 Table 2 Weighted and unweighted scores measuring system alignment against expert-identified characteristics (Continued) Hey 1986 [50] 3 2.84 4 3.70 Hinderaker 2003 [51] 3 2.52 2 1.72 Manandhar 2010 [52] 3 2.70 4 3.56 National Services Scotland 2013-obstetric [38] 3 2.64 2 1.72 Nausheen 2013 [53] 3 2.88 4 3.74 Nga 2012 [54] 3 2.60 3 2.66 SCRN WG 2011 [55] 3 2.70 3 2.70 Simpson 2010 [56] 3 2.48 2 1.68 Abha 2011 [57] 2 1.68 2 1.68 Aggarwal 2011 [58] 2 1.78 1 0.98 Aggarwal 2013 [59] 2 1.74 1 0.94 Black-2010-CHERGc [11] 2 1.68 2 1.68 De Reu 2009-Cole mod. [47] 2 1.66 2 1.72 De Reu 2009-Wigglesworth mod. [47] 2 1.66 2 1.72 Dias e Silva 2013 [60] 2 1.68 2 1.68 Dudley 2010-INCODE [61] 2 1.80 3 2.72 Hey 1986-short form [50] 2 1.66 2 1.72 Khanal 2011 [62] 2 1.66 1 0.86 Lawn 2009-consistent classification for causes of stillbirth [63] 2 1.88 2 1.88 Lawn 2010 [36] 2 1.82 1 0.86 Lawn 2012 [64] 2 1.82 1 0.86 National Services Scotland 2013-FIGO [38] 2 1.72 2 1.72 Olamijulo 2011 [65] 2 1.72 2 1.72 Seaton 2012 [66] 2 1.66 1 0.86 Serena 2013-Wigglesworth mod. erence given, but originates from [81] we use the family name Jehan to refer to this system Overall alignment [67] 2 1.66 1 0.86 Winbo 1998-NICE [68] 2 1.66 2 1.72 Winter 2013-Rwanda [69] 2 1.66 1 0.86 Cunninghamd 1997 [70] 1 0.82 1 0.82 Freitas 2012 [71] 1 0.86 1 0.86 Gupta 2012-Bhutan [72] 1 0.80 0 0.00 Hama Diallo 2012 [73] 1 0.82 1 0.82 Jehan 2009e [74] 1 0.80 0 0.00 Kruse 2014 [75] 1 0.80 1 0.86 Nabeel 2012 [76] 1 0.82 2 1.68 Public Health Agency of Canada 2008 [77] 1 0.86 1 0.86 Rocha 2011 78 1 0.82 1 0.82 Smith 2010 [79] 1 0.80 1 0.86 Serena 2013-ReCoDe mod. [67] 0 0.00 0 0.00 Wou 2014 [80] 0 0.00 0 0.00 aPersonal communications, O. Tuncalp to V. Flenady, 7/21/2014 and 7/23/2014 bSystem was included via expert referral in 2014 and this paper was selected as the citation after its publication in 2015 cTwo modifications of CHERG in Black 2010; this is found in his Webappendix 2 dSystem is described in the reference given, but originates from [81] ePubMed citation is for Imtiaz; we use the family name Jehan to refer to this system d and unweighted scores measuring system alignment against expert-identified characteristics (Continued) Serena 2013-ReCoDe mod. [67] Wou 2014 [80] Leisher et al. BMC Pregnancy and Childbirth (2016) 16:269 Page 8 of 16 Table 3 System alignment with expert-identified characteristics for an effective global classification system for causes of stillbirth and neonatal death Characteristics % consensus % systems in alignment with each characteristic All (81) Widely useda (27) Less used (54) Used in HIC only (36) Used in LMIC only (32) SB-only systems (15) NND-only systems (26) Combined systems (N and SB) (4 Structural 1 A global system must use rules to ensure valid assignment of cause of death categories. 98 % 41 % 52 % 35 % 44 % 28 % 53 % 35 % 40 % 2 A global system must be able to work with all levels of data (from both low-income and high-income countries), including minimal levels. 98 % 3 % 7 % 0 % 0 % 0 % 0 % 8 % 0 % 3 A global system must ensure cause of death categories are relevant in all settings. 96 % 10 % 30 % 0 % 0 % 0 % 7 % 15 % 8 % 4 A global system must require associated factors to be recorded and clearly distinguished from causes of death. Overall alignment 94 % 14 % 19 % 11 % 17 % 13 % 7 % 8 % 20 % 5 A global system must distinguish between antepartum and intrapartum conditions. 90 % 20 % 19 % 20 % 22 % 16 % 20 % 0 % 33 % 6 A global system should record the level of data available to assign the cause of death (e.g. verbal autopsy only, placental histology, autopsy, etc.). 86 % 9 % 19 % 4 % 19 % 0 % 7 % 4 % 13 % 7 A global system must have multiple levels of causes of death, with a small number of main categories. 82 % 40 % 33 % 43 % 33 % 44 % 33 % 42 % 40 % 8 A global system must include a sufficiently comprehensive list of categories to result in a low proportion of deaths classified as “other”. 80 % 48 % 52 % 46 % 53 % 53 % 27 % 65 % 45 % Functional 9 A global system must be easy to use, and produce data that are easily understood and valued by users. 100 % 0 % 0 % 0 % 0 % 0 % 0 % 0 % 0 % 10 A global system must have clear guidelines for use and definitions for all terms used. 100 % 17 % 15 % 19 % 17 % 16 % 20 % 19 % 15 % 11 A global system must produce data that can be used to inform strategies to prevent perinatal deaths 96 % 0 % 0 % 0 % 0 % 0 % 0 % 0 % 0 % Table 3 System alignment with expert-identified characteristics for an effective global classification system for causes of stillbirth Table 3 System alignment with expert-identified characteristics for an effective global classification system for causes of stillbirth Leisher et al. BMC Pregnancy and Childbirth (2016) 16:269 Page 9 of 16 Table 3 System alignment with expert-identified characteristics for an effective global classification system for causes of stillbirth and neonatal death (Continued) 12 A global system must require neonatal deaths to be clearly distinguished from stillbirths. 94 % 5 % 7 % 4 % 0 % 9 % 0 % 0 % 10 % 13 A global system must have high inter- and intra-rater reliability. Overall alignment 94 % 7 % 11 % 6 % 8 % 6 % 7 % 0 % 13 % 14 A global system must be available in different formats including inexpensive ehealth and mhealth options, and in multiple languages. 92 % 0 % 0 % 0 % 0 % 0 % 0 % 0 % 0 % 15 A global system must allow easy access to the data by the end-users. 92 % 10 % 11 % 9 % 14 % 6 % 0 % 12 % 13 % 16 A global system must incorporate both stillbirths and neonatal deaths. 86 % 49 % 48 % 50 % 56 % 44 % 0 % 0 % 100 % 17 A global system must require the single most important factor leading to the death to be recorded. 86 % 47 % 52 % 44 % 50 % 41 % 33 % 50 % 50 % a“Widely used”: systems used in more than one country and/or to classify 1000 or more deaths Table 3 System alignment with expert-identified characteristics for an effective global classification system for causes of stillbirth and neonatal death (Continued) a“Widely used”: systems used in more than one country and/or to classify 1000 or more deaths a“Widely used”: systems used in more than one country and/or to classify 1000 or more deaths Five systems were next most aligned with the 17 expert- identified characteristics, according to both unweighted and weighted scores. These were Black 2010-CHERG [11], Cole 1986 [12], Flenady 2009-PSANZ-PDC [13], Kotecha 2014- Wales [14], and Ujwala 2012 [15]. All were aligned with 6 out of the 17 characteristics (i.e., an unweighted score of 6); they had weighted scores of 5.50, 5.48, 5.50, 5.42, and 5.18, respectively. possible score of 15.64; by this measure, systems were aligned with 19 % of characteristics on average (equivalent to an average weighted score of 2.82). The most aligned of the 81 systems was Frøen 2009- Codac [9], with an unweighted score of 9 and a weighted score of 7.94. The next most aligned system was Korteweg 2006-Tulip [10], with an unweighted score of 7 and a weighted score of 6.20. Fig. 1 Percent of systems aligned with expert-identified characteristics for an effective global system. Note: Numbers in front of characteristics refer to sequence of characteristics in Table 1 Fig. 1 Percent of systems aligned with expert-identified characteristics for an effective global system. Characteristics with greatest and least alignment g g System alignment with individual characteristics ranged from 0 to 49 % (see Table 3 and Fig. 1 for details). There were only five characteristics with which systems were highly aligned (i.e., 40 % or more systems aligned): (1) forty systems (49 %) were aligned with the requirement to incorporate both stillbirths and neonatal deaths, with LMIC-only systems somewhat less aligned than HIC- only systems (44 % v 56 %); (ii) just under half the systems were aligned with the requirement to produce a low proportion of deaths classified as “other”, with alignment particularly high for the NND-only systems as compared to the SB-only systems (65 % v 27 %); (iii) also just under half the systems were aligned with the re- quirement to record the single most important factor leading to death, with alignment of SB-only systems somewhat lower than for NND-only systems (33 % v 50 %); (iv) thirty-three systems (41 %) were aligned with the requirement to use rules for valid assignment of cause of death, a feature that was more common among widely used than less used systems (52 % v 35 %), HIC-only than LMIC-only systems (44 % v 28 %), and SB-only than NND-only systems (53 % v 35 %); and (v) thirty-two systems (40 %) were aligned with the re- quirement to have multiple levels and a small number of causes at the top level. Alignment with the eight structural characteristics was generally similar for SB-only, NND-only and combined (SB and NND) systems, but different for the nine functional characteristics, with the 15 SB-only systems having an average unweighted score of just 0.60 (meaning they were aligned with just 0.60 of these characteristics on average) and the 26 NND-only systems aligned with just 0.81, whereas the 40 combined systems were aligned with 2.00 of these characteristics on average. g Alignment with individual characteristics also varied somewhat according to type of death classified. Other than characteristics requiring certain types of deaths to be included (e.g. the one requiring intrapartum and antepartm SB to be distinguished), alignment varied most strongly for the characteristic which requires sys- tems to have a low proportion of deaths classified as “other”: four out of the 15 SB-only systems, or 27 %, and 17 out of the 26 NND-only systems, or 65 %, were aligned. Alignment according to type of death classified g g yp Alignment according to type of death classified (SB only, NND only, or both) was broadly similar to overall align- ment (see Table 3). The 26 NND-only systems had an average unweighted score of 2.58, meaning they were aligned with an average of 15 % of the 17 characteristics; the 15 SB-only systems were aligned with 13 % of the 17 characteristics on average, and the 40 combined systems with 23 % (data not shown). Overall alignment Note: Numbers in front of characteristics refer to sequence of characteristics in Table 1 Fig. 1 Percent of systems aligned with expert-identified characteristics for an effective global system. Note: Numbers in front of characteristics refer to sequence of characteristics in Table 1 Page 10 of 16 Leisher et al. BMC Pregnancy and Childbirth (2016) 16:269 Page 10 of 16 Leisher et al. BMC Pregnancy and Childbirth (2016) 16:269 This group of seven most aligned systems included one global system and two national systems (used in Australia, New Zealand, and Wales). All but one (Black 2010-CHERG) were used for classifying both SB and NND. All but one (Cole 1986) were developed from 2006 onward. All but Kotecha 2014-Wales and Ujwala 2012 were “widely used” by our definition. HIC settings; and (vii) no systems were aligned with the requirements that systems produce data that can be used to inform strategies to prevent death, be easy to use and produce easily understood data, and be accessible (available online and in multiple languages). Characteristics with greatest and least alignment Systems including both types of death were more aligned with the requirement to include associated factors (20 %, v 7 % for SB-only systems and 8 % for NND-only systems). NND-only systems were least aligned with the requirement to use rules for assigning cause of death (35 %, v 40 % for combined systems and 53 % for SB-only systems), while NND-only and com- bined systems were both more aligned with the require- ment to record the single most important factor leading to death—50 %, as opposed to 33 % for SB-only systems. p Alignment was 10 % or lower for nine characteristics: (i) just eight of the 81 systems (10 %) were aligned with the requirement that systems use categories that are “relevant in all settings” (the exact characteristic is “A global system must ensure cause of death categories are relevant in all settings”), including 8 of the 27 widely used systems (30 %) and 4 of the 26 NND-only systems (15 %); (ii) eight systems were aligned with the require- ment to allow end-users easy access to the data, includ- ing five of the 36 HIC-only systems and three of the 26 NND-only systems; (iii) seven systems (9 %) were aligned with the requirement to record the type of data used to assign cause of death, including seven of the 36 systems used only in HIC (19 %); (iv) six systems (7 %) were aligned with the requirement that systems have high reliability, including five of the 40 systems classifying both SB and NND; (v) four systems (5 %) were aligned with the requirement that systems distinguish NND from SB; (vi) two systems were aligned with the requirement that systems be able to work with data from LMIC as well as Alignment of widely used systems Alignment of widely used systems The 27 widely used systems were somewhat more aligned than the 54 less used systems with all 17 charac- teristics, with an average unweighted score of 3.74 (aligned with an average of 22 % of the characteristics) as compared to 2.91 (aligned with an average of 17 %). Widely used systems were also more aligned with the eight structural characteristics than less used systems, with an average unweighted score of 2.30 as compared Leisher et al. BMC Pregnancy and Childbirth (2016) 16:269 Page 11 of 16 assessed (see Table 1 for list of characteristics and Additional file 3 for details). assessed (see Table 1 for list of characteristics and Additional file 3 for details). to 1.59; the main differences related to characteristics re- quiring rules for use, globally relevant categories, and re- cording of the type of data used to assign cause of death. Widely and less used systems were similar in terms of alignment with the nine functional characteristics. Alignment by type of characteristic On average, systems had a mean unweighted score of 1.83 for alignment with the eight characteristics asses- sing systems’ structure (equivalent to alignment with 23 % of these characteristics) and 1.36 of the nine char- acteristics assessing systems’ functioning (equivalent to alignment with 15 % of these characteristics). Alignment by region of use g y g Systems used only in HIC and only in LMIC had gener- ally similar alignment with the 17 characteristics (with average unweighted scores of 3.33 and 2.75, representing 20 % and 16 % of the maximum possible score, respect- ively). Alignment was also similar for structural and functional characteristics considered separately, though HIC-only systems were slightly more aligned within each group: HIC-only systems were aligned with 24 % of the eight structural characteristics and 16 % of the nine func- tional characteristics; the figures for LMIC-only systems were 19 % and 14 %, respectively. Systems used only in HIC were more aligned with the characteristics requiring systems to use rules to assign cause of death and to record the type of data used to assign cause of death. Several researchers have previously assessed classifica- tion systems against various characteristics for an effect- ive system. De Galan-Roosen 2002 assessed 12 systems, including four included in our study (the Wigglesworth 1980, Cole 1986, Hey 1986, and de Galan-Roosen 2002 itself), against seven characteristics, four of which are similar to our expert-identified characteristics (reliability, explanation of underlying cause, inclusion of both SB and NND, and the percent of “unclassifiable” deaths) [16]. Flenady 2009 assessed six systems, five of which are included in our study (Cole 1986, Flenady 2009-PSANZ- PDC, Gardosi 2005-ReCoDe, Korteweg 2006-Tulip and Frøen 2009-Codac) against three characteristics, two of which are included among our expert-identified charac- teristics (ease of use and reliability) [82]. Frøen 2009 assessed 11 systems, at least six of which were included in our study (versions of Aberdeen and Pattinson were also included but the version is unknown), against seven characteristics, four of which are included among our expert-identified characteristics (number of categories per level, whether underlying cause is identified, what type of data are required for use, and reliability) [17]. The previous most comprehensive review we are aware of, Gordijn, assessed 35 systems, of which we have in- cluded 12, against six characteristics, only one of which is included among the expert characteristics (number of causes per level) [18]. Discussion This study is the first to apply characteristics for an ef- fective global classification system, as identified by an external panel of experts, to a set of classification sys- tems for causes of SB and NND that were identified through a comprehensive, systematic literature review without language limits, and which included modifica- tions as well as new systems. We found that classifica- tion systems for causes of stillbirth and neonatal death were overall poorly aligned with expert-identified char- acteristics; no system was aligned with more than 9 of 17 characteristics. This lack of alignment of current sys- tems with the characteristics of an “ideal” classification system for causes of perinatal death may contribute to the ongoing development of new and modified systems at the rate of ten a year for the previous five years, pos- sibly hindering the potential for widespread acceptance of one classification system. Sensitivity analysis Gordijn stated that “each system [reviewed] has its own strengths and weaknesses”, and proposed combining existing systems to capitalize on their strengths so as to produce a new approach that would be well-aligned with key character- istics for an effective system. that is fully aligned with expert-identified characteristics for an effective global solution, notably including align- ment with characteristics calling for the ability to work with all levels of data, from both HIC and LMIC set- tings, “ease of use”, and the production of data that “can be used to inform strategies to prevent perinatal death”. It might be expected that a globally effective system would be aligned with the characteristics we found to have highest alignment among identified systems—hence, that it would provide rules for use, have multiple levels and a small number of categories at the top level, produce no more than 20 % of deaths classified as “other”, include both SB and NND, and record the single most important factor leading to death. Such a system would stand out from existing systems for also being aligned with the char- acteristics we found to have lowest alignment overall, in particular, the three characteristics absent from all systems (that systems should be easy to use and produce easily understandable data, produce data that can be used to in- form strategies to prevent perinatal death, and be available in ehealth and mhealth options and in multiple lan- guages). Having these features would strongly distinguish any new system from the rest. A major difference between this study and prior re- views was our approach of assessing overall alignment of a comprehensively identified set of systems using a weighted scoring system against characteristics devel- oped transparently by an external panel of experts. Des- pite this difference, we also identified Frøen 2009-Codac as the most aligned with expert characteristics for an effective global system, according to both unweighted and weighted scoring and regardless of whether we in- cluded only “strong” variables in the assessment or not. Four other systems were also consistently identified as among the most-aligned regardless of the scoring ap- proach: Korteweg 2006-Tulip, which was consistently the second-most-aligned system, and Flenady 2009- PSANZ-PDC, Cole 1986, and Ujwala 2012. These results are similar to the findings of the Flenady and Frøen re- views [17, 82]. Sensitivity analysis Development of a globally effective system may also benefit from reference to systems that we identified as more aligned, despite their low alignment ratings overall. For instance, Frøen 2009-Codac was alone among the more aligned systems in providing a link for users to ac- cess data that are produced by the system. There are seven other systems we found which provide this access, one global and all the rest national systems. It may also be of interest to examine the characteristics of the national systems we found that are more aligned. In addition to being used nationally, these two systems (Kotecha 2014-Wales and Flenady 2009-PSANZ-PDC) were both aligned with two characteristics: they provided rules for use, and they included both SB and NND. A globally effective system might therefore stand apart from the large number of existing systems if it also bore these characteristics. The concordance of these reviews may indicate under- lying strengths of these systems, but must also be regarded in light of our finding of poor alignment even among the most aligned systems. We therefore suggest that rather than “best” systems, we have instead identi- fied the most-aligned of a group that still lacks some essential features needed for effective global use. For in- stance, Frøen 2009-Codac, which we found to be the most-aligned system, and which was recently adopted by the UK for use in its national perinatal mortality surveil- lance, has shown a high proportion of stillbirths classi- fied with “unknown” as the primary cause of death (47 % and 46 % from the first two annual reports in 2013 and 2014, respectively) [20, 21]. This high rate of “unknown” stillbirths using Codac in a high-income country has oc- curred despite education and training for the designated hospital-based staff who submit the data. However, dis- aggregation of the data (as the “unknown” category in Codac includes subcategories of both “unexplained” deaths despite thorough investigation, and “unknown” deaths with insufficient investigation or documentation) could help indicate the need for improved investigation of stillbirths as well as areas in need of strengthening within the system itself. Sensitivity analysis The results of sensitivity analyses (see Methods and Additional file 3 for details) show that Frøen 2009- Codac remained the most-aligned system even when restricting the alignment assessment to only the “strong” variables, with an unweighted score of 8 out of a max- imum possible score of 12 (meaning that it was aligned with 67 % of characteristics measured by “strong” vari- ables), and a weighted score of 7.14 out of a maximum possible 11 (aligned with 65 % of characteristics measured by “strong” variables when weighting was applied). Simi- larly, Korteweg 2006-Tulip remained the second-most- aligned system even with the restricted analysis, with an unweighted score of 6 and a weighted score of 5.40. g g Three other systems were also among the highest scor- ing independently of whether weaker variables were in- cluded or not: Cole 1986, Flenady 2009-PSANZ-PDC, and Ujwala 2012, with unweighted scores using only “strong” variables of 5 for each of these systems, and weighted scores of 4.52, 4.54, and 4.38, respectively. Results of sensitivity testing for different cut-offs for quantitative variables used to assess alignment with characteristics 7, 8 and 13 showed that the number of aligned systems was not very sensitive to the cut-offs Three other systems were also among the highest scor- ing independently of whether weaker variables were in- cluded or not: Cole 1986, Flenady 2009-PSANZ-PDC, and Ujwala 2012, with unweighted scores using only “strong” variables of 5 for each of these systems, and weighted scores of 4.52, 4.54, and 4.38, respectively. De Galan [16] found that their own system was most in alignment with the characteristics they considered, followed by the Hovatta system [19]; Flenady 2009 found that Frøen 2009-Codac, Flenady 2009-PSANZ-PDC and Gardosi 2005-ReCoDe performed best overall; and Frøen 2009 found that Flenady 2009-PSANZ-PDC and Frøen Results of sensitivity testing for different cut-offs for quantitative variables used to assess alignment with characteristics 7, 8 and 13 showed that the number of aligned systems was not very sensitive to the cut-offs Page 12 of 16 Page 12 of 16 Page 12 of 16 Leisher et al. BMC Pregnancy and Childbirth (2016) 16:269 2009-Codac were most in compliance with the charac- teristics reviewed, while Korteweg 2006-Tulip would require only modest modification (a new category for intrapartum) to become compliant. Leisher et al. BMC Pregnancy and Childbirth (2016) 16:269 The percent agree- ment (shown in Table 1 as the weights for each cha- racteristic) could be taken as a rough proxy for rank. The differences between characteristics are necessarily not very pronounced, since all had at least 80 % agreement. Yet still, some were less strongly supported than others. There are six characteristics with 96 % agreement or more, which could be a starting point for lower-resourced settings: The number of deaths classified by national systems may have been underestimated due to retaining only the most recent paper between 2009 and 2014 that described a national system. This would have affected the assess- ment of alignment with the characteristic requiring sys- tems to be easy to use and produce easily understandable data, as this relied in part on the number of deaths classi- fied. However, this is unlikely to have affected overall re- sults, as four other variables were also incorporated into the assessment of alignment for this characteristic (which was found to be 0 % for all systems). The list of expert-identified characteristics did not include two characteristics relevant to the ICD-PM, namely whether ICD codes were used and whether both a maternal and a fetal/neonatal condition are required [22]. Both these characteristics were considered by the expert panel but ultimately did not receive 80 % or greater consensus [7]. However, the characteristic requiring systems to record associated factors and distinguish them clearly from causes of death may overlap with the concept of inclusion of both maternal and fetal/neonatal conditions. Data on this charac- teristic and the use of ICD codes are described in Leisher et al. 2016 in this series [3].  A global system must be easy to use, and produce data that are easily understood and valued by users (agreed by 100 % of panellists) “Hierarchy”, meaning a set of rules forcing causes to be selected or rejected in a pre-determined order, was not in- cluded among the expert-identified characteristics. This is a common feature of systems (nearly one-third of systems we assessed were at least partially hierarchical), and is meant to assist in consistent assignment of cause of death when multiple conditions are present. However, along with two other variables, the “hierarchical” variable was used to assess alignment with the characteristic requiring the single most important factor leading to death to be recorded, with a value of “not hierarchical” or “partially hierarchical” indicating alignment. Leisher et al. BMC Pregnancy and Childbirth (2016) 16:269 Leisher et al. BMC Pregnancy and Childbirth (2016) 16:269 Page 13 of 16 This study had some limitations. There was not a one-to- one correspondence between characteristics and the vari- ables meant to measure these characteristics, and we relied on information available in published reports, which often lacked the detail required to measure characteristics pre- cisely. This, along with the inherently more subjective nature of some characteristics (for instance, the characteristic re- quiring systems to produce data “that can be used to inform strategies to prevent perinatal deaths”), meant that some characteristics were found to be measured less accurately (designated as “weak” variables in Additional file 2) than others. However, the sensitivity analysis which excluded all “weak” variables from the assessment of alignment produced a similar list of most-aligned systems, indicating the method- ology was not particularly sensitive to variables’ “strength”. slightly higher alignment of systems used only in HIC as compared to only in LMIC could point to a need for particularly careful implementation of a system intended to be globally effective, in order to identify and address any differences in functioning, acceptance, access, or in- terpretation across settings. Given the finding of overall lower alignment with func- tional as compared to structural characteristics, attention should also be paid to ensuring a new system exhibits some of the key functional characteristics, including reli- ability (systems scored low on this more due to the lack of any reliability testing than to low Kappa scores) and acces- sibility (systems scored low on this due to lack of avail- ability online and in multiple languages). Another approach that may be of use to policy makers and public health officials in low-resource settings seeking to apply the results of this research would be to prioritize the characteristics and work toward alignment of their classification systems to the higher-priority ones first. Dur- ing the process of identifying characteristics [7], panellists were not asked to rank them, rather, to indicate their level of agreement that a given characteristic was important for a globally effective system. Hence, each characteristic was judged on its own merit, not in conjunction with other characteristics. With an agreed cut-off of 80 % of more panellists stating “agree” or “strongly agree” with the char- acteristic’s importance for a globally effective system, 17 characteristics were ultimately selected. Sensitivity analysis That combined systems (those incorporating both SB and NND) were somewhat more aligned than SB-only and NND-only systems may be a reflection of the weight placed upon this feature within the assessment me- thodology, with two characteristics dependent upon it (requiring SB to be distinguished from NND, and requir- ing inclusion of both types of death). An effective global system must incorporate both SB and NND. Given the somewhat greater alignment of the 27 widely used sys- tems, it may also be of interest to note key features of these, which included identification of the single most important factor leading to death, greater availability of rules for use, definitions for some or all causes of death, and allowing associated factors to be recorded [3]. The This example highlights the fact that while education and training for system implementation are necessary, they may not be sufficient to classify causes of perinatal death adequately. There remains a need for a system Leisher et al. BMC Pregnancy and Childbirth (2016) 16:269 Received: 2 October 2015 Accepted: 11 August 2016 Received: 2 October 2015 Accepted: 11 August 2016 Received: 2 October 2015 Accepted: 11 August 2016 Leisher et al. BMC Pregnancy and Childbirth (2016) 16:269 In recognition of the fact that there was no consensus on whether a globally effective system should be hierarchical [7], this variable was judged to be “weak”, and hence excluded in the sensitivity analysis.  A global system must have clear guidelines for use and definitions for all terms used (agreed by 100 % of panellists)  A global system must use rules to ensure valid assignment of cause of death categories (agreed by 98 % of panellists)  A global system must be able to work with all levels of data (from both low-income and high-income countries), including minimal levels (agreed by 98 % of panellists)  A global system must ensure cause of death categories are relevant in all settings (agreed by 96 % of panellists) g g y  A global system must produce data that can be used to inform strategies to prevent perinatal deaths (agreed by 96 % of panellists) g (agreed by 96 % of panellists) Page 14 of 16 Leisher et al. BMC Pregnancy and Childbirth (2016) 16:269 Leisher et al. BMC Pregnancy and Childbirth (2016) 16:269 Page 14 of 16 Funding h 6. Allanson ER, Tunçalp Ö, Gardosi J, Pattinson RC, Francis A, Vogel JP, et al. The WHO application of ICD-10 to deaths during the perinatal period (ICD-PM): results from pilot database testing in South Africa and United Kingdom. BJOG. 2016. doi:10.1111/1471-0528.14244. The Mater Research Institute of the University of Queensland, Australia, provided partial funding for VF, HR, AW, TZ, and SHL to undertake this study. There was no other source of funding for this study. 7. Wojcieszek AM, Reinebrant HE, Leisher SH, Teoh Z, Frøen JF, Tunçalp O, et al. Characteristics of a global classification system for perinatal deaths: A Delphi consensus study. Ending Preventable Stillbirths Supplement. BMC Pregnancy Childbirth. 2016. in press. doi:10.1186/s12884-016-0993-x. 8. World Bank. http://data.worldbank.org/about/country-and-lending- Competing interests Despite the large number of classification systems recently used and/or developed (81), there remains an unmet need for a system that is aligned with expert-identified character- istics. To increase acceptance by potential users, ease of use and accessibility will be important, including availability online and in multiple languages, provision of links to data produced by the system, and education and training for potential users. A system including these features would have the potential to become the first truly globally effect- ive classification system, making a critical contribution to the efforts of researchers, practitioners and policy makers in all countries to prevent the tragic loss of life—5.3 million stillbirths and neonatal deaths every year. SHL, TZ, HR and AW have nothing to declare. The remaining authors have been involved in the development or evaluation of existing perinatal death classification systems. Author details 1 1Mater Research Institute, The University of Queensland (MRI-UQ), Brisbane, Australia. 2International Stillbirth Alliance, Millburn, USA. 3Department of Reproductive Health and Research including UNDP/UNFPA/UNICEF/WHO/ World Bank Special Programme of Research, Development and Research Training in Human Reproduction (HRP), World Health Organization, Geneva, Switzerland. 4School of Women’s and Infants’ Health, Faculty of Medicine, Dentistry and Health Sciences, University of Western Australia, Perth, Australia. 5London School of Hygiene & Tropical Medicine, London, UK. 6University Medical Center Groningen, The University of Groningen, Groningen, The Netherlands. 7Department of International Public Health, Norwegian Institute of Public Health, Oslo, Norway. 8Center for Intervention Science for Maternal and Child Health, University of Bergen, Bergen, Norway. 9Perinatal Institute, Birmingham, UK. 10Maternal and Fetal Health Research Centre, University of Manchester, Manchester, UK. 11St. Mary’s Hospital, Central Manchester University Hospitals NHS Foundation Trust, Manchester Academic Health Science Centre, Manchester, UK. 12Department of Obstetrics and Gynaecology, Martini Hospital, Groningen, The Netherlands. 13Research Triangle Institute, North Carolina, USA. 14South Africa Medical Research Council Maternal and Infant Health Care Strategies Unit, University of Pretoria, Pretoria, South Africa. 15NIHR Biomedical Research Centre & Department of Obstetrics & Gynaecology, Cambridge University, Cambridge, UK. References 1. You D, Hug L, Ejdemyr S, Beise J, on behalf of the United Nations Inter-agency Group for Child Mortality Estimation (UN IGME). Levels and Trends in Child Mortality Report 2015. New York: United Nations Children’s Fund; 2015. 2. Lawn JE, Blencowe H, Waiswa P, Amouzou A, Mathers C, Hogan D, et al. Stillbirths: rates, risk factors, and acceleration towards 2030. Lancet. 2016;387(10018):587–603. doi:10.1016/S0140-6736(15)00837-5. 3. Leisher SH, Zheyi T, Reinebrant H, Wojcieszek AM, Korteweg F, Blencowe H, et al. Seeking order amidst chaos: A systematic review of classification systems for causes of stillbirth and neonatal death, 2009–2014. Ending Preventable Stillbirths Supplement. [in press at BMC Pregnancy Childbirth]. 2016. 3. Leisher SH, Zheyi T, Reinebrant H, Wojcieszek AM, Korteweg F, Blencowe H, et al. Seeking order amidst chaos: A systematic review of classification systems for causes of stillbirth and neonatal death, 2009–2014. Ending Preventable Stillbirths Supplement. [in press at BMC Pregnancy Childbirth]. 2016. Availability of data and materials Please visit: http://research.mater.org.au/getdoc/75129bba-ca95-4481-a815- b143f12ec494/stillbirth-research. Acknowledgements This project was initially undertaken as part of the Harmonized Reproductive Health Registries project through the Norwegian Institute of Public Health in partnership with the Mater Research Institute, Brisbane, Australia, and in collaboration with the Department of Reproductive Health and Research, WHO. Gratitude to Craig D Leisher for support and Wilder D Leisher for inspiration. 4. Flenady V. Epidemiology of fetal and neonatal death. In: Khong TY, Malcomson RDG, editors. Keeling’s Fetal and Neonatal Pathology (in press). 1st ed. 2015. 4. Flenady V. Epidemiology of fetal and neonatal death. In: Khong TY, Malcomson RDG, editors. Keeling’s Fetal and Neonatal Pathology (in press). 1st ed. 2015. 5. Lawn JE, Blencowe H, Pattinson R, Cousens S, Rajesh K, Ibiebele I, et al. Stillbirths: where? When? Why? How to make the data count? Lancet. 2011;377(9775):1448–63. Additional files Additional file 1: 81 included systems and selected features. (DOCX 122 kb) Additional file 2: Variables used to assess system alignment with expert-identified characteristics for an effective global classification system for causes of stillbirth and neonatal death. (DOCX 57.8 kb) Additional file 3: Sensitivity analyses. (DOCX 46.3 kb) Additional file 1: 81 included systems and selected features. (DOCX 122 kb) Additional file 2: Variables used to assess system alignment with expert-identified characteristics for an effective global classification system for causes of stillbirth and neonatal death. (DOCX 57.8 kb) Additional file 3: Sensitivity analyses. (DOCX 46.3 kb) Consent for publication Not applicable, as no individual person’s data has been reported in this paper. Ethics approval and consent to participate Not applicable, as no individual person’s data has been reported in this paper. Abbreviations AP A AP: Antepartum; CHERG: Child health epidemiology reference group; CMACE: Centre for maternal and child enquiries; Codac: Causes of death and associated conditions; DHS: Demographic and health surveys; FGR: Fetal growth restriction; FIGO: International federation of gynaecology and obstetrics; HIC: High-income countries; ICD: International classification of diseases; ICD-PM: International classification of diseases for perinatal mortality; ICE: International collaborative effort; INCODE: Initial causes of fetal death; IP: Intrapartum; IUGR: Intrauterine growth restriction; LMIC: Low- and middle-income countries; MAIN: The maternal, antenatal, intrapartum & neonatal classification system for perinatal deaths; MRC: Medical research council; NICE: Neonatal and intrauterine death classification according to etiology; NIPORT: National institute of population research and training; NND: Neonatal death; PPIP: Perinatal problem identification programme; PSANZ-NDC: Perinatal Society of Australia and New Zealand Neonatal Death Classification; PSANZ-PDC: Perinatal Society of Australia and New Zealand Perinatal Death Classification; ReCoDe: Relevant condition at death; SB: Stillbirth; SCRN WG: The stillbirth collaborative research network working group; SGA: Small for gestational age; WHO: World Health Organization; WiSSP: Wisconsin stillbirth service program Leisher et al. 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All authors (SHL, ZT, HR, EA, HB, JJE, JFF, JG, SG, AMG, AEPH, FK, JL, EMM, RP, GCSS, ӦT, AMW, VF) read and approved the final manuscript. VF conceptualized the study; SHL designed the study with VF; SHL carried out data extraction and analysis; SHL coordinated all aspects of the study and drafted the paper with VF; VF and AW reviewed drafts of the manuscript. All authors (SHL, ZT, HR, EA, HB, JJE, JFF, JG, SG, AMG, AEPH, FK, JL, EMM, RP, GCSS, ӦT, AMW, VF) read and approved the final manuscript. 9. Froen JF, Pinar H, Flenady V, Bahrin S, Charles A, Chauke L, et al. Causes of death and associated conditions (Codac) - a utilitarian approach to the classification of perinatal deaths. BMC Pregnancy Childbirth. 2009;9(22). doi:10.1186/1471-2393-9-22. Page 15 of 16 Page 15 of 16 Leisher et al. BMC Pregnancy and Childbirth (2016) 16:269 Leisher et al. BMC Pregnancy and Childbirth (2016) 16:269 Leisher et al. BMC Pregnancy and Childbirth (2016) 16:269 58. Aggarwal AK, Jain V, Kumar R. 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Causes of neonatal death: results from NeoKIP community-based trial in Quang Ninh province Vietnam. Acta Paediatr. 2012;101(4):368–73. 32. Centre for Maternal and Child Enquiries (CMACE). Perinatal mortality 2008: United Kingdom. London: CMACE; 2010. 55. The Stillbirth Collaborative Research Network Writing Group. Causes of death among stillbirths. J Am Med Assoc. 2011;306(22):2459–68. 33. Engmann C, Garces A, Jehan I, Ditekemena J, Phiri M, Mazariegos M, Chomba E, Pasha O, Tshefu A, McClure EM, Thorsten V, Chakraborty H, Goldenberg RL, Bose C, Carlo WA, Wright LL. Causes of community stillbirths and early neonatal deaths in low-income countries using verbal autopsy: an International, Multicenter Study. J Perinatol. 2011;32(8):585–92. 56. Simpson CDA, Ye XY, Hellmann J, Tomlinson C. Trends in cause-specific mortality at a Canadian outborn NICU. Pediatrics. 2010;126(6):e1538–44. 57. Singh A, Toppo A. Re. Co. De.: a better classification for determination of still births. 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Evaluation and comparison between the bactericidal effect of diode laser irradiation (970 nm) and silver nanoparticles on Enterococcus faecalis bacterial strain (an in vitro study)
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RESEARCH Open Access Open Access Evaluation and comparison between the bactericidal effect of diode laser irradiation (970 nm) and silver nanoparticles on Enterococcus faecalis bacterial strain (an in vitro study) Doaa M. Sadony1 and Karim Montasser2* Sadony and Montasser Bulletin of the National Research Centre (2019) 43:155 https://doi.org/10.1186/s42269-019-0188-5 Sadony and Montasser Bulletin of the National Research Centre (2019) 43:155 https://doi.org/10.1186/s42269-019-0188-5 Bulletin of the National Research Centre Abstract Background/Aims: Today, the using of diode lasers in dentistry has made a significant progress; it increased the speed of treatment, decreased the time of healing, and showed a bactericidal effect. The thermal effects should be considered in root canal treatment by laser, as the temperature rises to critical levels, causing tissues damage and any thermal change occurs after laser irradiation. The temperature can rise up to 10 °C above the body temperature for less than 2–3 min without damaging the periodontal tissue or burring the tooth structure by using cooling. Antibacterial properties of silver nanoparticles (Ag-NPs) were reducing Gram-positive and Gram-negative bacterial growth, due to a larger surface to volume ratio of nanoparticles. The goal of this study is to evaluate the bactericidal effect of diode laser irradiation (970 nm), the silver nanoparticles in root canals infected by Enterococcus faecalis bacteria, and the thermal change that occurs after laser application. Materials and methods: Forty-five extracted single-rooted human maxillary anterior teeth were collected and used as a container for the test. The samples are inoculated by Enterococcus faecalis bacterial strain and randomly divided into three groups: group I (control) (n = 15), group II (Enterococcus faecalis bacteria and silver nanoparticles) (n = 15), and group III (Enterococcus faecalis bacteria and diode laser) (n = 15). The laser group was divided into subgroups according to the time of laser irradiation (20 s, 30 s, and 40 s). Results: There was a significant difference between the treated groups, in which the laser group showed a high bactericidal effect than the other groups at the time of radiation 40 s, without damaging the tooth structure or periodontal ligament. Conclusion: Diode laser with proper parameters is used as an adjunctive endodontic disinfection modality due to its antibacterial effect with a temperature tolerated by periodontal tissues with safety limit. Keywords: Diode laser-metal nanoparticles, Enterococcus faecalis bacteria © The Author(s). 2019 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 Author(s). 2019 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. * Correspondence: Karim.montasser@med.helwan.edu.eg 2Faculty of Medicine, Helwan University, Cairo, Egypt Full list of author information is available at the end of the article Abstract * Correspondence: Karim.montasser@med.helwan.edu.eg 2Faculty of Medicine, Helwan University, Cairo, Egypt Full list of author information is available at the end of the article * Correspondence: Karim.montasser@med.helwan.edu.eg 2Faculty of Medicine, Helwan University, Cairo, Egypt Full list of author information is available at the end of the article © The Author(s). 2019 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. Tooth preparation The teeth decapitated at the level of cemento-enamel junction (CEJ) using a high-speed diamond disk to facili- tate the mechanical preparation of the root canals to be used as a container to perform the test. The working length was established by subtracting 1 mm from the ap- ical foramen. The canals shaped using Gates Glidden drills (Main Inc., Japan) # 4 and # 5, which were used to flare out the coronal part of the canal by maintaining 1 mm of the apical constriction for enough width that will able to contain 25 ml of bacteria and 25 ml of metallic nanoparti- cles (Ag-NPs). For complete removing of the smear layer, each root canal was irrigated using 17 ml of 17% EDTA (for 2 min) (Oakland Street, Watertown, MA 02272-0780, USA). The teeth were then allowed to air-dry overnight at room temperature, and the apical foramen was sealed ex- ternally and waterproofed with two coats of clear nail pol- ish (Kaiwar et al., 2013b). The teeth were placed in the Eppendorf to put them into an autoclave (Melatronic 23, Melag, Berlin, Germany) for 20 min at 121 °C under 1.2 psi pressure for sterility by removing all pre-existing bac- teria (Gutkecht et al., 2000; Radaelli et al., 2003). All sam- ples inoculated with Enterococcus faecalis bacterial suspension. The samples were randomly divided into three groups: group I (control) (n = 15), group II (E. faeca- lis bacteria + Ag-NPs) (n = 15), group III (E. faecalis bac- teria + diode laser irradiation) (n = 15). Each group was divided into three subgroups according to the time of diode laser irradiation (970 nm) (20 s, 30 s, and 40 s) (n = 5) at 1 W in continuous mode. The teeth covered by wet sterile cotton of saline to keep the environment during procedure moisture and then placed in a sterile Eppendorf to be ready for the next procedure. The laser releases a large amount of energy that is trans- formed into heat, which is causing damage to the tooth structure, while overheating lead to irreversible changes as melting, microfractures, and carbonization (Alfredo et al., 2008; Gutnecht et al., 2005). Introduction the antibacterial agents such as NaOCl in different treat- ments (Valera et al., 2009; Sohrabi et al., 2016). E. faecalis can form a biofilm and enter inside the dentinal tubules (Duggan & Sedgley, 2007; Rahul et al., 2014), resistance to alkaline pH and to calcium hydroxide pastes, which nor- mally inhibit other bacteria. This resistance may be related to severe and excessive working active proton pump in the membrane of these bacteria (Weckwerth et al., 2013). The root canal treatment purpose is to eliminate the bac- teria and its by-products and prevents the re-entry of the microorganisms into the root canal system after cleaning the root canal (Estrela et al., 2014). Using mechanical and traditional methods is not enough for cleaning the root canal and dentinal tubular system (Byström & Sundqvist, 1981; Dalton et al., 1998), and excellent cleaning of the dentinal tubules becomes more difficult (Nair et al., 1990); so recently, the dentist used diode laser in the clinic for different dental applications (Mortiz et al., 1998; Pendyala et al., 2017; Yeh et al., 2005). This study showed the bactericidal effect by using diode laser (970 nm), and silver nanoparticles on Entero- coccus faecalis bacterial strains and changes occur in the tooth structure after laser irradiation. The diode laser is a semiconductor laser, and its wave- length for dental use ranges between 800 and 1000 nm that emits in a continuous and pulsed mode using an optical fiber as the delivery system (Camargo, 2011). Bacterial reduction and less apical leakage become im- portant to this system and for endodontic treatment. The principal laser action is photo-thermal. The high- power diode laser is used to kill bacteria (El-Batanouny et al., 2008) and stop bacterial growth by thermal effect and closure of the irradiated dentinal tubules (Ashofteh et al., 2014; Kaiwar et al., 2013a). Page 2 of 6 Sadony and Montasser Bulletin of the National Research Centre (2019) 43:155 Page 2 of 6 Material and methods Sample selection A total of 45 extracted single-rooted human maxillary anterior teeth were collected and scaled to remove all adhering soft tissues and kept in saline solution (0.09%) before the experiment. Preparation of media Bacteriological evaluation of the treated samples Bacteriological evaluation of the treated samples g p Colony-forming units (CFUS) were used to detect bac- terial count after silver nanoparticle addition as well as laser irradiation. After laser irradiation, 50 ml of suspen- sion solution was placed on a Petri dish and then incu- bated aerobically in the incubator for 24 h at 37 °C. The grown colonies in all groups were identified and counted (Sieuwerts et al., 2008; Scott, 2011). Upon irradiation, the specimens were placed into sterile Eppendorf tubes and 100 ml of physiological saline solution was added. The extracted fluid was diluted in log 10 steps, and then, 25 ml of each dilution was applied to the culture plates and then incubated at 37 °C for 24 h. The colonies were counted and the total number of bacteria (CFUS/ml) was assessed (Colony Star, Funke Gerber Product, Gebr Liebisch, Germany) (Lee et al., 2006; Johnsrud, 2002). One liter of culture agar media prepared by using 90 g of BHI agar (Acumedia, Baltimore, Maryland, USA) in 1000 ml distilled water, then heated to the boiling point to dissolve the medium completely. It dispend and ster- lized by autoclaving at 15 Ibs pressure (121 °C) for 15 min, and then, it cooled to 50–55 °C and 1 ml of sterile and 1% of potassium telluride solution were added to the medium. It was mixed well and poured into sterile Petri dishes. The solution was allowed to cool down and then maintained in the refrigerator until use to avoid any bacterial contamination. Bacterial suspension preparation and bacterial inoculation The bacterial suspension prepared from reference strain of Enterococcus faecalis (ATCC 29212) bacteria, which prepared in BHI agar and then adjusted to 0.5 McFarland units [1.5 × 108 (CFU/mL)]. Twenty-five milliliters of bac- terial suspension in BHI broth applied to all samples of root canals using a sterile micropipette with a sterile nee- dle in group I. Twenty-five milliliters of Ag-NPs was added in the root canals of group II. Group III was sub- jected to laser irradiation treatment at three different times (20 s, 30 s, and 40 s), and the bacterial count was de- tected after laser irradiation (Hong-gang et al., 2002). Tooth preparation The temperature on the outer root surface and apex within 7–8 °C does not cause damage, but if the temperature rises more than 10 °C without cooling, it causes damage in the surrounding peri- odontal and bony structures (Ribeiro et al., 2007; Hussey et al., 1997). Nanotechnology has been used in dentistry to provide high mechanical properties and bactericidal effects. These materials as silver nanoparticles have antimicro- bial properties and compatible physical properties when compared with conventional materials due to their small size and increased surface area (Rodrigues et al., 2018a; Anil et al., 2017). Silver nanoparticles (Ag-NP) have a high bactericidal ef- fect, which is widely used in health sciences (Alabdulmoh- sen & Saad, 2017). Recently, it is used to prevent bacterial growth in different fields and applications, as in dentistry (García-Contreras et al., 2011; Rodrigues et al., 2018b); its antibacterial effect is due to the reduction in particles’ size (Krishnan et al., 2015; González-Luna et al., 2016) and they have self-cleaning properties (Rodriguez-Chang et al., 2016), by effect on Gram (+) and Gram (−) bacteria, producing damage to the microorganism’s membrane (Daming et al., 2014). Enterococcus faecalis is the most common bacteria lead- ing to failures of root canal treatment (Monawer & Abdulkahar, 2016; Colaco, 2018; Haypek, 2006) resisting Sadony and Montasser Bulletin of the National Research Centre (2019) 43:155 Page 3 of 6 Page 3 of 6 Page 3 of 6 1IBM® Corporation, NY, USA. 2SPSS®, Inc., an IBM Company. Statistical analysis The data was presented as mean and standard deviation (SD) values. One-way ANOVA test was used to compare the different treatment modalities as well as the different time periods. Tukey’s test was used for pairwise compari- sons between the mean values when ANOVA test is sig- nificant. The significance level was set at P ≤0.05. Statistical analysis was performed with IBM®1 SPSS®2 Sta- tistics Version 20 for Windows (Table 1). The effects of different treatments and different times in each treatment on the bacterial counts are as follows: Bacterial count Enumeration of bacteria was carried out after making serial dilution up till 107 of the inoculums, and from each diluted inoculation, 1 ml of the culture was plated on the surface of BHI agar plates and then incubated aerobically at 37 °C for 24 h. After incubation, enumer- ation of bacteria was carried out from countable plates (30–300 CFU/ml) (Sieuwerts et al., 2008). A. For the effect of different treatment, there were sta- tistically significant differences between the groups. The laser group showed the statistically significant lowest mean bacterial counts, followed by the silver group. The control group showed the highest mean of bacterial count, and there was no statistically significant differ- ence between times. B. For the effect of different times within each treat- ment on the bacterial counts, the laser group showed the statistically significant lowest mean of bacterial counts, and there was also no statistically significant dif- ference between 20 s and 30 s; both showed statistically significant higher mean counts, while 40 s showed the statistically significant lowest mean bacterial count. Laser treatment Group III was irradiated using a diode laser (Siro Laser Advance class III b, SIRONA Dental Company, Germany) at wavelength 970 nm and output power at 1 W in a continuous mode. It provided through a flexible 220-ml fiber optic diameter with a special handpiece. The fiber optic was disinfected for each use by 70% ethyl alcohol and inserted inside the cavity with a spiral con- tinuous movement clockwise from the top to the floor and anti-clockwise in a reverse direction (Al-habeeb et al., 2013). This procedure equally distributes the laser energy inside the cavity to avoid excessive heat gener- ation and carbonization in the internal cavity surface. Ir- radiation time was (20 s, 30 s, and 40 s). A scanning electron microscope (SEM) was used to examine the changes of the tooth structure in each group after laser application (Fig. 1). In silver nanoparticle group, there was no statistically significant difference between 20 s and 30 s; all showed a highly statistical significant difference on mean bacter- ial counts, while the 40-s period showed the statistically significantly lowest bacterial count. The diode laser group showed higher bactericidal effects than the other groups by increasing at the time of laser ir- radiation. In SEM examination for tooth structure at 40 s, Sadony and Montasser Bulletin of the National Research Centre (2019) 43:155 Page 4 of 6 Fig. 1 Representative SEM image. a Showing opening of dentinal tubules. b Showing partial melting and fusion of tubule opening after application by diode laser (970 nm) at 40 s (a narrowing of the dentinal tubules) at × 1500 magnification Fig. 1 Representative SEM image. a Showing opening of dentinal tubules. b Showing partial melting and fusion of tubule opening after application by diode laser (970 nm) at 40 s (a narrowing of the dentinal tubules) at × 1500 magnification the dentinal walls, while the passage of heat becomes more difficult in the thick wall of the root canal. In our study, the mechanism of the diode laser (970 nm) on dentin, in agreement with Umana et al. (2013), in which a part of the energy absorbed by dentin minerals such as phosphate and carbonate, causing thermo-chemical abla- tion and occlusion of dentinal tubules. Laser treatment Measuring the rise in temperature during laser irradiation to study the ther- mal effect on the tooth structure and the periodontal tis- sues, according to the studies of Anic et al. (1996), in our study, laser irradiation heat increased within the body temperature tolerance without causing any damage to the tooth structure, just a narrowing of the dentinal tubules was observed at delivered output powers of 1 W at 40 s for 970 nm diode laser, which is in agreement with Rosen- berg et al. (1971), who reported that the temperature mea- surements at 810 and 980 nm diode laser irradiation up to 2 W cannot be dangerous to the tooth surface and pulp tissues. Alfredo et al. (2008) demonstated that power out outputs ranging from 0.5 to 2.5 W and irradiation times from 10 to 120 s, the temperature rise in continues mode than the body temperature which is safe for the tooth structure and the surrounding structure which is in agree- ment with our result that the temperature rise might de- pend not only on the irradiation mode but also on the tooth anatomy at 40 s because there is no contact between the fiber and dentinal walls. Our results in agreement with Ribeiro et al.’s (2007), who used diode laser with the same parameter and correlated to the lower microleakage due to occlusion of dentinal tubules obtained by Gutnecht et al. (2005). the narrowing in the opening of dentinal tubules occurs without melting or carbonization of the tooth structure. References Ahmed M, Sabahalkheir A, Aldebasi Y, Hassan E (2011) Antibacterial influence of Omega diode laser exposure durations on Streptococcus mutans. J Microbiol Antimicrob. 3:136–141 Alabdulmohsen Z, Saad A (2017) Antibacterial effect of silver nanoparticles against Enterococcus faecalis. Saudi Endodontic Journal. 7:29–35 Ag-NPs have an antibacterial effect against both Gram- positive and Gram-negative bacteria as in Rai et al. and do not allow developing resistance (Rai et al., 2012). In silver nanoparticle group II, it showed antibacterial effect which increases by time. It is in agreement with Morones et al. (2005) in which positively charged Ag-NPs interact with the negatively charged bacterial cell walls and adhere and penetrate into the bacterial cell leading to the loss of cell wall and permeability. It showed in our study that Ag-NPs could induce cytotoxicity and inflammatory response in cells resulting from damage to enzymatic systems and DNA leads to cell death in agreement with Guzman et al. (2012). The results of this study showed that both of the diode laser and silver nanoparticles showed an antibacter- ial effect, but diode laser showed more effective to remove more of bacterial counts than silver nanoparticles. Alfredo E, Marchesan M, Sousa-Neto M, Brugnera-Júnior A, Silva-Sousa Y (2008) Temperature variation at the external root surface during 980-nm diode laser irradiation in the root canal. J. Dent. 36:529–534 Al-habeeb A, Nayif M, Taha M (2013) Antibacterial effects of diode laser and chlorhixidine gluconate on Streptococcus mutans in coronal cavity. WebmedCentral, Res Articles. 10:2–10 Anic I, Tachibana H, Masumoto K, Qi P (1996) Permeability, morphologic and temperature changes of canal dentine walls induced by Nd:YAG, CO2 and argon lasers. Int Endo J. 29:13–22 Anil C, Rakesh K, Shakya V, Luqman S, Simith Y (2017) Antimicrobial efficacy of silver nanoparticles with and without different antimicrobial agents against Enterococcus faecalis and Candida albicans. Dental Hypotheses 8:94–99 Ashofteh K, Sohrabi K, Iranparvar k CN (2014) In vitro comparison of the antibacterial effect of three intra-canal irrigants and diode laser on root canals infected with Enterococcus faecalis. Iran J Microbiol. 6:26–30 Baburao L, Neelkanth B, Vivek H, Sangeeta M (2014) Effect of diode laser on periodontally involved root surfaces: an in vitro environmental scanning electron microscope study. J Dent Lasers. 8:2–7 Funding No fund available. Acknowledgements Acknowledgements All authors are very grateful to the National Research Centre. Duggan J, Sedgley C (2007) Biofilm formation of oral and endodontic E t f li JOE 33 815 818 Discussion 1 b 2.1 < 0.001* 30 206.3 a 25.9 22.00 a 0.54 27.6 b 3.9 < 0.001* 20 155.2 a 27.2 28.04 a 0.50 35.5 b 4.5 < 0.001* P value 0.987 0.194 0.060 Different letters in the same row are statistically significantly different *Significant at P ≤0.05 Table 1 The mean, standard deviation (SD) values, and one-way ANOVA test for comparison between bacterial counts with different treatments at different times This study was conducted to evaluate the antibac- terial effect of diode laser and silver nanoparticles which have the ability to kill bacteria at different times of exposure for disinfection of contaminated Sadony and Montasser Bulletin of the National Research Centre (2019) 43:155 Page 5 of 6 Page 5 of 6 samples as per Gerek et al. (2010). Therefore, our re- sults in laser group III demonstrated that the bacter- ial counts decreased by increasing the time of laser exposure within few seconds which is in agreement with Ramskold et al. (1997). The findings agreed with this study that, as the time of 40 s of laser exposure, the diode laser could remove the E. faecalis without inducing a high-temperature rise as in Lee et al. (2006). The mechanisms regarding the antibacterial effect of diode laser are that the thermal effect was considered the main reasons for the laser to kill the bacteria (Radaelli et al., 2003). In our study, the cell growth inhibited after exposure to laser irradiation by destruction of the cell wall prevents the cell growth and cell lysis, which is in agreement with Barbosa et al. (2008); also, the thermal effect of the laser causes stress on the cells to prevent the accumulation of protein debris causing cell death (Pimpang et al., 2008; Ahmed et al., 2011). Ethics approval and consent to participate Not applicable. Authors’ contributions Both authors participated in the development and implementation of the research plan and subsequently wrote it. Both authors read and approved the final manuscript. Competing interests The authors declare that they have no competing interests. Consent for publication All authors state that they all want to publish this paper in the bulletin of the National Research Centre. Conclusion The results of the study showed that the diode laser 970 nm has a strong antibacterial with the investigated pa- rameters in comparison to silver nanoparticles; however, the effectiveness of silver nanoparticles in bacterial re- duction was acceptable as a less costly method. Daming W, Fan W, Kishen A, Gutmann J, Fan B (2014) Evaluation of the antibacterial efficacy of silver nanoparticles against Enterococcus faecalis biofilm. JOE 40:285–290 Discussion Diode laser avaliable in red and infrared spectrum. Near- infrared (NIR) lasers are characterized by a high absorp- tion of the mineral present in the tooth structure and chromophore present in the soft tissue. In this study, we selected 970 nm wavelengths, which are most commonly used wavelengths in dentistry. However, the body can withstand temperature up to 10 °C of its temperature (37 °C); according to Gutkecht et al. (2000), the tooth structure can tolerate temperature without causing any damage to the root or the adjacent structures, as the effect of diode laser treatment on the tooth structure depends on pulse energy, frequency, spot size, and wavelength. Baburao et al. (2014) in agreement with our, they used continuous mode of radiation, because it is more easy for the dentist to irradiate the whole dentin surface by this way, in which the heat conduction between the periapical tissues and the root canal depended on the thickness of Table 1 The mean, standard deviation (SD) values, and one-way ANOVA test for comparison between bacterial counts with different treatments at different times Time (s) Group P values I II III Mean SD Mean SD Mean SD 40 220.2 a 20.7 15.01 a 0.60 8. 1 b 2.1 < 0.001* 30 206.3 a 25.9 22.00 a 0.54 27.6 b 3.9 < 0.001* 20 155.2 a 27.2 28.04 a 0.50 35.5 b 4.5 < 0.001* P value 0.987 0.194 0.060 Different letters in the same row are statistically significantly different *Significant at P ≤0.05 Table 1 The mean, standard deviation (SD) values, and one-way ANOVA test for comparison between bacterial counts with different treatments at different times Time (s) Group P values I II III Mean SD Mean SD Mean SD 40 220.2 a 20.7 15.01 a 0.60 8. Author details 1 h 1Researcher in Restorative and Dental Materials Department, National Research Centre, Giza, Egypt. 2Faculty of Medicine, Helwan University, Cairo, Egypt. Received: 25 February 2019 Accepted: 5 September 2019 Received: 25 February 2019 Accepted: 5 September 2019 El-Batanouny M, EI-Khodery A, Zaky A (2008) Electronic microscopic study on the effect of diode laser and some irrigants on root canal dentinal wall. Cairo Duggan J, Sedgley C (2007) Biofilm formation of oral and endodontic Acknowledgements All authors are very grateful to the National Research Centre. Enterococcus faecalis. JOE. 33:815–818 Dalton B, Ørstavik D, Phillips C, Pettiette M, Trope M (1998) Bacterial reduction with nickel-titanium rotary instrumentation. J Endod. 24(11):763–767 Daming W, Fan W, Kishen A, Gutmann J, Fan B (2014) Evaluation of the antibacterial efficacy of silver nanoparticles against Enterococcus faecalis biofilm. JOE 40:285–290 silver nanoparticles with and without different antimicrobial agents against Enterococcus faecalis and Candida albicans. Dental Hypotheses 8:94–99 Ashofteh K, Sohrabi K, Iranparvar k CN (2014) In vitro comparison of the antibacterial effect of three intra-canal irrigants and diode laser on root canals infected with Enterococcus faecalis. Iran J Microbiol. 6:26–30 Baburao L, Neelkanth B, Vivek H, Sangeeta M (2014) Effect of diode laser on periodontally involved root surfaces: an in vitro environmental scanning electron microscope study. J Dent Lasers. 8:2–7 Barbosa S, Silvana C, Lorenzetti S, Luiz L (2008) High power diode laser in the disinfection in depth of the root canal dentin. Endo. Oral Surg. Oral Med. Oral Path. Oral Rad. 106:68–72 Byström A, Sundqvist G (1981) Bacteriologic evaluation of the efficacy of mechanical root canal instrumentation in endodontic therapy. Eur J Oral Sci. 89:321–328 Camargo S (2011) The antibacterial effects of lasers in endodontics. 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Braz Dent J 25:3–11 García-Contreras R, Argueta-Figueroa L, Mejía-Rubalcava C, Jiménez-Martínez R, Cuevas-Guajardo S, Sánchez-Reyna P, Mendieta-Zerón H (2011) Perspectives for the use of silver nanoparticles in dental practice. Int Dent J. 61:297–301 Gerek M, Asci S, Yaylali DI (2010) Ex vivo evaluation of antibacterial effects of Nd: YAG and diode lasers in root canals. Biotech Biotech Equip. 24:2031–2034 González-Luna P, Martínez-Castañón G, Zavala-Alonso N, Patiño-Marin N, Niño- Martínez N, Morán-Martínez J, Ramírez-González J (2016) Bactericide effect of endodontic treatment failure. Prog Med Sci 2:9–13 Availability of data and materials The datasets used and analyzed during the current study are available from the corresponding author on reasonable request. 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Int Endod J 51:901–911 Rodrigues C, De Andrade F, De Vasconcelos L, Midena R, Pereira T, Kuga M, Duarte M, Bernardineli N (2018b) Antibacterial properties of silver nanoparticles as a root canal irrigant against Enterococcus faecalis biofilm and infected dentinal tubules. Int Endod J 51:901–911 Rodriguez-Chang S, Ramirez-Mora T, Valle-Bourrouet G, Rojas-Campos N, Chavarria-Bolanos D, Montero-Aguilar M (2016) Antibacterial efficacy of a Rodriguez-Chang S, Ramirez-Mora T, Valle-Bourrouet G, Rojas-Campos N, Chavarria-Bolanos D, Montero-Aguilar M (2016) Antibacterial efficacy of a
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Angiotensin II and Renal Tubular Ion Transport
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Mini-Review TheScientificWorldJOURNAL (2005) 5, 680–690 ISSN 1537-744X; DOI 10.1100/tsw.2005.92 Angiotensin II and Renal Tubular Ion Transport Patricia Valles1, Jan Wysocki2, and Daniel Batlle2,* 1Area de Fisiopatología, Departamento de Patología, Facultad de Ciencias Médicas, Universidad Nacional de Cuyo, Mendoza, Argentina; 2Division of Nephrology and Hypertension, Department of Medicine, Northwestern University, The Feinberg School of Medicine, Chicago E-mail: d-batlle@northwestern.edu Received June 30, 2005; Revised August 22, 2005; Accepted August 23, 2005; Published August 29, 2005 Mini-Review TheScientificWorldJOURNAL (2005) 5, 680–690 ISSN 1537-744X; DOI 10.1100/tsw.2005.92 KEYWORDS: Angiotensin II -Bicarbonate transport- Vacuolar H +-ATPase- Proximal convoluted tubule (PCT) Cortical collecting ducts (CCDs)- Medullary collecting ducts (MCDs)- ATP6V1 B1- ATP6V0A4. *Corresponding author address: 320 East Superior, Searle 10- 475, Chicago, IL 60611; Tel: 312-908-8342/Fax: 312-503-0622. ©2005 with author. Angiotensin II and Renal Tubular Ion Transport Patricia Valles1, Jan Wysocki2, and Daniel Batlle2,* 1Area de Fisiopatología, Departamento de Patología, Facultad de Ciencias Médicas, Universidad Nacional de Cuyo, Mendoza, Argentina; 2Division of Nephrology and Hypertension, Department of Medicine, Northwestern University, The Feinberg School of Medicine, Chicago E-mail: d-batlle@northwestern.edu ANGIOTENSIN II Angiotensin II is mainly formed by renin-mediated activation of circulating angiotensinogen, originating from the liver and after activation of angiotensin I by angiotensin converting enzyme (ACE). Intrarenal angiotensin II is regulated by several complex processes, involving formation of both systemically delivered and intrarenally formed substrate, as well as receptor-mediated internalization. Angiotensinogen, renin, and ACEs are also present along the nephron. Angiotensinogen is secreted into the lumen and activated there, forming a paracrine renin-angiotensin II system along the nephron[5,6]. The complex and extensive actions of angiotensin II on renal function are due to the widespread distribution of angiotensin II in nephron segments as well as in the vasculature and interstitium. Angiotensin II signals through two main receptor subtypes, AT1 and AT2[1,7,8]. Most actions of angiotensin II are primarily attributed to the AT1 receptor because of its multiple vascular and transport effects. The AT1 receptors have been localized in glomerular podocyte cells, proximal tubule brush border and basolateral membranes, thick ascending limb epithelia, distal tubule collecting ducts, macula densa cells, and interstitial cells of the renal medulla[9,10]. Due to the extensive localization of AT1 receptors in luminal as well as basolateral membranes of proximal and distal nephron segments, interest is growing on the effects of angiotensin II at the tubular level. Stimulation of the AT1 receptor leads to increased Na+, HCO3 –, and fluid reabsorption along the nephron, which together with the induced vasoconstriction, result in a rise of blood pressure[1,11,12,13]. For these short-term effects, concentrations of angiotensin II in the picomolar range are needed, which is in contrast to higher nanomolar concentrations needed to activate the AT2 receptor[1,14]. AT2 receptor immunostaining in adult kidneys has been found in proximal tubules, collecting ducts, and renal vasculature. The AT2 receptor seems to counterbalance the effects of the AT1 receptor on electrolyte transport and blood pressure[14]. The very high abundance of AT1 receptors in the kidney is associated with tissue angiotensin II levels that are much higher than plasma levels[15,16]. The intrarenal content of angiotensin II is not distributed in a homogenous manner, but is compartmentalized in both a regional and segmental manner[7]. Angiotensin II levels in the deep medulla are much higher than in the cortex and may be involved in the regulation of medullary hemodynamics[17,18]. Moreover, receptor binding studies have demonstrated that angiotensin II receptor density is much higher in the medulla than in the cortex[19]. INTRODUCTION A main function of angiotensin II is the maintenance of extracellular Na+ and volume homeostasis by controlling renal Na+ reabsorption through the stimulation of Na+-reabsorptive transport via the Na+/H+ antiporter, the epithelial Na+-channel, and Na+/K+-ATPases[1,2,3,4]. Angiotensin II is a potent vasoconstrictor and, in addition to its effects on Na+-homeostasis and blood pressure regulation, plays a role in the regulation of acid-base balance. Volume depletion leads to activation of angiotensin II, often resulting in metabolic alkalosis, suggesting a close association between the regulation of renal Na+ and HCO3 – handling. Some of these effects are direct and others indirect via activation of aldosterone secretion by the adrenal gland. In the kidney, there is increasing evidence of a regulation of bicarbonate reabsorption and vacuolar H+-ATPase activity by angiotensin II, as will be reviewed below. E-mail: d-batlle@northwestern.edu Received June 30, 2005; Revised August 22, 2005; Accepted August 23, 2005; Published August 29, 2005 Angiotensin II, a potent vasoconstrictor, also participates in the regulation of renal sodium and water excretion, not only via a myriad of effects on renal hemodynamics, glomerular filtration rate, and regulation of aldosterone secretion, but also via direct effects on renal tubule transport. In addition, angiotensin II stimulates H+ secretion and HCO3 – reabsorption in both proximal and distal tubules and regulates H+-ATPase activity in intercalated cells of the collecting tubule. Different results regarding the effect of angiotensin II on bicarbonate reabsorption and proton secretion have been reported at the functional level, depending on the angiotensin II concentration and tubule segment studied. It is likely that interstitial angiotensin II is more important in regulating hemodynamic and transport functions than circulating angiotensin II. In proximal tubules, stimulation of bicarbonate reabsorption, Na+/H+-exchange, and Na+/HCO3 – cotransport has been found using low concentrations (<10–9 M), while inhibition of bicarbonate reabsorption has been documented using concentrations higher than 10–8 M. Evidence for the regulation of H+-ATPase activity in vivo and in vitro by trafficking/exocytosis has been provided. An additional level of H+-ATPase regulation via protein synthesis may be important as well. Recently, we have shown that both aldosterone and angiotensin II provide such a mechanism of regulation in vivo at the level of the medullary collecting tubule. Interestingly, in this part of the nephron, the effects of aldosterone and angiotensin II are not sodium dependent, whereas in the cortical collecting duct, both aldosterone and angiotensin II, by contrast, affect H+ secretion by sodium-dependent mechanisms. KEYWORDS: Angiotensin II -Bicarbonate transport- Vacuolar H +-ATPase- Proximal convoluted tubule (PCT) Cortical collecting ducts (CCDs)- Medullary collecting ducts (MCDs)- ATP6V1 B1- ATP6V0A4. *Corresponding author address: 320 East Superior, Searle 10- 475, Chicago, IL 60611; Tel: 312-908-8342/Fax: 312-503-0622. ©2005 with author. 680 *Corresponding author address: 320 East Superior, Searle 10- 475, Chicago, IL 60611; Tel: 312-908-8342/Fax: 312-503-0622. ©2005 with author. TheScientificWorldJOURNAL (2005) 5, 680–690 TheScientificWorldJOURNAL (2005) 5, 680–690 Valles et al.: Angiotensin II and Renal Tubular Ion Transport ANGIOTENSIN II Within the cortex, there is a substantial compartmentalization of intrarenal angiotensin II, with levels in the renal interstitial fluid and in proximal tubule fluid being much higher than that which can be accounted for by the circulating levels[20]. It is likely that interstitial angiotensin II is more important in regulating hemodynamic and transport functions than circulating angiotensin II. Angiotensin II in interstitial fluid might be responsible for maintaining tone of the pre- and postglomerular vessels and influencing tubular transport function by acting on angiotensin II receptors on the basolateral membranes of the tubular cells[21]. The finding that angiotensin II concentrations in perfused tubules were similar to those measured in nonperfused tubules indicates that the tubular fluid angiotensin II concentration is not derived from glomerular filtration[22]. Moreover, it has also been demonstrated that extracellular fluid volume 681 Valles et al.: Angiotensin II and Renal Tubular Ion Transport TheScientificWorldJOURNAL (2005) 5, 680–690 TheScientificWorldJOURNAL (2005) 5, 680–690 expansion reduced plasma angiotensin II levels, but did not reduce intratubular angiotensin II concentrations[23]. expansion reduced plasma angiotensin II levels, but did not reduce intratubular angiotensin II concentrations[23]. Because angiotensin I and angiotensinogen are present in the proximal tubule fluid, intratubular angiotensin II could be formed from precursors secreted into the tubular lumen. The localization of intrarenal angiotensinogen mRNA and protein in proximal tubule cells indicates that proximal tubule cells provide the substrate for intratubular and interstitial angiotensin I and angiotensin II, and may not be dependent on circulating angiotensin II[24]. The angiotensinogen produced in proximal tubules is secreted into the tubular lumen. Angiotensin I may be formed in the tubular lumen by renin or renin-like enzymes[25]. In addition, cultured proximal cells have been found to produce renin and contain renin mRNA, thus suggesting that constitutive renin secretion occurs in proximal tubule cells[26]. When angiotensin I is formed, the conversion to angiotensin II occurs by the action of ACE in the proximal tubule brush border[27]. A novel ACE homologue, ACE 2, is also abundantly present in the proximal tubule and may play a counter-regulatory role by preventing angiotensin II accumulation[28]. ACE has been measured in proximal and distal tubular fluid, but is more abundant in proximal tubule fluid[29]. It seems that angiotensin II would have to be continuously produced or added to the proximal tubule fluid in view of the abundance of angiotensinases found in the brush border of proximal tubules[30]. ANGIOTENSIN II It remains uncertain how much of the peptides are formed intracellularly and how much are formed in the tubular fluid. The augmentation of intrarenal angiotensin II that occurs during physiologic increases in angiotensin levels includes a component of AT1 receptor-mediated accumulation of angiotensin II into an intracellular compartment. Angiotensin peptides, ACE, and angiotensin II are present in renal endosomes[31]. The role of the internalized angiotensin II remains unclear. Angiotensin II might exert cytosolic actions. In addition, it has been suggested that angiotensin II migrates to the nucleus to exert transcriptional effects[32,33]. It has been shown that endocytosis of the angiotensin II/AT1 receptor coupled to the activation of signal transduction pathways leads to enhanced sodium transport[34]. Previous studies support a role for luminal angiotensin II in regulating reabsorptive function in distal nephron and collecting ducts as well as in proximal tubule segments[12,35,36]. A direct relationship between urinary angiotensinogen excretion rates and renal angiotensin II has been demonstrated[37]. REGULATION OF BICARBONATE REABSORPTION BY ANGIOTENSIN II IN PROXIMAL TUBULES REGULATION OF BICARBONATE REABSORPTION BY ANGIOTENSIN II IN DISTAL TUBULE Because relatively high concentrations of angiotensin II are present in the tubule fluid, it appears likely that this hormone might also have distinct effects on transport beyond the proximal tubule[13,40,49]. In distal tubules, the role of angiotensin II on acid secretion and bicarbonate reabsorption has been less extensively studied. Most of the previous studies evaluating electrolyte transport in the cortical distal tubule (DT) were based on either free-flow micropuncture or by perfusion of the whole distal tubule[50]. Indeed, in vivo microperfusion studies of the distal tubule have shown that an intravenous infusion of angiotensin II enhances distal tubule net bicarbonate reabsorption in the normal rat[40]. Since the distal tubule of cortical nephrons consists of several segments with distinct cell types and transport modes[51], angiotensin II transport modulation was examined separately on microperfused early and late distal tubule segments. By separate perfusion of early and late segments of cortical distal tubule in vivo (early segments corresponding to distal convoluted tubule and late segments to connecting segment and initial collecting duct), it has been shown that angiotensin II at concentration of 10–11 M stimulated early distal bicarbonate reabsorption by stimulating the Na+/H+ exchanger. The late distal effect of angiotensin II (10–11 M) was mostly dependent on amiloride-sensitive Na+ reabsorption, i.e., on sodium channels[36]. In luminal perfusion studies, it has been shown that angiotensin II stimulates Na+/H+ exchange in both early and late distal tubule via activation of AT1 receptors, and the vacuolar H+-ATPase in the late distal tubule. In all situations where the pharmacological action was evaluated, stimulation occurred through AT1 receptors[35,49,52]. Consistent with these observations, Geibel et al. recently found that angiotensin II (10–8 M) activates H+-ATPase in intercalated cells via an AT1 receptor which stimulates trafficking of the H+-ATPase into the membrane[38]. In addition to acute effects of angiotensin II on vacuolar H+-ATPase activity, it has been shown that chronic AT1 blockade of in vivo microperfused distal tubules from remaining nephrons in 2/3 nephrectomized rats reduced bicarbonate reabsorption in close association with the reduction of synthesis and insertion of apical H+-ATPase[53,54]. 2 AT1 receptors couple intracellularly mainly to phospholipase C, Ca2+, and the PKC pathway[55]. Thus, it could be speculated that most stimulatory effects of angiotensin II on the vacuolar H+-ATPase should be mediated via these signal pathways, but also through activation of tyrosine kinases[56]. REGULATION OF BICARBONATE REABSORPTION BY ANGIOTENSIN II IN PROXIMAL TUBULES Several studies have shown, either in animal or cell culture models, that angiotensin II is a potent activator of bicarbonate reabsorption and proton secretory mechanisms along the nephron, thus stimulating overall bicarbonate reabsorption. The target transport mechanisms include the Na+/HCO3 – cotransporter and Na+/H+ exchanger (at least NHE-3) in the proximal tubule, and the vacuolar H+-ATPase in the proximal tubule, the distal convoluted tubule, and intercalated cells of the cortical collecting duct[12,38,39,40,41]. The proximal tubule is the primary site of HCO3 – reabsorption in the mammalian kidney. Angiotensin II plays an important role in modulating proximal tubule transport. Systemic infusion of angiotensin II, at doses that do not affect glomerular hemodynamics or blood pressure, result in a significant increase in proximal tubule transport. Both in vivo and in vitro microperfusion studies demonstrate that physiological concentrations of peritubular angiotensin II increase proximal tubule transport[42]. Recent studies have provided evidence for the local production and luminal secretion of angiotensin II by the proximal convoluted tubule (PCT), a mechanism that maintains a luminal concentration of angiotensin II along the proximal tubule higher than that measured in the systemic circulation[22,43]. The effect of luminal angiotensin II at low concentrations (<10–9 M) increases HCO3 – reabsorption at 1.5-fold in the early segment of the proximal tubule[39]. This effect of angiotensin II is, at least in part, due to the stimulation of luminal Na+/H+ exchanger[12]. In this regard, angiotensin II, at the same low concentration (10–9 M), has been shown to stimulate both an intracellular acid extruder (luminal Na+/H+ exchange) and 682 Valles et al.: Angiotensin II and Renal Tubular Ion Transport TheScientificWorldJOURNAL (2005) 5, 680–690 TheScientificWorldJOURNAL (2005) 5, 680–690 an intracellular acid loader (basolateral Na+/HCO3 – cotransport), thus greatly increasing transepithelial HCO3 – reabsorption in proximal tubules, with only a modest change in pHi[12]. Conversely, inhibition of bicarbonate reabsorption has been shown with angiotensin II concentrations higher than 10–8 M[44]. Stimulation of bicarbonate reabsorption, observed at low angiotensin II concentrations, has been attributable to inhibition of the production of cAMP via the G-protein Gi[45,46]. On the other hand, intracellular Ca2+ serves as a second messenger in the inhibitory effect of high concentrations of angiotensin II on bicarbonate reabpsortion in the proximal tubule of the kidney[47]. Angiotensin II has potent effects on ammonia production and secretion rates by the proximal tubule. REGULATION OF BICARBONATE REABSORPTION BY ANGIOTENSIN II IN PROXIMAL TUBULES It has been demonstrated that isolated perfused mouse S3 proximal tubule segments produce and secrete ammonia. Angiotensin II added to the luminal fluid, enhanced renal ammonia production and secretion in S3 segments from acidotic mice[48]. REGULATION OF BICARBONATE REABSORPTION BY ANGIOTENSIN II IN DISTAL TUBULE In a subclone of MDCK cells exhibiting some characteristics of intercalated cells, angiotensin II was found to increase intracellular Ca2+ and stimulate vacuolar H+-ATPase activity. Moreover, chelating intracellular Ca2+ abolished the stimulatory effect of angiotensin II[57]. In contrast to the studies of H+-ATPase activation, one study using permeabilized CCD segments showed a specific dose-dependent inhibitory effect on the vacuolar H+-ATPase in the presence of angiotensin II[58]. Weiner et al. demonstrated that angiotensin II acts through a basolateral AT1 receptor to stimulate outer CCD luminal alkalinization in ß-intercallated cells[59]. Moreover, angiotensin II has been found to inhibit HCO3 – reabsorption to a similar extent in the absence and presence of luminal furosemide, which indicates that inhibition occurs independent from the effects on net NaCl absorption and is likely mediated through regulation of apical membrane Na+/H+ exchange in medullary thick 683 Valles et al.: Angiotensin II and Renal Tubular Ion Transport TheScientificWorldJOURNAL (2005) 5, 680–690 Valles et al.: Angiotensin II and Renal Tubular Ion Transport TheScientificWorldJOURNAL (2005) 5, 680–690 ascending limb (MTAL). Thus, the inhibition of Na+/H+ exchange activity by angiotensin II in MTAL is an effect opposite to its physiological action to stimulate apical Na+/H+ exchange and HCO3 – reabsorption in the proximal tubule and early distal tubule. Angiotensin II inhibited HCO3 – reabsorption in MTAL in a concentration of 10–8 M, similar to angiotensin II levels measured in the renal medulla in vivo. This inhibition is mediated by the cytochrome P-450–dependent signaling pathway. Tyrosine kinase pathways also appear to play a role in the angiotensin II–induced transport inhibition[60]. ascending limb (MTAL). Thus, the inhibition of Na+/H+ exchange activity by angiotensin II in MTAL is an effect opposite to its physiological action to stimulate apical Na+/H+ exchange and HCO3 – reabsorption in the proximal tubule and early distal tubule. Angiotensin II inhibited HCO3 – reabsorption in MTAL in a concentration of 10–8 M, similar to angiotensin II levels measured in the renal medulla in vivo. This inhibition is mediated by the cytochrome P-450–dependent signaling pathway. Tyrosine kinase pathways also appear to play a role in the angiotensin II–induced transport inhibition[60]. A reduction in bicarbonate reabsorption after application of angiotensin II was also found in perfused rat outer medullary collecting ducts[61]. This effect of angiotensin II was not observed in the presence of the AT1 receptor blocker, candesartan. REGULATION OF BICARBONATE REABSORPTION BY ANGIOTENSIN II IN DISTAL TUBULE Although angiotensin II upregulates H+ secretion in proximal and distal tubules, angiotensin II may reduce H+ secretion in other segments when perfused in vitro depending on angiotensin II concentration and tubule segments studied. An inhibitory effect on distal H+ excretion, however, would be unexpected in light of the stimulatory effect of angiotensin II on vacuolar H+-ATPase (see below). VACUOLAR H+-ATPASE Vacuolar H+-ATPases are ubiquitous multisubunit complexes mediating ATP-driven vectorial transport of protons across membranes. The vacuolar H+-ATPases are hetero-oligomeric complexes composed of 13 polypeptides arranged into a soluble cytoplasmic V1 domain composed of 8 subunit types, which is the site of ATPase activity, and a membrane-associated Vo domain composed of 5 subunit types that includes the proton translocation pathway[62,63,64,65]. Little is known about the expression patterns of these subunits in the kidney with the exception of the B1 and “a4” subunits. The B1 isoform is a part of the peripheral V1 domain[62]. Two isoforms of the B subunit exist: the B2 isoform (ATP6V1B2) is ubiquitously expressed[63,64], whereas, in the kidney, the B1 subunit is present in intercalated cells of the late distal tubule, connecting segment, and cortical and medullary collecting ducts[65]. The B1 subunit is also expressed in the cochlea and endolymphatic sac[66]. The “a4” subunit (ATP6V0A4) is one of four isoforms of the “a” subunit which form part of the membrane bound V0 sector. All four “a” subunits are expressed in the kidney as detected by Northern blot and RT-PCR analysis[67,68,69]. The “a4” isoform is expressed in the kidney (proximal tubule, loop of Henle, and all subtypes of intercalated cells along the late distal tubule, connecting segment, and entire collecting duct)[70]. Mutations in either the B1 or the 116-kDa subunit (a4 isoform) cause inherited forms of distal renal tubular acidosis (dRTA). Whereas mutations in the B1 subunit (ATP6B1) cause dRTA with sensorineural deafness[66], mutations in the 116-kD accessory subunit (ATP6N1B) affect predominantly the kidney[71,72]. ANGIOTENSIN II REGULATION OF VACUOLAR H+-ATPASE ACTIVITY BY TRAFFICKING/EXOCYTOSIS Regulation of H+-ATPase activity includes mechanisms such as trafficking from submembraneous pools, regulation by cytosolic activator and inhibitor proteins, or gene expression and protein expression[73]. There is evidence for regulation of H+-ATPase activity in vivo and in vitro by trafficking/exocytosis. g y y g y The B1 subunit interacts directly with filamentous actin, which could allow for the trafficking[74]. Recently, in cell culture, evidence has been found for the involvement of the vesicular SNARE docking proteins in the fusion of H+-ATPase containing vesicles with the plasma membrane[75,76]. Moreover, the B1 subunit of the kidney H+-V-ATPase has been identified as a PDZ domain-binding protein that colocalized with NHE-RF in renal type B-intercalated cells, providing a target for regulation. NHE-RF has been shown to link other transport proteins to the cytoskeleton and may have a role in the regulation of H+-ATPase localization or trafficking in B intercalated cells[77]. Regulation of a4 isoform subunit by trafficking, but not protein expression, with a marked redistribution of the subunit in intercalated cells in response to acid-base changes and dietary potassium 684 Valles et al.: Angiotensin II and Renal Tubular Ion Transport TheScientificWorldJOURNAL (2005) 5, 680–690 TheScientificWorldJOURNAL (2005) 5, 680–690 intake, has recently been reported[70]. These findings are in good agreement with earlier reports showing trafficking of other H+-ATPase subunits in response to metabolic acidosis or alkalosis or dietary electrolyte intake [78]. In intercalated cells of isolated mouse cortical collecting ducts, angiotensin II (10–8 M) stimulation of vacuolar H+-ATPase has been shown to be prevented by colchicine, an agent that disrupts the microtubular network. This suggests that vacuolar H+-ATPases, some of their subunits, or other stimulatory proteins may be trafficked to the membrane[38]. intake, has recently been reported[70]. These findings are in good agreement with earlier reports showing trafficking of other H+-ATPase subunits in response to metabolic acidosis or alkalosis or dietary electrolyte intake [78]. In intercalated cells of isolated mouse cortical collecting ducts, angiotensin II (10–8 M) stimulation of vacuolar H+-ATPase has been shown to be prevented by colchicine, an agent that disrupts the microtubular network. This suggests that vacuolar H+-ATPases, some of their subunits, or other stimulatory proteins may be trafficked to the membrane[38]. The electrogenic vacuolar H+-ATPase, by the translocation of H+ ions across membranes, renders the cell interior negative with respect to the exterior. ANGIOTENSIN II REGULATION OF VACUOLAR H+-ATPASE ACTIVITY BY TRAFFICKING/EXOCYTOSIS This process generates both a transmembrane potential and a chemical gradient, resulting in a self-limiting activity of the vacuolar H+-ATPase[79]. In many intracellular organelles and at cell plasma membranes, a parallel Cl– conductance provides an electric shunt, compensating for the positive charge transferred by the pump and, thus, dissipating the electrical gradient[80,81,82,83]. The presence of this parallel Cl– conductance has been found in most intracellular organelles that are acidified by vacuolar H+-ATPases, such as lysosomes[84] and endosomes[80,81,85]. In the kidney, it is clear that vacuolar H+-ATPase–dependent acidification is Cl– dependent in endosomal fractions[80,81,85,86,87,88] and in brush border membrane vesicles[89,90]. The chloride dependence on plasma membrane H+-ATPase, however, is a complex issue because of the expression of numerous other conductances or electrogenic transporters in apical and basolateral membrane domains[79]. In isolated rat proximal tubules, vacuolar H+-ATPase–dependent H+ extrusion was reduced after preincubation in Cl–- free media[91]. In another study, Na+-independent, H+-ion secretion was stimulated by physiological concentration of angiotensin II. This angiotensin II stimulation of H+-ATPase–dependent proton extrusion was demonstrated to occur via a process involving a Cl–-dependent insertion of vesicles into the brush border membrane[41]. In addition, in mouse proximal tubules, the insertion of vacuolar H+-ATPase containing vesicles was delayed in the absence of chloride[92]. Notwithstanding, there has not been convincing evidence of the role of chloride in apical H+-ATPase–dependent proton secretion in intercalated cells. The in vivo microperfusion of late distal tubule, however, showed a reduction of electrogenic H+ secretion by the Cl– channel blocker, NPPB, indicating coupling between H+-ATPase and Cl– transport[93]. Bicarbonate reabsorption is independent of the presence of luminal chloride in isolated rabbit medullary collecting duct, although it is completely abolished in the absence of basolateral chloride, presumably due to impairment of peritubular bicarbonate exit in exchange for Cl– via the Cl–/HCO3 – exchanger AE1[94]. ANGIOTENSIN II AND EXPRESSION OF VACUOLAR H+-ATPase SUBUNITS IN VIVO Thus, one could speculate that regulation of the B1 subunit could be a mechanism by which hormones, such as aldosterone and angiotensin II, specifically control H+-ATPase synthesis in intercalated cells of the distal nephron. Related to the different effect of angiotensin II and ADX on medullary and cortical collecting tubules, it has been previously demonstrated that medullary angiotensin II levels are higher than the cortical levels in normal rats and increase further in angiotensin II–infused hypertensive rats[96]. In addition, increased uptake and trafficking of angiotensin II into renal endosomes is mediated by AT1 receptors in renal cortex after chronic angiotensin II infusion[97]. This could suggest that in renal cortex, B1 regulation is under control of a mechanism(s) other than protein synthesis. Regulation of a4 and B1 subunits by trafficking, but not protein expression, has been demonstrated under conditions of acid base and electrolyte changes[38,41,67]. It should be noted that different results regarding the effect of angiotensin II on H+ secretion have been reported at the functional level depending on the angiotensin II concentration and tubule segments studied[12,54]. On a functional level, aldosterone stimulates electrogenic Na+ reabsorption through the luminal epithelial Na+ channel resulting in lumen-negative potential that leads to increase the electrical driving force for H+ secretion in the cortical collecting duct[98,99]. A direct action of aldosterone on H+ secretion has been shown in rat medullary collecting duct. The effect of aldosterone was independent of Na+ in medullary collecting ducts perfused in vitro pointing also to mechanisms in addition to changes in the electrical driving force[100]. Different sensitivities of vacuolar H+-ATPase enzymatic activity in distinct collecting duct segments have been described, even though aldosterone stimulated H+-ATPase–dependent bicarbonate reabsorption in all collecting duct segments[101,102]. p g g Our findings in ADX rats suggest that the removal of aldosterone results in a decrease in the relative abundance and expression of B1 H+-ATPase in the medullary, but not the cortical, collecting tubule. These results suggest that aldosterone affects vacuolar H+-ATPase activity in the collecting duct through different mechanisms that may be specific for tubular segment and cell type. Our data suggest that some of aldosterone actions may require protein synthesis of H+-ATPase subunits. We also have found that aldosterone increases a4 H+-ATPase synthesis in a cell line of the collecting duct[103]. ANGIOTENSIN II AND EXPRESSION OF VACUOLAR H+-ATPase SUBUNITS IN VIVO It has been generally believed that H+-ATPase is regulated to only a minor extent by transcriptional and translational mechanisms and very little is known about the in vivo regulation of the various subunits of the H+-ATPase. Recently, we examined the expression of H+-ATPase subunits, B1 and a4, in an animal model of selective aldosterone deficiency (adrenalectomized [ADX] rats maintained on glucocorticoid replacement). The effect of exogenous angiotensin II on the in vivo expression of the B1 H+-ATPase subunit was also studied[95]. Our data showed an increase in the relative protein abundance of B1 subunit isoform of the H+- ATPase after chronic infusion of angiotensin II in the renal medulla of ADX rats. This increase in H+- ATPase expression by angiotensin II was limited to intercalated cells in the medullary collecting tubule. The antibody to the kidney isoform of the B1 subunit stained intensely on apical membrane of intercalated cells from outer medullary collecting tubules and initial inner medullary collecting tubules in ADX infused with angiotensin II. By contrast, we did not find significant differences in B1 subunit of H+- ATPase protein in cortical membrane preparations. The lack of difference in B1 protein expression renal cortex could reflect, in part, the predominance of renal proximal tubules, which do not express B1. In contrast to the B1 subunit, the expression of the a4 subunit was not altered significantly by either ADX or 685 Valles et al.: Angiotensin II and Renal Tubular Ion Transport TheScientificWorldJOURNAL (2005) 5, 680–690 TheScientificWorldJOURNAL (2005) 5, 680–690 exogenous angiotensin II addition. Interestingly, the a4 subunit is found in both the early segments of proximal tubules and the intercalated cells in the kidney. The B1 subunit of the kidney H+-V-ATPase, however, is expressed only in the intercalated cells of the kidney collecting tubules. Thus, one could speculate that regulation of the B1 subunit could be a mechanism by which hormones, such as aldosterone and angiotensin II, specifically control H+-ATPase synthesis in intercalated cells of the distal nephron. exogenous angiotensin II addition. Interestingly, the a4 subunit is found in both the early segments of proximal tubules and the intercalated cells in the kidney. The B1 subunit of the kidney H+-V-ATPase, however, is expressed only in the intercalated cells of the kidney collecting tubules. ANGIOTENSIN II AND EXPRESSION OF VACUOLAR H+-ATPase SUBUNITS IN VIVO Importantly, in microdissected cortical and medullary collecting duct segments from ADX rats, a pharmacological dose of aldosterone increased enzyme H+-ATPase activity irrespective of potassium level[104]. A recent study showed nongenomic targeting of the a4 subunit of vacuolar H+- ATPase to the apical membrane by aldosterone[105]. An additional level of regulation via protein synthesis, however, may be important as well. Our results suggest that both aldosterone and angiotensin II provide such a mechanism of regulation in vivo at the level of the medullary collecting tubule. Interestingly, in this part of the nephron, the effects of aldosterone and angiotensin II are not sodium dependent whereas in the cortical collecting duct both aldosterone and angiotensin II, by contrast, affect H+ secretion by sodium-dependent mechanisms[98,100]. In summary, angiotensin II and ADX affect H+-ATPase B1-subunit protein expression in medullary collecting ducts[95]. Selective aldosterone deficiency created by adrenalectomy with glucocorticoid replacement resulted in the downregulation of the expression of H+-ATPase B1 subunit in medullary collecting ducts. Angiotensin II increased the expression of the B1 subunit of H+-ATPase in the medullary collecting duct and thus may upregulate H+ secretion in this tubule segment. Such an action may be responsible, in part, for an increase in H+ secretion, independent of aldosterone[95]. The expression of the a4 subunit, by contrast, was not altered by either ADX or exogenous angiotensin II[95]. Angiotensin II exerts significant direct effects on acid-base balance, separate from those related to its stimulatory effect on aldosterone secretion. The renal vacuolar H+-ATPase is an important target for angiotensin II action particularly in renal medullary collecting tubules. 686 TheScientificWorldJOURNAL (2005) 5, 680–690 Valles et al.: Angiotensin II and Renal Tubular Ion Transport REFERENCES (1996) Role of angiotensin II in dietary modulation of rat late distal tubule bicarbonate flux in vivo. J. Clin. Invest. 97, 120–125. 14. Haithcock, D., Jiao, H., Cui, X.L., Hopfer, U., and Douglas, J.G. 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(1994) Augmentation of intrarenal angiotensin II levels by chronic angiotensin II infusion. Am. J. Physiol. 266(1 Pt 2), F120–128. y g y , Zhuo, J.L., Imig, J.D., Hammond, T.G., Orengo, S., Benes, E., and Navar, L.G. (2002) Ang II accumulatio renal endosomes during Ang II-induced hypertension: role of AT(1) receptor. Hypertension 39, 116–121. d 98. Hamm, L.L. and Alpern, R.J. (2000) In The Kidney: Physiology and Pathophysiology. 3rd ed. Seldin, D. and Giebisch, G., Eds. Lippincott Williams & Wilkins, Philadelphia. pp. Valles, P., Wysocki, J., and Batlle, D. (2005) Angiotensin II and renal tubular ion transport. TheScientificWorldJOURNAL 5, 680– 690 This article should be referenced as follows: Valles, P., Wysocki, J., and Batlle, D. (2005) Angiotensin II and renal tubular ion transport. TheScientificWorldJOURNAL 5, 680– 690 Rajiv Agarwal, Editorial Board Member for Nephrology — a domain of TheScientificWorldJOURNAL. Handling Editor: Rajiv Agarwal, Editorial Board Member for Nephrology — a domain of TheScientificWorldJOURNAL. 690
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It Takes Less than a Village to Influence Educational Aspirations and Attainment
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THE EUROPEAN EDUCATIONAL RESEARCHER DOI: 10.31757/euer.523 THE EUROPEAN EDUCATIONAL RESEARCHER DOI: 10.31757/euer.523 http://www.eu-er.com/ It Takes Less than a Village to Influence Educational Aspirations and Attainment Gurmakh Singh Wilfrid Laurier University, Canada Colleen Loomis Wilfrid Laurier University and Balsillie School of International Affairs, Canada Christina Dimakos, Blaise Y. O’Malley, Sylvie Lamont Wilfrid Laurier University, Canada Janette Pelletier Ontario Institute for Studies in Education, University of Toronto, Canada Brian D. Christens Vanderbilt University, USA Carrie Wright Applied Research, Innovation, and Evaluation Services, Canada Ray DeV Peters Queens University, Canada Abstract: Influencers are individuals or entities that meaningfully contribute through a socially constructed process to the formation of educational aspirations and possibly to their attainment. The effect of a specific influencer may differ within the context of multiple influencers. The aim of the current mixed methods study was to investigate how various influencers shape the development of educational aspirations and may contribute to goal setting and eventual attainment of an early aspiration. One-on- one, semi-structured interviews were conducted with 44 participants who attended high school in Ontario, Canada. Most participants identified as Canadian (54.5%) with a mean age of 29 years and median income of $48,504 Canadian Dollars. Participants were asked about the educational aspirations they had in high school. Retrospective accounts provided the opportunity to ask in the interviews not only who the influencers were but also if aspirations were pursued, changed, or attained. Coding and thematic analysis revealed 11 categories of influencers. Further analysis revealed that individuals with a diverse set of influencers attained their educational goals with an important exception. Young adults with 3 – 5 types of influencers were the largest percentage (61.9%) who achieved their goals, whereas among those with 1, 2, or more than 5 influencers only 21.7% achieved their aspirations. Two influencers that have received little empirical attention emerged: Self and Society/Culture. Findings have implications for encouraging young people and influencers to consider not only how parents and teachers affect educational aspirations but also the composition and size of socio-educational networks. Keywords: educational aspirations; number of influencers; attainment; adolescence; youth; goal Introduction With schooling generally being a child’s first journey away from the home environment, and career being an important aspect of adult life, the attainment of educational goals is among the most significant developmental milestones. As such, researchers have sought to discover relationships between the attainment of educational goals and factors that may be associated with these goals. One such factor is the impact of individuals or entities that significantly contribute to the formation and attainment of aspirations (referred to here as “influencers”). Although the current literature examines who these influencers are, research has not concurrently explored their full extent and 78 | S I N G H E T A L . 178 | longer-term impact, nor has the effect of the number of influencers been investigated. Further, the impact of one particular influencer may not be the same within the context of several influencers. The present study therefore aims to examine the association between the number and type of influencers on the educational goal attainment of young adults. longer-term impact, nor has the effect of the number of influencers been investigated. Further, the impact of one particular influencer may not be the same within the context of several influencers. The present study therefore aims to examine the association between the number and type of influencers on the educational goal attainment of young adults. We use Bronfenbrenner’s ecological model (1979, 1989) to conceptualize the various influencers that make up a young adult’s developmental ecosystem. Bronfenbrenner’s Ecological Systems Theory positions a developing individual at the center of five interconnected layers of external influence ranging from the intimate immediate family to the broader macrosystem of society, during a specific time. In his model, the individual is at the most inner circle that is subsumed within the microsystem (e.g., family, peers, school). Moving outwardly the next level of analysis is the mesosystem, which is comprised of relationships across different actors within the microsystem such as the impact of parents and teachers interrelating. Beyond that influence on development are neighbours, local politics and mass media that make up the exosystem. All of these spheres are nested within the macrosystem of cultural and societal ideologies. Different components of each of these ecological strata influence individuals uniquely, yet the mesosystem is different from other systems in that it is not made up of groups of individuals but rather reflects relationships. Introduction To conceptualize the role the mesosystem may play in shaping educational aspirations we draw on two additional theories. We use social networks and social capital theory to explore how relationships within the mesosystem impact young adults’ educational dreams and accomplishments. Social capital refers to the potential for individuals to access benefits through their connections with others (Bourdieu, 1986). Social network theory views individuals as actors and assesses interrelationships between an individual and other actors (Borgatti & Halgin, 2011). In social network theory, there are risks associated with the size of the social network as well as the strength of ties between individuals (Granovetter, 1983). Size of a network matters because it relates to tie strength. Adler and Kwon (2002) argue that maintaining a network with strong ties brings redundant information or norm reinforcement with the exosystem and is costly. In particular, we consider social capital a positive result of interactions among members of a social network. In the current study, influencers conceptualized using an ecological lens thus become members of a young person’s social network or mesosystem with resultant impact on aspiration attainment due to some collective benefit or lack thereof through weak or strong ties, respectively. From this perspective, it is reasonable to posit that a larger social network would influence achieving educational aspirations. The importance of educational aspirations Decades of research have revealed a strong association between the achievement of educational aspirations and a number of positive outcomes throughout adolescence and emerging adulthood. A study of 1644 young people followed over a 13-year period found that aspiration achievement is significantly associated with decreased symptoms of depression (Gjerustad & von Soest, 2012). Plagnol and Easterlin (2008) found that those with more education are happier later in life, mostly due to achieving their material goods aspirations. Educational goal | 179 The European Educational Researcher completion along with continued goal striving among those who have not yet achieved their goals are associated with positive well-being (Messersmith & Schulenberg, 2010). Despite these positive associations, some studies have shown a questionable link between having educational aspirations and their actual attainment. For example, St. Clair and colleagues (2013) argue that young people’s aspirations are much higher than the current labour market can support, citing a lack of knowledge and guidance among young people on how to achieve their aspirations as one possible explanation for this disparity. The role of expectations has also been cited as an often overlooked factor in educational attainment (Beal & Crockett, 2010; Khattab, 2015). While aspirations describe what one wishes to achieve, expectations outline what one expects to achieve (Reynolds & Pemberton, 2001). Using data from the Longitudinal Study of Young People in England, Khattab (2015) analysed aspirations, expectations, and school achievements, and found that having both high aspirations and high expectations has the greatest impact on school achievement. When expectations or aspirations are misaligned, having aspirations is generally less beneficial. Further, this misalignment is also negatively associated with emotional well-being (Rutherford, 2015). The congruence of aspirations and expectations may therefore be more important than raising aspirations alone in aspiration attainment. The Influence of Self Starting with Bronfenbrenner’s (1979, 1989) microsystem, the influence of individual characteristics on educational aspirations and attainment has been noted and involves an interplay between personality, interests, and self-efficacy. Gasser and colleagues (2004) found that students endorsing specific personality types such as insightfulness, efficient thinking, and perceptiveness are more likely to have higher educational aspirations. Other studies show an association between the Big Five personality traits - extraversion, agreeableness, openness, conscientiousness, and neuroticism - and educational attainment (Usslepp et al., 2020). Likewise, students who prefer learning through reading, listening to lectures, or figuring out solutions through information exploration are also more likely to have higher educational aspirations (Gasser et al., 2004). Self-efficacy, defined as “the cognitively perceived capability of the self” (Bong & Clark, 1999, p. 141) has also been shown to predict academic aspirations and achievements. Komarraju and Nadler (2013) found that students with low self-efficacy were more likely to believe intelligence is innate and unchangeable while high self-efficacy students were more likely to believe intelligence is determined by effort. Despite research on the relationship between individual traits and educational aspirations, we were unable to find studies that explicitly identified the self as an educational influencer. Starting with Bronfenbrenner’s (1979, 1989) microsystem, the influence of individual characteristics on educational aspirations and attainment has been noted and involves an interplay between personality, interests, and self-efficacy. Gasser and colleagues (2004) found that students endorsing specific personality types such as insightfulness, Family and Teachers Within the microsystem, the most studied influencer of educational aspirations is the family. Studies overwhelmingly point to the importance of parental influence both in shaping children's aspirations and impacting their eventual achievement (Agger et al., 2018; Hartas, 2016; Jung & Zhang, 2016). However, research demonstrates that the type and impact of parental influence is nuanced and complex. Hartas (2016) found that emotional closeness 80 | S I N G H E T A L . 180 | and intellectually charged parent-adolescent interactions are more important in shaping children’s educational aspirations than learning support. Further, higher levels of parental education and expectations, along with higher social and cultural capital, tend to increase children’s educational aspirations and academic achievement (Agger et al., 2018; Jung & Zhang, 2016; Kay et al., 2016). Brand and colleagues (2019) found that family instability and a decline in family income account for a significant portion of children’s post-divorce decline in educational attainment. Despite the importance of parents for educational aspirations, there remains a scarcity of literature examining the long-term effect of this influencer on educational goal attainment. The impact of other family members has also been studied, particularly that of siblings. Two conflicting theories regarding siblings exist. The resource dilution model views siblings as competitors for parents’ time, energy, and financial resources, suggesting that fewer siblings are better (Downey, 2001). The sibling resource model suggests individuals with siblings develop stronger interpersonal skills that become useful outside the home and therefore regards siblings as a resource (Downey, 2001; Downey & Condron, 2004). Despite competing theories, a generally positive relationship has been found between educational aspirations and siblings. Goodman and colleagues (2015) analyzed sibling pairs of SAT-takers and found that younger siblings are 15-20% more likely to enroll in competitive or 4-year-college programs if their older siblings had done so first, compared to high school classmates. Nicoletti and Rabe (2019) demonstrated that among siblings taking end-of-compulsory schooling exams, an increase in test scores of an elder sibling leads to an increase in the corresponding test score of the younger sibling. Characteristics such as gender, age, birth order, and family size have also been found to effect educational aspirations among siblings (Alm, 2020; Downey & Condron, 2004; Yucel, 2014; Yucel & Yuan, 2015). To the best of our knowledge, however, research understanding the role of sibling influencers on the likelihood of educational goal attainment has yet to be conducted. Family and Teachers Another key influencer of educational aspirations is teachers. Teachers are in a unique position to shape aspirations and guide goal attainment (Benner & Mistry, 2007; St. Clair et al., 2013). However, the impact of teachers’ influence seems to depend on expectations, with higher teacher expectations linked to higher aspirations and better educational outcomes in youth, and lower teacher expectations reducing both aspirations and attainment (Benner & Mistry, 2007; St Clair et al., 2013). Further, this effect seems to intersect with social inequalities such that teachers working in middle-class regions are more likely to push students towards higher education than those in working- class regions (Delay, 2022). Although teachers are clearly in a suitable position to help aspirations become a reality, future research should investigate adolescent goal attainment among students who highlight teachers as influencers. Exo- and Macro-systems Spheres of Influence Moving outwardly in the ecological lens from the individual through the micro and mesosystems brings us to the exosystem that contains neighbors, politics, social services, industry and mass media. Few studies have examined how actors in the exosystem impact educational aspirations. Some research suggests possible roles of media and industry but the associations remain unclear. St. Clair and colleagues (2013) showed that adolescents are able to appreciate jobs that extend beyond their local area due to several reasons, one of which was media. However, schools and community interviewees in the same study perceived the influence of media to be generally negative. In a recent study, Hampton and colleagues (2021) discovered social media skills are positively correlated with SAT performance, while time spent on social media had a negative correlation with SAT performance. How Internet use intersects with gender is also unclear with some studies indicating male students are more likely to be influenced by the Internet and other studies indicating the opposite trend (Heymann et al., 2021; Mo et al., 2020). These conflicting findings warrant further exploration into other factors that may be relevant in influencing educational aspirations. Media may be viewed as related to societal and cultural influences, however, using Bronfenbrenner’s ecological model analyzing media as a separate level of analysis (i.e., within the exosystem) may uncover an influence that is distinct from the macrosystem. Quite possibly the most complex type of adolescent influencer is from the macrosystem: society and culture. Social and cultural norms stem from a shared set of beliefs, attitudes, and values, and are a key contributor in governing behaviour (Gelfand & Jackson, 2016; Telzer et al., 2018). Neurobiological models of social cognition and decision making suggest the adolescent brain is highly malleable and oriented towards the social world, highlighting the importance of considering social influences beyond the immediate family and peer contact (Telzer et al., 2018). Societal norms can permeate schools based on locale, shaping student aspirations as highlighted in the influence of teachers above. Additionally, ethnicity has been tied to educational aspirations and in some cases linked to the intersection between class privilege and racialized inequalities (Archer et al., 2014). Bowden and Doughney (2010) suggest the impact of ethnic differences on aspirations may partly be due to students from non-English speaking backgrounds perceiving stronger levels of parental support. Other Societal Influencers Still within the microsystem, other studied influencers on educational aspirations include peers and friends. Jonsson and Mood (2008) found that students with high-achieving peers are relatively less likely to select a high-aspiring high school program, and that moving an average student from an average school to a school lower in achievement increases the probability of choosing a high-aspiring program. Research on adolescent friendships suggests that | 181 The European Educational Researcher selection by educational expectations is significant in friendship formation (Mundt & Mundt, 2020). More importantly, as the closeness of friends increases, so does their impact on educational outcomes (Mora & Oreopoulos, 2011). Other studies have found varying impacts of peer-groups on educational aspirations and attainment based on age, gender, or behavioural risk status (e.g., Patacchini et al., 2011; Stepp et al., 2011). The interconnections among family, teachers, peers and friends represent Bronfenbrenner’s (1979, 1989) mesosystem. We did not locate literature on the impact of how interactions among different groups impact educational aspirations. This lack of research leaves us with questions about how multiple people influence dreaming about and chasing educational outcomes. The interconnections among family, teachers, peers and friends represent Bronfenbrenner’s (1979, 1989) mesosystem. We did not locate literature on the impact of how interactions among different groups impact educational aspirations. This lack of research leaves us with questions about how multiple people influence dreaming about and chasing educational outcomes. The Importance of the Strength in Number of Influencers As highlighted above, there is robust literature on the impact of various individual influencers on educational aspirations as well as the predictive value of these towards attainment. We were unable to find any literature on the impact of the number of influencers on the achievement of adolescent educational aspirations or the changing impact of various influencers relative to the total number of influencers. However, it is well established in the literature that the size and strength of a social network impacts individuals. Considering the extant literature, there are few studies that have explored the longer-term impact of multiple spheres of influencers on aspiration achievement from adolescence into young adulthood. Our study aims to investigate these gaps and present novel findings that further our understanding of who influences aspirations and how multiple influencers may impact the realization of those aspirations. We also extend the current literature by framing our investigation from the five levels of analysis specified by Bronfenbrenner (1979, 1989) examining from the self as an influencer to societal and cultural influences. Context The results of this study are part of a larger study investigating Outcomes and Cost Savings 20 Years after Early Childhood Interventions for 4 to 8-year-olds, which builds on 20 years of rigorous research, seizing the unique opportunity to follow-up with young adults (Aboriginals, Francophones, recent immigrants, and Anglophones) who participated during childhood (ages 4 to 8) in a research initiative called Better Beginnings, Better Futures in Ontario, Canada. The current study explores educational aspirations and pathways with a subsample of 44 individuals. Data were collected from 47 participants but due to technical errors in recording or in file saving and transfers, 2.5 of the interviews are not included in this study. Exo- and Macro-systems Spheres of Influence There is a smaller body of literature that highlights students’ perceptions of the influence of societal or cultural norms on their educational and career aspirations. 182 | S I N G H E T A L . 182 | Participants The sample for the study of educational aspirations is 44 individuals, which represents 94% of the data collected from 47 participants. Due to technical errors in recording or in file saving and transfers, 2.5 of the interviews are missing. The 44 complete interviews were analyzed for this study. Participants had previously consented to be contacted for future research as part of a larger study about growing up in Ontario, Canada. The average age of participants was 29 consisting of 25 (56.8%) who self-identified as a woman and 19 (43.2%) as a man; no one selected the non-binary or other gender options. Eight individuals listed a language other than English as the primary language spoken at home. The majority self-identified as Canadian (54.5%) while the second highest self-identified ethnicity was Asian (13.6%), followed by French and other (9.1% each), Indigenous (4.5%), and finally African, American, British and European (2.3% each); 15 participants (34.1%) reported more than one ethnicity. The mean annual income of the participants was $56,194.32, while the median income was $48,504.00. This indicates a positively skewed distribution by which median is more reflective of the majority since the mean is influenced by | 183 The European Educational Researcher potential outliers. Three participants reported receiving financial assistance from Ontario Works and six individuals reported they were seeking employment. potential outliers. Three participants reported receiving financial assistance from Ontario Works and six individuals reported they were seeking employment. Data Collection This study was approved by an institutional ethics review board. Participants were recruited via telephone and email. Interested participants provided verbal consent to take part in one-on-one, semi-structured interviews that were approximately 45-60 minutes in length using Zoom. They were asked to reflect on the educational aspirations they had in secondary school and who influenced these aspirations. Facilitators and obstacles to dream attainment as well as subsequent pathways were also included. Interviews were recorded and stored on a secure database for researcher access. Interview audio files were uploaded to an automated transcription service (Sonix and Otter). Video files were deleted. A $25 remuneration was provided. In a semi-structured interview, participants were asked the following questions: Thinking back to when you were in high school, what were your dreams for the future? What is it that you hoped to reach? Why was this dream important to you? Who do you think influenced your dreams? Which thing(s) do you believe has had the most influence on your formal education? At the time, how attainable did you feel this was? Did you feel like you had the resources and motivation needed to achieve your goals? Data Analysis Data analysis is subsumed within an epistemological perspective. The overarching study uses a post-positivist paradigm with varied and mixed methods collecting quantitative and qualitative data; this study used primarily qualitative data reporting the words of the participants. This study did not use grounded theory. From a postpositivist perspective, transcripts were content-coded in a stepwise process with 60 codes identified a priori when the interview guide was developed based on themes from the literature and then others were added after the interview process had begun. The influencers were open-coded and then codified. In an iterative process of discussing the findings and coding data the researchers reached consensus on the codes being clearly defined and mutually exclusive. Overall, 79 codes were created and 2388 excerpts were coded. To establish reliability of the coding four researchers coded the same five interview transcripts randomly selected. Because there were more than two coders, Scott’s pi (π) or Cohen’s kappa (κ) could not be used to calculate interrater reliability. Fleiss’ kappa is a widely used statistic for three or more coders; it is a measure of observed and expected agreement. The calculation of the Fleiss was performed using the free web-based service ReCal3 (Freelon, 2010) that resulted in a reliability of 72 %. A widely used interpretation of the reliability range by Landis and Koch (1977) follows: almost perfect (81 to 100%), substantial agreement (60 to 80%), moderate (41 to 60%), fair 21 to 40%), and poor (0 to 20 %). Remaining transcripts were coded by one of the four researchers. Once transcripts were coded, research assistants conducted an audit trail and the principal investigator reviewed all codes and memos. 184 | S I N G H E T A L . 184 | After all transcripts were coded, it seemed that there may be a relationship between type and number of influencers on goal attainment, so qualitative data were coded into two categorical variables and a dataset was created to statistically test the relationship between them. Specifically, participants’ responses were coded as either Goal Achieved (= 1, one or more educational goals from secondary school was achieved) or Goal Not Achieved (= 0, no educational goals from secondary school were achieved) and each interview was coded according to the number of influencers. Next, the research team met and discussed findings to ensure trustworthiness and convergence of data. Data Analysis Dedoose software program was used to manage the qualitative data, SPSS was used to conduct the descriptive statistics and G*Power 3.1 (Faul, Erdfelder, Buchner, & Lang, 2009) to calculate the power analysis of the regression with a sample of 44. Power analysis and effect sizes are reported below. The findings that follow use quotes from only participants who consented to having their quotes used (with either their name or pseudonym as they chose). As a preface to the findings, practices in presenting qualitative data vary on when and whether to include the number and percentage of cases that represent a finding/code/category. Reporting frequencies in studies with relatively small sample sizes (e.g., fewer than 10 participants) do not add meaning to our understanding, whereas with larger samples counting the number of cases that have meaningful units informs us on saturation. In the process of coding and interpreting the data, we examined saturation across cases by counting the number of cases who mentioned an influencer as well as how many influencers they mentioned. Long-term Impact of All Influencers Siblings also impart a sense of familiarity with academic achievement, acting as models to replicate (Conger & Little, 2010). Although it has been argued that siblings may act as competitors or result in resource dilution (Downey, 2001), our findings suggest that siblings are a generally positive influence on aspiration attainment. It is possible that participants who perceive siblings as competitors may not cite these as influencers. Our results indicate that young adults who appreciate the influence of siblings are more likely to attain their goals. Joanna, who did not achieve her goal from secondary school, was not initially influenced by her siblings during adolescence. After secondary school, however, she began to recognize her siblings as a source of influence that helped guide her return to school later in life: “I think watching… my brother and sister... they succeeded academically in college and now university... I think looking up to my younger siblings [played] a huge role.” Now, with the influence of her siblings as she reaches for new goals, Joanna comments, “I'm now constantly striving for success. I want to move forward. I want to move up.” Although this participant did not achieve her high school goals and did not initially benefit from the influence of her siblings, her siblings seem to have had a profound effect on her future aspirations in early adulthood. This suggests a long-term benefit of the influence of siblings beyond adolescent years. Our findings are congruent with current literature suggesting a need for further research on sibling relationships beyond early adulthood (Conger & Little, 2010). Individuals who identified Society/Culture as an influencer were more likely to achieve their aspirations. For example, we found that the influence of culture and familial cultural expectations intersected. Ivan initially noted, “... [in]the culture my parents come from, your degree is [tied] to your personal worth so heavily.” When commenting more specifically on his personal influences, he mentioned, “It's got to be the culture because... it's not even a question of whether you're going to do it, it's just you're just going to do it, you know, like the thought of finishing high school and then not getting a degree or diploma [my family doesn't] comprehend it. And like myself either.” This positive outcome could be a result of the multifaceted nature of this influencer. Long-term Impact of All Influencers Overall, there were 11 different groups mentioned that influenced educational aspirations (Table 1). The most common influencer was Parents, followed by Self, and Teacher. All remaining influencers were mentioned by fewer than 30% of participants. The literature is quite descriptive of the impact of parent and teacher influences on educational aspirations and attainment. But we also heard participants talking about siblings and extended family such as grandparents, cousins, aunts, uncles, other relatives. Other influencers were societal and cultural expectations along with friends or intimates such as a boy-/girl-friend. A category of media represents the voices of those who said that TV shows, sports, movies, books, social media, fictional or non-fictional characters, and athletes influenced them. There were fewer individuals who commented about peers, and service providers & community members such as healthcare providers at hospitals or medical offices, religious figures (e.g., churches or temples), community support institutions (e.g., Big Brother Mentor), and a couple of participants reported the influence of a “Parent’s friend” and “AP USA High School Courses.” Among influencers found, the recognition of the self as a unique influencer is a novel finding and an important contribution of the current study. Among participants who identified Siblings, Societal/Cultural, Friend, Parent, and Extended Family as influencers, many of them achieved their educational goals describing how they shaped dreams. For example, one sibling pursuing an educational goal might inspire other siblings to believe they too can strive for their own goals. Bruce 185 The European Educational Researche commented on his influence from siblings: “I saw both lifestyles, right. So my one brother had a university degree, and he got into the business world right away. And then my other brother was a [trades guy]. So I also had no pressure either side. I saw they were both doing well. So, I knew there was [sic] two options there.” Similarly, George commented on the importance of his siblings in shaping his goals: “I kind of saw [my siblings] as individuals that pursued post-secondary education [towards] a healthcare profession. So I kind of gravitated towards that too… if [my brother] wasn't interested in school, I probably wouldn't have been either.” Both participants achieved their educational goals. The impact of Siblings is consistent with other studies that have found these individuals are involved in children’s development and progress for a significant portion of their lives (Mchale et al., 2012). Long-term Impact of All Influencers First, traditions and cultural values are imbued in children from a very young age (Packer, 2017). Second, social and cultural norms are made up of a multitude of actors and contexts (Horne & Mollborn, 2020) resulting in a synergistic influence. The influencers least related with achieving educational goals were Community Provider, Teacher, Self, Media, and Other. One participant discussed that in her youth, she was not focused on education and lacked general guidance in 6 | S I N G H E T A L . 186 that respect. She acknowledged participating in support groups and other related programs, however felt these modalities always had an abrupt end, lacking continuity. Although a wide array of exposure exists through Media (St. Clair et al., 2013), exposure alone may not be enough to guide individuals in achieving their aspirations. Meanwhile, Community Providers may not provide an impactful enough influence because they may not be involved in the participant’s life for an extended period or on a consistent basis. The relative lack of positive influence from Teachers is perhaps not surprising given the literature suggesting both positive and negative effects of teacher expectations on the achievement of young adults (Benner & Mistry, 2007; St Clair et al., 2013). It is likely that the 18 participants who explicitly identified teachers as influencers were indeed influenced by teachers who held positive expectations of them. Why these participants did not go on to achieve their goals presents a need for additional research on the long-term impact of teachers in aspiration attainment. Recent literature by Relmasira and colleagues (2021) suggests a statistically significant disconnect between primary students’ aspirations and teachers’ predictions. In their study, students tend to aspire towards future careers involving creativity and high technologies, while their teachers predict the use of conventional tools in future student careers. This disparity may be a contributory factor, although additional research is warranted. The Relation between the Number of Influencers and Goal Attainment We recognize that the mere citation of an influencer does not indicate the influencer necessarily had a meaningful impact on goal attainment. To determine the actual impact of influencers on goal attainment, each influencer was cross-referenced with goal attainment, i.e., achieved or not achieved. Although previous studies have examined influencer impact on specific academic goal attainment such as entry into a particular school or program, GPA trends, or SAT scores, our study assessed the attainment of individual end goals. End goals were idiosyncratic to each individual and varied from completing post-secondary education to attaining professional designations. This classification allowed us to make individual aspirations our variable of interest, rather than assessing for achievement of the highest educational attainment overall. This distinction is important because the benefit of aiming for exceedingly high educational aspirations is questionable in the literature, while the benefit of congruence between aspirations and expectations in striving for individual aspiration achievement is evident (Khattab, 2015; Rutherford, 2015). Realizing the mix of multiple influencers acting together, we wondered whether there would be an association between the number of influencers and achieving an educational aspiration. Coding the qualitative findings on number of influencers and goal achieved (coded yes or no) from 44 interviews was a sufficient sample size to test for a correlation. The average number of influencers per participant was 3 and 81.8% of participants had more than one influencer. There was no significant linear correlation between total number of influencers and goal attainment; in other words, for example, as the number of influencers increased the outcome of achieving the goal was not predictable. From the qualitative data and descriptive percentages observed (Table 1) the hypothesized relationship seemed present for individuals who named 3 to 5 influencers. 187 The European Educational Researcher | 187 wo groups of influencers, one with 3 to 5 and the other with 1 to 2 and 6+, we tested the association Table 1 Impact of Individual Influencers on Goal Attainment (N = 44) Impact of Individual Influencers on Goal Attainment (N = 44) Influencer With 3 to 5 influencers With 1 – 2 or more than 5 influencers Total Achieved goal n (%) Not achieved n (%) Achieved goal n (%) Not achieved n (%) Achieved goal n (%) Not achieved n (%) Siblings 4 (80.0) 1 (20.0) 1 (50.0) 1 (50.0) 5 (71.4) 2 (28.6) Societal/Cultural 6 (85.7) 1 (14.3) 2 (40.0) 3 (60.0) 8 (66.7) 4 (33.3) Friend 5 (83.3) 1 (16.7) 1 (20.0) 4 (80.0) 6 (54.5) 5 (45.5) Parent 13 (65.0) 7 (35.0) 1 (14.3) 6 (85.7) 14 (51.9) 13 (48.1) Extended Family 5 (71.4) 2 (28.6) 1 (20.0) 4 (80.0) 6 (50.0) 6 (50.0) Peer 2 (67.7) 1 (33.3) 1 (25.0) 3 (75.0) 3 (42.9) 4 (57.1) Community Provider 2 (67.7) 1 (33.3) 0 (0) 2 (100) 2 (40.0) 3 (60.0) Teacher 5 (45.5) 6 (54.5) 2 (28.6) 5 (71.4) 7 (38.9) 11 (61.1) Self 4 (40.0) 6 (60.0) 4 (33.3) 8 (66.7) 8 (36.4) 14 (63.6) Media 2 (67.7) 1 (33.3) 1 (16.7) 5 (83.3) 3 (33.3) 6 (66.7) Other 0 (0) 0 (0) 0 (0) 2 (100) 0 (0) 2 (100) Note. Total n adds to 132 because participants were asked to identify all influencers. Creating two groups of influencers, one with 3 to 5 and the other with 1 to 2 and 6+, we tested the association between the two groups and achieving educational aspirations (Table 2). Having 3 to 5 influencers was significantly associated with achieving the educational aspiration. Using the two-tailed effect size of 0.408 and sample of 44, the posthoc power analysis result was 0.83 (Faul et al., 2009). 188 | S I N G H E T A L . 188 Table 2 Impact of Number of Influencers on Goal Attainment (N = 44) Number of influencers Achieved goal n (%) Not achieved n (%) Total 1 1 (12.5) 7 (87.5) 8 2 3 (27.3) 8 (72.7) 11 3 6 (50.0) 6 (50.0) 12 4 5 (83.3) 1 (16.7) 6 5 2 (66.7) 1 (33.3) 3 6 or more 1 (25.0) 3 (75.0) 4 Grouping number of influencers 1 - 2, 6+ 5 (21.7) 18 (78.3) 23 3 - 5 13 (61.9)** 8 (38.1) 21 ** Pearson correlation was significant p < .01. Table 1 I t tl d l t ib ti f thi t d i th fi di th t h i 3 5 i fl t b th Table 2 Again, I had to drop out again, I got pregnant I had with both my kids, I had a condition called hyperemesis… I was hospitalized three times with my son… So it was a condition that held me back from pursuing the career that I wanted to.” Another finding is that participants in the 3 – 5 influencer cohort benefited from specific influencers who were not beneficial to participants overall (i.e., regardless of the number of influencers): namely, Media, Peer, and Community Provider. The impact of any one of these influencers in the setting of 2 – 4 other influencers seems to produce a positive outcome. It is important to note, however, that only 33% of participants citing Media and 43% of participants citing Peer as influencers came from this cohort. The lack of prominence of these influencers in this cohort, while maintaining a net positive benefit, is suggestive of two points. First, participants in this cohort were less likely to be meaningfully impacted by influencers who provided comparatively less value overall. Second, participants in this cohort were more adept at establishing which influencers would be uniquely beneficial for them. Therefore, these participants were better able to select an optimal blend of intrinsically beneficial influencers, increasing their likelihood of achieving their educational aspirations. Having 1 – 2 influencers yielded similar results on goal achievement as having more than 5 influencers; collectively 21.7% of participants in these two groupings achieved their goal (Table 2). This is an interesting finding that warrants discussion and elaboration with participants’ words. It is possible that having 1 – 2 influencers does not sufficiently expose individuals to enough viewpoints or lead to a lack of recognition of broader perspectives. In our study, Luis, who identified Parent and Friend as his influencers, comments, “I think the peace of mind, knowing that my parents would have been happy or doing something that they would have wanted me to do initially would have been enough for me…. I had a friend as well, and she was also really interested in [law]. So I guess that kind of influenced me as well to kind of go with it.” Luis pursued law for two years but realized he was not inherently interested in it and did not complete the program. Table 2 Impact of Number of Influencers on Goal Attainment (N = 44) ** Pearson correlation was significant p < .01. Importantly, and a novel contribution of this study, is the finding that having 3 – 5 influencers seems to be the optimal number for supporting goal attainment. Indeed, 61.9% of participants who identified 3 – 5 influencers reported achieving their aspirations. It may be that this number of influencers is enough to maintain a wide enough array of exposure and viewpoints, but not so much that the impact of each influencer is diluted or that participants are overwhelmed by too many voices. This finding is an important one and warrants future research. As was the case overall, Societal/Cultural, Friend, Siblings, Extended Family, and Parent maintained their positive impact in the cohort of 3 – 5 influencers. Further, more than 50% of participants citing these influencers came from within this cohort. The majority of participants (69.9%) here cited influencers that came from within a family context (i.e., Parent, Sibling, Extended Family). 189 The European Educational Researcher A few themes emerged among participants with 3 – 5 influencers who did not achieve their goals. One of these was changing interests. Participant “N.S.” with four influencers recalls their aspiration in secondary school was to study medicine. However, upon entering post-secondary education, N.S. recognized, “I didn't like the courses that were in the program for biomedical sciences and I realized... this is not something I want to do.” Such participants may have experienced uncertainty as a result of having multiple influencers. The second theme among this group was that of uncontrollable circumstances. Adam, with three influencers, reflects on why he did not achieve his goals: “My mom was a single mom… We lived in pretty much poverty my entire life up until about five years ago… like I wanted to benefit myself like that, but I felt like a bunch of things was weighing me down, like, [preventing] me from actually succeeding.” Tahmina, with five influencers who wanted to become a nurse faced similar challenges: “Initially, I went into nursing, got pregnant, I had to drop out. Then I had my son... And shortly after I went back again to college to pursue the same career. Table 2 Exposure to additional influencers and viewpoints may have been beneficial to his aspirations: “I think when it came to education, for me, it was just really important to do something passionate that I really liked.” It may be that the two influencers in this case were not able to help this person find his true passion and to facilitate connecting it to education. 190 | S I N G H E T A L . 190 | Similar to identifying 1 – 2 influencers, having more than 5 influencers was also related to fewer individuals attaining aspirations. One possible reason for this is that too many voices may dilute the impact of the most important influencers or lead to general uncertainty about which future path to pursue. Further, identifying more than five different influencers may reflect a lack of recognition of who/what an influencer is and what their unique impact should be. In our sample, 100% of participants with more than five influencers who did not achieve their goal changed their goals after completing secondary school. Ijaz, with seven influencers began high school wanting to be an auto mechanic and left with the aim to attend law school. He, however, went on to become a teacher. During high school, Ijaz’s friends included children of lawyers or those who had dreams of attending law school. He comments, “I guess I sort of latched on to [my friends’] dreams.” He started his internship in a law firm but soon realized this was not his passion. The influence of friends in this case may have distracted Ijaz from tuning into other influencers that may have been more impactful. Specifically, conversations he had with teachers while completing his master’s degree allowed him to find his true passion of teaching. As a practicing teacher, he now feels “very happy, like, I feel very fulfilled.” Jordan, also with seven influencers, attributes her change of aspirations to creating meaningful relationships with friends and professors in university. From early on, she recognized her desire to help people coupled with being one of the “smarter kids” influenced her towards medicine. Table 2 Matt, with two influencers aspired to pursue post-secondary education “primarily because that's the societal norms, that's what people do after high school.” He achieved this aspiration and went on to complete a master’s degree. This sustained benefit may again be due to the multi-pronged and multifaceted nature of the influence of society/culture as previously discussed. The Societal/Cultural influencer was the most significant in the cohort of 1 – 2 or greater than five influencers and provided a benefit for these participants despite not having the optimal number of influencers. This was especially true from the standpoint of participants with 1 – 2 influencers. Within this group, two participants cited Societal/Cultural influence and both participants achieved their goals. Matt, with two influencers aspired to pursue post-secondary education “primarily because that's the societal norms, that's what people do after high school.” He achieved this aspiration and went on to complete a master’s degree. This sustained benefit may again be due to the multi-pronged and multifaceted nature of the influence of society/culture as previously discussed. Conversely, of those with more than five influencers, three people highlighted Societal/Cultural influence and none attained their goal. Although the impact of this particular influencer seems to be beneficial in virtually every other situation, in this cohort, the same results were not attained. This suggests the possibly negative impact of diluting an otherwise beneficial influencer. The most unique influencer in the cohort of 1 – 2 influencers was Self. The Self led to only a modest benefit among those with 3 – 5 influencers, although it fared the poorest compared to other influencers. However, in the context of 1 – 2 influencers, the benefit of the Self is proportionately higher with a more positive impact. Interestingly, of the four participants with 1 – 2 influencers who attained their goal, 75% noted Self as an influencer. Although this suggests some benefit from Self among this cohort, this finding should be interpreted cautiously. Of those with 1 – 2 influencers, Self was also the most commonly cited influencer, mentioned by twice as many participants as any other influencer (42% vs. 21% for the next most common influencer). Table 2 Due to societal and peer views in her neighbourhood, she felt “a lot of people envisioned … the smart kids … to be a doctor or a lawyer or an engineer.” However, once she left her small-town home for university and formed relationships with peers and professors, these exposed her to other methods by which she could help people that were possibly better suited for her skills and interests. In high school, she did not highlight Friends as one of her seven influencers. Reflecting on this, she comments, “When you're younger, you don't realize or I didn't realize in any case, the value of really meaningful human connection and really meaningful relationships with partners or friends… truly the person that I am today is based mostly on the relationships that I had [in University].” Although participants in this cohort did not explicitly mention being confused by too many influencers or acknowledge the possible diluting effect of several influencers, it may be that some key influencers got ignored or overlooked. This is one possible explanation for the lower likelihood of goal attainment within this cohort. Future research examining changes in the number of influencers as individuals age beyond adolescence and resulting aspiration attainment would be beneficial. It is possible that Amanda, the single participant with more than five influencers who attained her goal, was able to do so because she was able to establish a primary influencer among her seven influencers. She reflects, “Both my parents for sure, primarily. Yeah, yeah, both my mom and my dad… really value education and just being kind of like lifelong learners in that way. So, yeah, they were probably ... my biggest motivators.” Amanda may have been well-equipped at honing in on one primary influencer to achieve her goals, reducing the potential uncertainty that could have resulted had she tried to simultaneously focus on all her influencers. | 191 The European Educational Researche The Societal/Cultural influencer was the most significant in the cohort of 1 – 2 or greater than five influencers and provided a benefit for these participants despite not having the optimal number of influencers. This was especially true from the standpoint of participants with 1 – 2 influencers. Within this group, two participants cited Societal/Cultural influence and both participants achieved their goals. Table 2 The increased propensity to highlight Self as an influencer in this cohort suggests these participants may be less likely to seek other influencers, less likely to recognize who an influencer is outside oneself, and less likely to recognize the importance of other influencers altogether. Unfortunately, we were unable to find prior research on the influence of Self but some inferences can be made. First, studies have shown that individuals with higher self-efficacy are less prone to social influence (Lucas et al., 2006). In the context of the present study, participants identifying themselves as influencers presumably have high self- efficacy which may correlate with less of a desire to seek outside influences. Second, some literature suggests individuals with an independent view of self, such as those we would expect to influence themselves, are more likely to have an internal locus of hope (Du & King, 2013). These individuals may be less likely to recognize the importance of influence from external figures compared to those with an external locus of hope and interdependent view of self. Finally, individuals who identify the self as an influencer may be less likely to recognize influence outside oneself due to internal beliefs about success. Kay and colleagues (2016) found that youth with parents who had not completed a university degree benefit more from motivation associated with believing success is controllable compared to youth of parents who had completed a university degree. Thus, young adults influenced by Self may be more likely to rely on personal merit and less likely to recognize another individual as an influencer. controllable compared to youth of parents who had completed a university degree. Thus, young adults influenced by Self may be more likely to rely on personal merit and less likely to recognize another individual as an influencer. 192 | S I N G H E T A L . 192 | 2 | S I N G H E T A L . Nonetheless, we encourage future research to further assess adolescents who identify influence stemming from within oneself and resulting educational attainment particularly as it relates to the number of other influencers. Nonetheless, we encourage future research to further assess adolescents who identify influence stemming from within oneself and resulting educational attainment particularly as it relates to the number of other influencers. Table 2 Finally, another relatively beneficial influencer in the cohort of 1 – 2 or greater than 5 influencers was Teachers. Literature suggests that even in disadvantaged environments, the positive effect of higher teacher expectations on student aspirations and attainment remains (Van den Broeck et al., 2020). This may hold true even in the setting of a less-than-optimal number of influencers. Again, this finding presents the need for additional study on the nuances of the influence of teachers in various situations. The comparative lack of familial influence among those with 1 – 2 or greater than 5 influencers is surprising and may be an important area for future research to explore. Interestingly, familial influence was not particularly beneficial in the context of 1 – 2 or more than 5 influencers, with only 21.4% of these participants achieving their goal, compared to 68.8% in the cohort of 3 – 5 influencers who did the same (reported above). Thus, an otherwise positive group of influencers seems to be less useful with 1 – 2 or greater than 5 influencers suggesting the importance of encouraging young people towards establishing 3 – 5 influencers. Capital Theories Our findings challenge the idea that educational aspirations may be achieved from individual effort or with one or two key individuals such as only parents or teachers. Consistent with Bronfenbrenner’s ecological model (1979, 1989), having one or two levels of influence is not enough to explain developmental outcomes. We see that the individual and microsystems alone are weak but not entirely. Parents and teachers are important influencers but more capital is needed with at least a third person and up to five people suggesting that the mesosystem is critical. The mesosystem is the sphere with influence where relationships across multiple actors at both the individual and microsystems levels occur. Given the power of relationships reflected in the mesosystem, we were surprised that love relationships were not commonly cited as influencers. Of the 11 participants citing friend as an influencer, only one recognized their love relationship as the source, stating “my girlfriend at the time… let me explore what I liked and pushed me into what I like.” This participant attained the personally set educational goal. Nonetheless, the overall absence of intimate relationships in our findings may suggest these relationships do not contribute to educational aspirations, and possibly detract from attainment. A closer examination of love relationships to determine if they tend to knock someone off course or alternatively encourage someone to pursue their aspirations, is a topic for future research. Consistent with social network and social capital theories, results show that it is a collection of both strong and weak ties among key influencers that seems to be optimal in achieving educational outcomes. Bourdieu (1989) framed social capital as a sum of benefits derived from social networks such that the size of the social network did not matter so much as the potential for capital to be gained within one’s network. Our study findings support Bourdieu’s | 193 The European Educational Researche conceptualization. The interconnections among influencers that converge on an individual provide a form of social capital with the nuance of building a social network that provides the greatest likelihood of attaining educational aspirations. Ultimately, the social network that is optimal for an individual is unique. For most people, having both a unique blend of the types of influencers while maintaining a social network of 3 – 5 influencers is related to achieving educational goals. Capital Theories Our findings raise a new question for future research to explore about the size of a social network. We see that when comparing a social network of one or two people to one with three to five that the greater number is associated to achieving educational aspirations. A question remains when comparing networks with fewer than six influencers to a network with more than six. In the current study, we do not see that a larger social network is better than a moderately sized one. In larger networks, it may be that redundant information is problematic for individuals with six or more influencers. Similar to having 1 – 2 influencers, individuals with a large social network may lack opportunistic interactions, negatively impacting the attainment of educational aspirations. Social network theory helps to understand these findings. One explanation for individuals with large social networks not reaching their educational aspirations may be due to larger networks being costly (Adler & Kwon, 2002) by having weaker ties among highly networked individuals (Granovetter, 1983). Young adults with more than five influencers may have been less likely to achieve their educational goals because of an inability to effectively use information received from a larger social network. When it comes to optimizing the potential to achieve educational aspirations there is evidence to suggest that individuals and their influencers may want to attend to how a young adult develops a social network that will lead to the necessary social capital to achieve educational aspirations. Limitations Some limitations of the current study must be addressed. First, our sample was limited to young adults who grew up and attended high school in Ontario, Canada. Our findings therefore cannot be generalized beyond this context. Second, the findings highlight the importance of influencers at a specific life stage. Future research should examine how influencers and their impact vary as people age. Third, social media was also not as prevalent a decade ago when our sample was in high school as it is today. It will be interesting to learn if researchers seeking to replicate this study may find social media to be more impactful than the current study’s findings. Finally, it is possible there may be something unique about the experiences of participants who chose to be interviewed compared to those who opted out. Moreover, the study required participants to retrospectively discuss influencers and aspirations. This introduces risk of recall bias; however, it also allows for the assessment of aspiration attainment. Conclusion The current study sought to investigate the relationship between the number and type of influencers on educational goal attainment of young adults. What we learned, and what this study contributes to the existing literature, is that developing aspirations and achieving them is a dynamic, interactive process between an individual and a few other important and influential people. In the past, research on who influences educational aspirations often investigated one or two potentially significant relationships such as with a parent or teacher. However, our findings suggest that 94 | S I N G H E T A L . 194 realizing a dream requires support and accomplishing educational aspirations is greatly facilitated by having 3 – 5 influencers in a young person’s world. We caution against thinking more support is better, though. Rather, our findings suggest that too many influencers make goal attainment less likely. Indeed, it seems that it takes less than a village to successfully guide youth to dream attainment and that ensuring just 3 – 5 influencers may be enough to help young people reach their educational aspirations. 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Learning and Individual Differences, 25, 67 72. https://doi.org/10.1016/j.lindif.2013.01.005 Landis J. R., & Koch G. G. (1977). The measurement of observer agreement for categorical data. Biometrics, 33(1), 159–174. https://doi.org/10.2307/2529310 Landis J. R., & Koch G. G. (1977). The measurement of observer agreement for categorical data. Biometrics, 33(1), 159–174. https://doi.org/10.2307/2529310 | 197 The European Educational Researcher | 197 Lucas, T., Alexander, S., Firestone, I. J., & Baltes, B. B. (2006). Self‐efficacy and independence from social influence: Discovery of an efficacy–difficulty effect. Social Influence, 1(1), 58-80. https://doi.org/10.1080/15534510500291662 Messersmith, E. E., & Schulenberg, J. E. (2010). Goal attainment, goal striving, and well-being during the transition to adulthood: A ten-year U.S. national longitudinal study. New Directions for Child and Adolescent Development, 130, 27-40. https://doi.org/10.1002/cd.279 Mo, P. K. H., Chan, V. W. Y., Wang, X., & Lau, J. T. F. (2020). Gender difference in the association between internet addiction, self-esteem and academic aspirations among adolescents: A structural equation modelling. Computers & Education, 10(155), 1-9. https://doi.org/10.1016/j.compedu.2020.103921 McHale, S., Updegraff, K., & Whiteman, S. (2012). Sibling relationships and influences in childhood and adolescence. Journal of Marriage and Family, 74(5), 913-930. References https://doi.org/10.1111/j.1741-3737.2012.01011.x Mora, T., & Oreopoulos, P. (2011). Peer effects on high school aspirations: Evidence from a sample of close and not-so- close friends. Economics of Education Review, 30(4), 575-581. https://doi.org/10.1016/j.econedurev.2011.01.004 https://doi.org/10.1016/j.econedurev.2011.01.004 Mundt, S. D., & Mundt, M. P. (2020). The role of peer groups in adolescents’ educational expectations: a stochastic actor-based model. International Journal of Adolescence and Youth, 25(1), 1009-1021. https://doi.org/10.1080/02673843.2020.1828109 Nicoletti, C., & Rabe, B. (2019). Sibling spillover effects in school achievement. Journal of Applied Economics, 34(4), 482–501. https://doi.org/10.1002/jae.2674 Packer, M. J. (2017). Child development: Understanding a cultural perspective. UK: Sage Publica 7). Child development: Understanding a cultural perspective. UK: Sage Publications. Patacchini, E., Rainone, E., & Zenou, Y. (2011). Dynamic aspects of teenage friendships and educational attainment. CEPR Discussion Paper No. DP8223. Plagnol, A. C.,& Easterlin, R. A. (2008). Aspirations, attainments, and satisfaction: Life cycle differences between American women and men. Journal of Happiness Studies, 9, 601–619. https://doi.org/10.1007/s10902-008- 9106-5 9106-5 Relmasira, S. C., Lai, Y. C., So, C. F. H. (2021). Future jobs: Indonesian Primary Students’ Aspirations and Teachers predictions. The European Educational Researcher, 2(5), 209-225. https://doi.org/10.31757/euer.425 Reynolds, J., & Pemberton, J. (2001). Rising college expectations among youth in the United States: A comparison of the 1979 and 1997 NLSY. The Journal of Human Resources, 36(4), 703-726. https://doi.org/10.2307/3069639 Rutherford, T. (2015). Emotional well-being and discrepancies between child and parent educational expectations and aspirations in middle and high school. International Journal of Adolescence and Youth, 20(1), 69-85. https://doi.org/10.1080/02673843.2013.767742 198 | S I N G H E T A L . St. Clair, R., Kintrea, K., & Houston, M. (2013). Silver bullet or red herring? New evidence on the place of aspirations in education. Oxford Review of Education, 39(6), 719–738. https://doi.org/10.1080/03054985.2013.854201 Stepp, S. D., Pardini, D. A., Loeber, R., & Morris, N. A. (2011). The relation between adolescent social competence and young adult delinquency and educational attainment among at-risk youth: The mediating role of peer delinquency. The Canadian Journal of Psychiatry, 56(8), 457–465. https://doi.org/10.1177/070674371105600803 Telzer, E. H., van Hoorn, J., Rogers, C. R., & Do, K. T. (2018). Social influence on positive youth development: A developmental neuroscience perspective. Advances in Child Development and Behavior, 54, 215–25. http://dx.doi.org/10.1016/bs.acdb.2017.10.003 Usslepp, N., Hübner, N., Stoll, G., Spengler, M., Trautwein, U., & Nagengast, B. (2020). RIASEC interests and the Big Five personality traits matter for life success—But do they already matter for educational track choices?. Journal of Personality, 88, 1007– 1024. http://dx.doi.org/10.1111/jopy.12547 Van den Broeck, L., Demanet, J., & Van Houtte, M. (2020). The forgotten role of teachers in students’ educational aspirations. School composition effects and the buffering capacity of teachers’ expectations culture. Teaching and Teacher Education, 90, 1-11. http://dx.doi.org/10.1016/j.tate.2020.103015 Yucel, D. (2014). Number of siblings and personality: Evidence among eighth graders from the early childhood longitudinal study-kindergarten cohort (ECLS-K). The Social Science Journal, 51(1), 100–112. https://doi.org/10.1016/j.soscij.2013.07.008 Yucel, D., Yuan, A.V. (2015). Do siblings matter? The effect of siblings on socio-emotional development and educational aspirations among early adolescents. Child Ind Res., 8, 671–697. http://dx.doi.org/10.1007/s12187- 014-9268-0 Conflict of Interest: The Author(s) declare(s) that there is no conflict of interest including but not limited to financial support and personal activities. Publisher’s Note: All claims expressed in this article are solely those of the authors and do not necessarily represent those of their affiliated organizations, or those of the publisher, the editors and the reviewers. Any product that may be evaluated in this article, or claim that may be made by its manufacturer, is not guaranteed or endorsed by the publisher. Data Availability Statement: The data that support the findings of this study are available from the second author upon reasonable request. Ethics Statement: This study received approval from Wilfrid Laurier University Research Ethics Board #5222. Author name: Gurmakh Singh Author name: Gurmakh Singh Department: Psychology and the School of International Policy and Governance University, Country: Canada Email: gurmakh.singh@alum.utoronto.ca ORCID: 0000-0002-0671-2856 Email: gurmakh.singh@alum.utoronto.ca Please Cite: Singh, G., Loomis, C., Dimakos, C., O’Malley, B. Y., Lamont, S., Pelletier, J., Christens, B. D., Wright, C., & Peters, R. DeV. (2022). It Takes Less than a Village to Influence Educational Aspirations and Attainment. The European Educational Researcher, 5(2), 177-199. DOI: https://doi.org/10.31757/euer.523 Copyright: © 2022 EUER. 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. | 199 The European Educational Researcher | 1 The European Educational Researche Conflict of Interest: The Author(s) declare(s) that there is no conflict of interest including but not limited to financial support and personal activities. Publisher’s Note: All claims expressed in this article are solely those of the authors and do not necessarily represent those of their affiliated organizations, or those of the publisher, the editors and the reviewers. Any product that may be evaluated in this article, or claim that may be made by its manufacturer, is not guaranteed or endorsed by the publisher. Data Availability Statement: The data that support the findings of this study are available from the second author upon reasonable request. Ethics Statement: This study received approval from Wilfrid Laurier University Research Ethics Board #5222. Author Contributions: Gurmakh Singh: Conceptualization, Methodology, Formal Analysis, Writing-original draft. Colleen Loomis: Funding acquisition, Supervision, Methodology, Writing – original draft. Christina Dimakos: Project administration, Writing – review & editing. Blaise O’Malley: Data curation, Software, Writing – review & editing. Sylvie Lamont: Data curation. Jannette Peltier: Funding acquisition, Writing – review & editing. Brian D. Christens: Funding acquisition, Writing – review & editing. Carrie Wright and Ray DeV Peters: Funding acquisition. Received: January 11, 2022 ▪ Accepted: May 27, 2022 Conflict of Interest: The Author(s) declare(s) that there is no conflict of interest including but not limited to financial support and personal activities. Conflict of Interest: The Author(s) declare(s) that there is no conflict of interest including but not limited to financial support and personal activities. Author Contributions: Author Contributions: Gurmakh Singh: Conceptualization, Methodology, Formal Analysis, Writing-original draft. Colleen Loomis: Funding acquisition, Supervision, Methodology, Writing – original draft. Christina Dimakos: Project administration, Writing – review & editing. Blaise O’Malley: Data curation, Software, Writing – review & editing. Sylvie Lamont: Data curation. Jannette Peltier: Funding acquisition, Writing – review & editing. Brian D. Christens: Funding acquisition, Writing – review & editing. Carrie Wright and Ray DeV Peters: Funding acquisition. Received: January 11, 2022 ▪ Accepted: May 27, 2022 Received: January 11, 2022 ▪ Accepted: May 27, 2022
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https://europepmc.org/articles/pmc7020863?pdf=render
English
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Social Determinants of Hypertension
Arquivos Brasileiros de Cardiologia
2,019
cc-by
2,193
Social Determinants of Hypertension José Geraldo Mill1,2 Departamento de Ciências Fisiológicas do Centro de Ciências da Saúde - Universidade Federal do Espírito Santo,1 Vitória, ES – Brazil Hospital Universitário Cassiano Antônio Moraes - Universidade Federal do Espírito Santo,2 Vitória, ES – Brazil Short Editorial related to the article: Prevalence of Systemic Arterial Hypertension and Associated Factors Among Adults from the Semi-Arid Region of Pernambuco, Brazil from the IBGE [Brazilian Geography and Statistics Institute) in a representative and robust sample (N > 60 thousand) of the Brazilian adult population, showed a self-reported prevalence of HT of 21.4%, more frequent in women (24.2%) than men (18.3%). Upon changing the diagnostic criterion, considering those with blood pressure measured at home ≥ 140/90 mmHg, or those taking antihypertensive drugs, as individuals with HT, the prevalence rose to 32.3%, with a higher prevalence in men.6 The study also showed differences between regions, with lower prevalences seen in the North and Northeast and higher ones in the South and Southeast. The disease was also less frequent in rural residents. Part of the regional differences may stem from different race/color compositions. Indigenous peoples apparently have lower blood pressure readings7 and this may translate into a lower impact of the disease on populations with a greater presence of the indigenous trait, such as in the Northern region. Regional differences may also stem from the uneven distribution of general factors that affect blood pressure regulation, such as high salt intake, body fat accumulation, physical inactivity, alcohol abuse, and insulin resistance. The large territorial extent and cultural diversity may contribute to the non-uniform distribution of these factors and, consequently, the variability in the distribution of HT and other chronic diseases. More recently, the role of socioeconomic variables in the emergence, progress, and outcomes related to blood pressure is being viewed with increasing importance. Large studies, such as the Longitudinal Study of Adult Health (ELSA-Brasil), show the impact of low education and income levels on increased blood pressure and on the prevalence of the disease.8 These data indicate that the Brazilian population segment living in more unfavorable conditions is more subject to the impact of the disease. And this has important consequences for addressing this health problem. Hypertension (HT) is a disease with high prevalence in adults and is generally referred to as a 'complex disease'. This term has been used to indicate the diversity of factors that contribute to its onset.1,2 Studies in populations, twins, and families estimate that the impact of genetic background on the onset of HT ranges from 34% to 64%.3 However, pressure regulation depends on a multiplicity of organs, systems, and mechanisms, which is why a large number of genes affect individual values. Social Determinants of Hypertension José Geraldo Mill1,2 Departamento de Ciências Fisiológicas do Centro de Ciências da Saúde - Universidade Federal do Espírito Santo,1 Vitória, ES – Brazil Hospital Universitário Cassiano Antônio Moraes - Universidade Federal do Espírito Santo,2 Vitória, ES – Brazil Short Editorial related to the article: Prevalence of Systemic Arterial Hypertension and Associated Factors Among Adults from the Semi-Arid Region of Pernambuco, Brazil As a result, genetic tests are still largely ineffective as predictors of HT, since monogenic inheritance of this disease is rare.4 Non-genetic factors are also numerous and are linked to lifestyle (nutrition, physical activity, alcohol and tobacco consumption, among others) or to the presence of conditions connected with a chronic inflammatory state, such as obesity and insulin resistance. In the presence of these factors, blood pressure increase with age is faster, leading to, at a given moment, blood pressure levels indicative of the presence of the disease. It is important to point out that the cutoffs that separate the states of 'normotension' and 'hypertension' are statistical, being suitable for use with populations, and potentially unsuitable in assessing individuals,5 as the disease may be present in a subclinical state, i.e., even before reaching diagnostic blood pressure levels obtained in epidemiological studies. Therefore, given the difficulty of using genetic data, disease prevention should be undertaken by identifying risk factors that contribute to raising blood pressure. In this context, epidemiological knowledge about specific populations is an essential tool for handling the disease. Despite its high impact on morbidity and mortality, and on economic and social costs, the epidemiology of HT and its determinants are still poorly known for the Brazilian population. Only in recent years has a robust and nationwide study been conducted in this area. The large territorial extent and the racial and cultural diversity of the Brazilian population also require regional studies. The National Health Survey (PNS) conducted in 2013 by the Ministry of Health with support In this issue of the Arquivos Brasileiros de Cardiologia [Brazilian Cardiology Archives], Santiago et al.8 publish data on a population-based study aimed at identifying the characteristics and prevalence of HT in the adult population (20‑59 years) residing in the semiarid region of Pernambuco, in the Northeastern region of Brazil.8 For this purpose, a representative sample of urban and rural households was selected by drawing from census tracts from three municipalities. The study showed that the overall prevalence of HT was 27.4%, with a predominance in males. Despite not having the statistical power for more detailed analyses of subgroups, it is clear from the data that the disease affects, with greater impact, the population segments with lower education and income, two variables that are represented in the socioeconomic classification of the households. The association between the presence of the disease and low education is impressive. Social Determinants of Hypertension José Geraldo Mill1,2 Departamento de Ciências Fisiológicas do Centro de Ciências da Saúde - Universidade Federal do Espírito Santo,1 Vitória, ES – Brazil Hospital Universitário Cassiano Antônio Moraes - Universidade Federal do Espírito Santo,2 Vitória, ES – Brazil Short Editorial related to the article: Prevalence of Systemic Arterial Hypertension and Associated Factors Among Adults from the Semi-Arid Region of Pernambuco, Brazil While in the segment with higher education the presence of HT was found in 15.4% Mailing Address: José Geraldo Mill • Departamento de Ciências Fisiológicas da UFES - Avenida Marechal Campos, 1468. Postal Code 29042-770, Vitória, ES – Brazil E-mail: jose.mill@ufes.br Short Editorial Short Editorial Social Determinants of Hypertension José Geraldo Mill1,2 Departamento de Ciências Fisiológicas do Centro de Ciências da Saúde - Universidade Federal do Espírito Santo,1 Vitória, ES – Brazil Hospital Universitário Cassiano Antônio Moraes - Universidade Federal do Espírito Santo,2 Vitória, ES – Brazil Short Editorial related to the article: Prevalence of Systemic Arterial Hypertension and Associated Factors Among Adults from the Semi-Arid Region of Pernambuco, Brazil Short Editorial understanding where the initial deregulation that would lead to essential HT would be, this chain of events could explain the findings described by Santiago et al.8 and other authors. This reasoning could explain, in theory, the small decrease in the prevalence of HT in Brazil described by Picon et al.12 in a meta-analysis based on population-based studies with direct blood pressure measurement.12 It is noteworthy that in this meta-analysis almost all studies were done in cities in the South and Southeast regions of Brazil, where the population's educational level has been improving in recent decades. of the individuals, in the lowest segment the number increased to 44.6%, i.e., the probability of the disease being found was almost 3 times higher in the population segment with a low education level. Considering that education and income are two collinear variables in the Brazilian population, in the multivariate analysis model, schooling level dropped out of the modeling, leaving only the socioeconomic level as an independent predictor of the disease's presence. However, according to the Brazilian standard, both education and income enter into the socioeconomic classification model. What still needs to be further investigated is the mediation between socioeconomic variables (education and income) and blood pressure. The ELSA-Brasil provided some clues on this.9 Participants of African ancestry (Blacks and Browns) present higher blood pressure and higher blood pressure increase with age, thus predisposing to the onset of HT in adulthood. It is not known, however, whether this difference arises from birth or occurs later. Our research group has been seeking answers by studying children and adolescents of different races/color. We have shown that pre-pubertal students have equal blood pressure values, regardless of race/color.10 The differences, therefore, appear later in adolescence or, more likely, in adulthood. Psychosocial stress could constitute an important factor in increased pressure with age and, therefore, in the onset of HT.11 This could explain, albeit in part, the inverse relationship between education/income and HT prevalence. Individuals  at the bottom of the social pyramid would live in greater uncertainty regarding their future. Short Editorial The struggle for survival is greater and the social support network related to adverse events in life (unemployment, adverse weather events such as prolonged drought in rural backlands) is less at the base of the pyramid, and this would determine a higher intensity allostatic load on these individuals (increased sympathetic activity, activation of the hypothalamic-adrenal-cortisol axis, attenuation of vagal function) contributing to a faster blood pressure increase over time and contributing to the earlier onset of hypertensive disease. Even without yet Regardless of the mechanism, the data described for the Brazilian population, showing an inverse relationship between education level and HT, pose an additional challenge in addressing the problem. Once diagnosed, the disease must be treated. At this stage, the adoption of healthy lifestyle habits is mandatory in relation to diet (rich in whole grains, fresh fruits and vegetables), physical activity, and quitting smoking and alcohol abuse. If such measures are insufficient for pressure normalization, then medication use enters as an effective measure. However, various factors contribute to the fact that both the adoption of healthy habits, as well as the use of medications, is more difficult for individuals in lower socioeconomic segments. Therefore,  those who are most affected by the disease will have less conditions to treat it. Medications, although effective, must be used correctly, as their improper use can do more harm than good. Considering that the gateway to the diagnosis and treatment of HT in our country is the primary care sector, represented by the Primary Care Units, it is essential to engage all health teams, involving doctors, nurses, nutritionists, etc., so that the effectiveness of treatments for the hypertensive population becomes as homogeneous as possible, that is, regardless of socioeconomic factors. On the other hand, the data point to a fact of great significance. Improved education brings about health benefits in general and, particularly, for addressing chronic diseases, such as HT. Investments in education affects favorably the population health. Keywords Hypertension; Hypertension/prevention and control; Prevalence; Risk Factors; Obesity; Diabetes Mellitus, Epidemiology. DOI: 10.5935/abc.20190220 DOI: 10.5935/abc.20190220 696 Mill Social determinants of hypertension Short Editorial References 7. Meyerfreund D, Gonçalves C, Cunha R, Pereira AC, Krieger JE, Mill JG. Age-dependent increase in blood pressure in two different Native American communities in Brazil. J Hypertens. 2009;27(9):1753-60. 1. Mills KT, Bundy JD, Kelly TN, Reed JE, Kearney PM, Reynolds K, Chen J, He J. Global disparities of hypertension prevalence and control: A systematic analysis of population-based studies from 90 countries. Circulation. 2016;134(6):441-50. 8. Santiago ASD, Oliveira JS, Leal VS, Andrade MIS, Lira PIC. Prevalence of systemic arterial hypertension and associated factors among adults from the semi-arid region of Pernambuco, Brazil. Arq Bras Cardiol. 2019; 113(4):687-695. 2. Mochizuki K, Hariya N, Honma K,Goda T. Relationship between epigenetic regulation, dietary habits, and the developmental origins of health and disease theory. Congenit Anom (Kyoto). 2017;57(6):184-90. 3. Kokubo Y, Padmanabhan SP, Iwashima Y, Yamagishi K, Goto A. Gene and environmental interactions according to the components of lifestyle modifications in hypertension guidelines. Environ Health Prev Med. 2019;24:19. 9. Chor D, Pinho Ribeiro AL, Sá Carvalho M, Duncan BB, Andrade Lotufo P, Araújo Nobre A, et al. Prevalence, awareness, treatment and influence of socioeconomic variables on control of high blood pressure: Results of the ELSA-Brasil tudy. PLoS One 2015;10(6):e0127382. 4. Russo A, Di Gaetano C, Cugliari G, Matullo G. Advances in the genetic of hypertension. The effect of rare variants. Int J Mol Sci. 2018;19(3),Pii:E688. 10. Zaniqueli D; Alvim R; Luiz S; Oliosa P; Cunha RS; Mill J. Ethnicity and arterial stiffness in children and adolescents from a Brazilian population. J Hypertens. 35(11):2257–61. 5. Malachias MVB, Souza WKSB, Plavnik FC, Rodrigues CIS, Brandão AA, Neves MFT e cols. 7ª Diretriz Brasileira de Hipertensão Arterial. Arq Bras Cardiol. 2016;107(3 supl 3):64-6. 11. Ushakow AV, Ivanchenko VS, Gagarina AA. Psychologial stress in pathogenesis of essential hypertension. Curr Hypertens Rev. 2016;12(3), 203-14. 6. Malta DC, Gonçalves RPF, Machado IE, Freitas MIF, Azeredo C, Szwarcwald CL. Prevalence of arterial hypertension according to different diagnostic criteria, National Health Survey. Rev Bras Epidem. 2018;21(Suppl 1):e180021. 12. Picon RV, Fuchs FD, Moreira LB, Riegel G, Fuchs SC. Trends in prevalence of hypertension in Brazil: A systematic review with meta-analysis. PLoS One 2012;7(10),e48255. Arq Bras Cardiol. References 2019; 113(4):696-698 697 Mill Social determinants of hypertension This is an open-access article distributed under the terms of the Creative Commons Attribution License This is an open-access article distributed under the terms of the Creative Commons Attribution License This is an open-access article distributed under the terms of the Creative Commons Attribution License 698 Arq Bras Cardiol. 2019; 113(4):696-698
https://openalex.org/W2117852509
https://epub.ub.uni-muenchen.de/33830/1/10.1051_epjconf_20147000030.pdf
English
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Hard And Soft QCD Physics In ATLAS
EPJ web of conferences
2,014
cc-by
4,665
ae-mail: stefanie.adomeit@physik.uni-muenchen.de Stefanie Adomeit1,a On behalf of the ATLAS Collaboration 11LMU Munich, Faculty of Physics, Schellingstrasse 4, 80799 Munich, Germany Abstract. Hard and soft QCD results using proton-proton collisions recorded with the ATLAS detector at the LHC are reported. Charged-particle distributions and forward- backward correlations have been studied in low-luminosity minimum bias data taken at centre-of-mass energies of √s = 0.9, 2.36 and 7 TeV. Recent measurements on under- lying event characteristics using charged-particle jets are also presented. The results are tested against various phenomenological soft QCD models implemented in Monte-Carlo generators. A summary of hard QCD measurements involving high transverse momen- tum jets is also given. Inclusive jet and dijet cross-sections have been measured at a centre-of-mass energy of 7 TeV and are compared to expectations based on NLO pQCD calculations corrected for non-perturbative effects as well as to NLO Monte Carlo predic- tions. Recent studies exploiting jet substructure techniques to identify hadronic decays of boosted massive particles are reported. This is an Open Access article distributed under the terms of the Creative Commons Attribution License 2.0, which permits unrestricted use, distribution, and reproduction in any medium, provided the original work is properly cited. DOI: 10.1051/ C ⃝Owned by the authors, published by EDP Sciences, 2014 , / 0 0 (2014) 2014 00 0 Conferences EP Web of J 70 0 7 0 ep conf j 30 30 DOI: 10.1051/ C ⃝Owned by the authors, published by EDP Sciences, 2014 , / 0 0 (2014) 2014 00 0 Conferences EP Web of J 70 0 7 0 ep conf j 30 30 2.1 Minimum Bias Measurements 2.1 Minimum Bias Measurements Minimum bias (MB) categorises a class of events selected based on a minimal set of requirements ensuring that an inelastic interaction has occurred. Typically, these events are dominated by soft interactions at low momentum transfer with contributions from both diffractive and non-diffractive processes. Observables sensitive to the properties of MB events have been studied by ATLAS in low luminosity data recorded at √s = 0.9, 2.36 and 7 TeV in 2009 and the beginning of 2010 [2]. Events were collected using a single-arm minimum bias scintillator trigger requiring one hit over threshold on either side of the detector. The kinematics of charged particles have been studied using tracks reconstructed in the Inner De- tector (ID). The data are corrected back to particle level using minimal model dependent corrections accounting for event selection and track reconstruction efficiencies. While it is not possible to experi- mentally disentangle diffractive and non-diffractive effects the measurements have been performed in three different phase space regions with a varying contribution of diffraction. Each region in phase space is defined by the minimum number of charged particles per event and minimum transverse par- ticle momentum pT. Fig. 1 shows the average charged particle multiplicity per unit of pseudorapidity in the central region (η = 0) as a function of centre-of-mass energy √s. For all three phase space regions the measured data points are compared to predictions of MC models tuned to a wide range of measurements. The AMBT1 [2] tune shows good agreement in the diffraction suppressed phase space regions with pT = 500 GeV whereas the pre-LHC tunes tend to show lower particle multiplic- ities compared to data. However, in the most inclusive phase space region (pT > 100 GeV, nch ≤20) all MC models under study understimate the amount of activity. 1 Introduction The large centre-of-mass energy proton-proton collisions at the LHC allow to study QCD processes in a kinematic regime that has never been reached before at a hadron collider. Measurements involv- ing high-pT jets provide an important tool to test perturbative QCD (pQCD) models implemented in Monte-Carlo (MC) generators as well as NLO calculations. While the main interest at hadron col- liders lies in measurements at high momentum transfer, all collider observables are affected by soft QCD processes which form an irreducible background to hard scattering events via the presence of multiple-partonic interactions (MPI). Due to their non-perturbative nature soft QCD processes require phenomenological models that need to be tuned to data. The ATLAS experiment [1] has published a wide range of measurements involving soft and hard QCD physics. These include jet production mea- surements giving insight into pQCD in the new, extended phase space region provided by the LHC as well as recent studies exploiting the use of the internal structure of jets to indentify heavily boosted object decays in searches for new physics. Measurements of observables sensitive to soft QCD pro- cesses have been carried out using ATLAS data allowing to obtain an improved understanding of soft particle production at LHC centre-of-mass energies. This is an Open Access article distributed under the terms of the Creative Commons Attribution License 2.0, which permits unrestricted use, distribution, and reproduction in any medium, provided the original work is properly cited. This is an Open Access article distributed under the terms of the Creative Commons Attribution License 2.0, which permits unrestricted use, distribution, and reproduction in any medium, provided the original work is properly cited. Article available at http://www.epj-conferences.org or http://dx.doi.org/10.1051/epjconf/20147000030 EPJ Web of Conferences EPJ Web of Conferences 2.2 Correlation Measurements Correlations between charged-particle multiplicities in forward and backward pseudorapidity bins have been studied using ATLAS MB data recorded at √s = 0.9 and 7 TeV [3]. While jets originating from hard processes produce high particle multiplicites within one pseudorapidity bin, quickly dimin- ishing as the pseudorapidity distance increases, soft processes by contrast tend to give rise to lower particle multiplicities over a wider pseudorapidity range. The forward-backward (FB) multiplicity correlation ρn fb between two particle multiplicities is defined as ρn fb = ⟨(n f −⟨n f ⟩)(nb −⟨nb⟩)⟩  ⟨(n f −⟨n f ⟩)2⟩⟨(nb −⟨nb⟩)2⟩ where nf and nb are the particle multiplicities in two chosen forward and backward intervals respec- tively and ⟨⟩denotes the mean over the events in the sample. Fig. 2 shows the correlations between symmetrically opposite η intervals found in the 7 TeV data, compared to the predictions of various MC tunes. While the general shape of the data distribution is reasonably well described by the MC tunes, the strength of the correlation is found to differ by up to 15% for some of the tunes. The corre- lations are described most consistently by AMBT2B [4] which was tuned to different variables using the ATLAS MB data recorded at √s = 0.9 and 7 TeV. Also shown in Fig. 2 is the ratio of the FB correlations at 900 GeV and 7 TeV for both data and different MC tunes. The multiplicity correlations are found to be lower at 900 GeV with the relative difference being greater at larger pseudorapdity separations indicating significantly higher long-range correlations with increasing centre-of-mass en- ergy. This trend is reproduced in most of the MC predictions. Further correlation measurements using MB data have been carried out by ATLAS based on the az- imuthal ordering of charged hadrons [5] as well as two-particle angular correlations [6]. 00030-p.2 00030-p.2 00030-p.2 [GeV] s 3 10 4 10 = 0 η ⏐ η / d ch dN ⋅ ev 1/N 1 2 3 4 5 6 2 ≥ ch > 100 MeV, n T p 6 ≥ ch > 500 MeV, n T p 1 ≥ ch > 500 MeV, n T p ATLAS Data PYTHIA 6 AMBT1 PYTHIA 6 MC09 PYTHIA 6 DW PYTHIA 8 PHOJET [GeV] s 3 10 4 10 = 0 η ⏐ η / d ch dN ⋅ ev 1/N 1 2 3 4 5 6 Figure 1. The average charged-particle multiplicity per unit of rapidity for η = 0 as a function of the centre- of-mass energy. The results with at least 2 charged particles within the kinematic range pT > 100 MeV and |η| < 2.5 are shown alongside the results with at least 1 and 6 charged particles respectively within the kinematic range pT > 500 MeV and |η| < 2.5 at 0.9, 2.36 and 7 TeV. The data are compared to various particle level MC predictions. The vertical error bars on the data represent the total uncertainty [2]. ICFP 2012 ICFP 2012 [GeV] s 3 10 4 10 = 0 η ⏐ η / d ch dN ⋅ ev 1/N 1 2 3 4 5 6 2 ≥ ch > 100 MeV, n T p 6 ≥ ch > 500 MeV, n T p 1 ≥ ch > 500 MeV, n T p ATLAS Data PYTHIA 6 AMBT1 PYTHIA 6 MC09 PYTHIA 6 DW PYTHIA 8 PHOJET [GeV] s 3 10 4 10 = 0 η ⏐ η / d ch dN ⋅ ev 1/N 1 2 3 4 5 6 ICFP 2012 Figure 1. The average charged-particle multiplicity per unit of rapidity for η = 0 as a function of the centre- of-mass energy. The results with at least 2 charged particles within the kinematic range pT > 100 MeV and |η| < 2.5 are shown alongside the results with at least 1 and 6 charged particles respectively within the kinematic range pT > 500 MeV and |η| < 2.5 at 0.9, 2.36 and 7 TeV. The data are compared to various particle level MC predictions. The vertical error bars on the data represent the total uncertainty [2]. 00030-p.2 η 0 0.5 1 1.5 2 2.5 FB multiplicity correlation 0.4 0.5 0.6 0.7 0.8 0.9 Data 2010 Pythia 6 MC09 Pythia 6 DW Pythia 6 Perugia2011 Pythia 6 AMBT2B Pythia 8 4C Herwig++ ATLAS = 7 TeV s > 100 MeV T p 2 ≥ ch n | < 2.5 η | η 0 0.5 1 1.5 2 2.5 MC / data 0.8 0.9 1 1.1 η 0 0.5 1 1.5 2 2.5 ratio 0.5 0.6 0.7 0.8 ATLAS FB multiplicity correlations Ratio 900 GeV / 7 TeV Pythia 6 MC09 Pythia 6 DW Pythia 6 Perugia2011 Pythia 6 AMBT2B Pythia 8 4C Data 2010 > 100 MeV T p 2 ≥ ch n | < 2.5 η | Figure 2. Forward-backward multiplicity correlation in symmetrically opposite η intervals for events with at least two charged particles with pT > 100 MeV and |η| < 2.5 The correlations measured in the data at 7 TeV (left) as well as the ratio of the 900 GeV results to the results at 7 TeV (right) are compared to MC predictions [3]. η 0 0.5 1 1.5 2 2.5 FB multiplicity correlation 0.4 0.5 0.6 0.7 0.8 0.9 Data 2010 Pythia 6 MC09 Pythia 6 DW Pythia 6 Perugia2011 Pythia 6 AMBT2B Pythia 8 4C Herwig++ ATLAS = 7 TeV s > 100 MeV T p 2 ≥ ch n | < 2.5 η | η 0 0.5 1 1.5 2 2.5 MC / data 0.8 0.9 1 1.1 η 0 0.5 1 1.5 2 2.5 ratio 0.5 0.6 0.7 0.8 ATLAS FB multiplicity correlations Ratio 900 GeV / 7 TeV Pythia 6 MC09 Pythia 6 DW Pythia 6 Perugia2011 Pythia 6 AMBT2B Pythia 8 4C Data 2010 > 100 MeV T p 2 ≥ ch n | < 2.5 η | FB multiplicity correlations Ratio 900 GeV / 7 TeV Figure 2. Forward-backward multiplicity correlation in symmetrically opposite η intervals for events with at least two charged particles with pT > 100 MeV and |η| < 2.5 The correlations measured in the data at 7 TeV (left) as well as the ratio of the 900 GeV results to the results at 7 TeV (right) are compared to MC predictions [3]. 2.3 Underlying Event Measurements The underlying event (UE) is defined to be any soft activity accompanying a high pT interaction of interest thus forming an irreducible background in hard scattering events. Distributions sensitive to UE activity are typically studied in the region perpendicular to the axis defined by the hard scatter. This so-called transverse region is defined via the azimuthal angular difference 60◦< |Δφ| < 120◦ relative to the direction of the hard scatter products approximated by the leading pT object. 00030-p.3 EPJ Web of Conferences [GeV] jet T p 10 20 30 40 50 60 70 80 90 100 φ Δ η Δ >/ ch N < 0.4 0.6 0.8 1 1.2 1.4 1.6 R=0.2 R=0.6 R=1.0 = 7 TeV s DATA 2010 Transverse region ATLAS [GeV] jet T p 0 20 40 60 80 100 > ratio ch N < 0 0.2 0.4 0.6 0.8 1 1.2 1.4 1.6 Transverse region = 7 TeV s -1 b μ dt = 800 L∫ ATLAS DATA 2010 R=0.2/R=0.6 DATA 2010 R=1.0/R=0.6 6 (Z1) R=0.2/R=0.6 YTHIA P 6 (Z1) R=1.0/R=0.6 YTHIA P Figure 3. The mean value of the number of charged particles in the transverse region as a function of pjet T for anti-kt jets with distance parameteres R = 0.2, 0.6 1.0 (left). Also shown is the ratio of the mean value obtained for distance parameters R = 0.2 and R = 1.0 to the results obtained for R = 0.6 (right). The shaded bands show the total uncertainty. The lines show the predictions of Pythia 6 with the Z1 [10] tune [11]. [GeV] jet T p 10 20 30 40 50 60 70 80 90 100 φ Δ η Δ >/ ch N < 0.4 0.6 0.8 1 1.2 1.4 1.6 R=0.2 R=0.6 R=1.0 = 7 TeV s DATA 2010 Transverse region ATLAS [GeV] jet T p 0 20 40 60 80 100 > ratio ch N < 0 0.2 0.4 0.6 0.8 1 1.2 1.4 1.6 Transverse region = 7 TeV s -1 b μ dt = 800 L∫ ATLAS DATA 2010 R=0.2/R=0.6 DATA 2010 R=1.0/R=0.6 6 (Z1) R=0.2/R=0.6 YTHIA P 6 (Z1) R=1.0/R=0.6 YTHIA P Figure 3. The mean value of the number of charged particles in the transverse region as a function of pjet T for anti-kt jets with distance parameteres R = 0.2, 0.6 1.0 (left). Also shown is the ratio of the mean value obtained for distance parameters R = 0.2 and R = 1.0 to the results obtained for R = 0.6 (right). The shaded bands show the total uncertainty. The lines show the predictions of Pythia 6 with the Z1 [10] tune [11]. Previous UE measurements carried out by ATLAS have used ID tracks associated to charged par- ticles [7] as well as energy deposits in the calorimeter associated to both neutral and charged par- ticles [8]. 00030-p.3 These results have recently been extended by UE studies based on charged-particle jets, reconstructed by applying the anti-kt algorithm [9] to ID tracks with distance parameters R varying between 0.2 and 1.0 [11]. Distributions of the charged particle multiplicity, the scalar sum of the transverse momenta of charged particles and the average charged-particle pT have been studied as a function of jet pT in regions transverse and opposite to the leading jet. In addition, the dependence of these distributions on the jet algorithm distance parameter R was investigated. Fig. 3 shows the charged-particle multiplicity in the transverse region as a function of jet pT for three representative values of R as well as the ratio of the results obtained with different R parameters. As the radius parameter R increases the jet transverse momentum pT is typically shifted towards higher values. Due to the collection of additional UE particles that contribute to the amount of bin migration any variation of the UE distributions with R additionally allows to test the ability of MC generators to model UE fluctuations and their spatial correlations. Reasonable agreement has been found between data and PYTHIA 6 [12] predictions based on tunes that have been determined using LHC data in discribing the mean UE event activity as well as in modelling coherent fluctuations. 3.1 Jet Cross Section Measurements Jet cross-sections serve as an important tool for providing information on the internal structure of the proton as well as for testing QCD and searches beyond the SM. ATLAS has measured the double- differential cross-section as a function of rapidity and transverse jet momentum of inclusive and dijet production based on the 2010 dataset corresponding to an integrated luminosity of 37 pb−1 [13]. The dijet measurement has recently been updated to the full 2011 data sample of L = 4.7 fb−1 [14] allow- ing for an improved precision w.r.t. the previous measurement. The measurements are performed in the jet rapidity range |y| < 4.4 (|y| < 2.8 for the measurement using 2011 data), covering jet transverse 00030-p.4 ICFP 2012 momenta from 20 GeV to 1.5 TeV and dijet invariant masses from 70 GeV to 5 TeV. Jets are identi- fied by clustering the four-momenta of three-dimensional topological clusters built from calorimeter cells using the anti-kt algorithm with distance parameters R = 0.4 and 0.6. After correcting the en- ergy of the jet for the impact of pile-up interactions, MC based calibration factors accounting for instrumental effects are applied as a function of the energy and pseudorapidity of the reconstructed jet [15]. The jet energy scale (JES) uncertainty is the dominant uncertainty for the inclusive jet and dijet measurements. Further corrections for detector inefficiencies and resolution are performed in an unfolding procedure based on a transfer matrix relating particle-level and reconstruction observ- ables using the IDS method [16]. Fig. 4 shows the unfolded measured inclusive cross-sections com- pared to NLO pQCD calculations corrected for non-perturbative effects. Both NLOJET++ [17] and POWHEG [18, 19] (with the parton shower switched off) were used for the hard scatter together with various PDF sets. The data show marginally smaller cross-sections with a worse description for large jet momenta and rapidities. However, the difference between the measured cross-sections and the NLO pQCD prescriptions are in the order of the systematic uncertainty for each PDF set. Compar- isons have also been performed with the POWHEG prediction, showered with either PYTHIA [12] or HERWIG [20]. Significant differences are observed between the two parton shower MCs, particularly at high pT and high rapidities. g p g p Furthermore, measurements of the inclusive and dijet cross-section of b-jets [21] as well as the multi- jet cross-section [22] have been performed using ATLAS data recorded in 2010. Figure 4. Ratios of the inclusive jet double-differential cross-section to the theoretical prediction obtained using NLOJET++ with the CT10 [23] PDF set in different rapidity bins for jets identified using the anti-kt algorithm with R = 0.4. The unfolded measured cross-sections are compared to theoretical prediction obtained by using NLOJET++ with different PDF sets (CT10, MSTW 2008 [24], NNPDF 2.1 [25], HERAPDF 1.5 [26]) (left) and to POWHEG predictions showered using either PYTHIA or HERWIG (right) [13]. Figure 4. Ratios of the inclusive jet double-differential cross-section to the theoretical prediction obtained using NLOJET++ with the CT10 [23] PDF set in different rapidity bins for jets identified using the anti-kt algorithm with R = 0.4. 00030-p.4 The unfolded measured cross-sections are compared to theoretical prediction obtained by using NLOJET++ with different PDF sets (CT10, MSTW 2008 [24], NNPDF 2.1 [25], HERAPDF 1.5 [26]) (left) and to POWHEG predictions showered using either PYTHIA or HERWIG (right) [13]. 3.2 Jet Substructure The internal structure of jets is influenced by various physics processes such as hadronisation, frag- mentation but also pile-up and UE (see section 2). Furthermore, decay products of heavily boosted 00030-p.5 00030-p.5 EPJ Web of Conferences particles ending up in single jets show a distinctive internal structure w.r.t. quark or gluon initiated jets. Measurements exploiting the substructure of jets therefore do not only provide insight into non- perturbative fragmentation effects [27, 28] and contributions from soft QCD background processes but can also serve as a tool to discriminate jets arising from many body decays against the dominant QCD background. Variables sensitive to the internal structure of high transverse momentum jets have recently been studied in ATLAS [29, 30] including kt-splitting-scales, N-subjettiness, jet width and eccentricity. y Furthermore, different algorithms allowing to remove contaminations from soft QCD processes to a given jet by making use of its characteristic internal structure are currently being investigated [31]. These so-called grooming techniques are based on the clustering ordering of the kt [32, 33] and Cambridge-Aachen (C/A) [34, 35] algorithms which typically reconstruct the QCD shower in the early recombination steps while proto-jets representing the products of a heavy particle decay tend to be combined in the ultimate steps. The prunning algorithm makes use of spatial and kinematic variables characterising the branching at each point in the jet reconstruction to identify and remove soft and wide-angle radiation constituents. Similarly, the trimming procedure uses the kt-algorithm to cluster the constituents of a given jet into subjets of size Rsub whereas relatively soft subjets with pT,i/pT < fcut are removed. Fig. 5 shows the normalised jet cross-section as a function of invariant jet mass for C/A R=1.2 jets before and after applying the so-called mass-drop filtering [30] procedure. This algorithm inverts the clustering of C/A jets to identify pairs of proto-jets describing a hard and symmetric splitting. In the subsequent filtering step the constituents of this pair of jets are reclustered into various subjets using the C/A algorithm with smaller distance parameter R. To remove contribu- tions from UE and pile-up effects only constituents within the 3 leading subjets in pT are considered to form the final jet. All of the grooming algorithms under study have been demonstrated to be powerful tools to improve the mass resolution of jets originating from heavy particle decays as well as to reduce their sensitivity to MPI processes. 0 50 100 150 200 250 300 GeV 1 dm σ d σ1 0 0.002 0.004 0.006 0.008 0.01 0.012 0.014 0.016 -1 L = 35 pb ∫ 2010 Data, Statistical Unc. Total Unc. 4 Conclusions ATLAS has carried out a wide range of measurements giving insight into soft and hard QCD physics at the new energy scale accessible at the LHC. Minimum bias and underlying event studies using ATLAS data provide an important tool for additional tuning of soft QCD parameters in MC genera- tors resulting in an improved data-MC agreement w.r.t. pre-LHC models. Studies involving high-pT jets such as the inclusive and dijet cross-section measurements have been performed in a new kine- matic regime allowing to test pQCD in phase space regions which had not been covered by previous studies. Together, these measurements contribute to a profound understanding of the SM. Due to this, signatures deviating from SM predictions and indicating new physics processes can be detected. [25] R. D. Ball et al., Nucl. Phys. B 838 (2012) 136. [25] R. D. Ball et al., Nucl. Phys. B 838 (2012) 136. [26] H1 and ZEUS Collaborations, H1prelim-10-142, ZEUS-prel-10-018. [27] ATLAS Collaboration, Phys. Rev. D 83 (2011) 052003. 00030-p.5 Pythia Herwig++ Cambridge-Aachen R=1.2 < 500 GeV T 400 < p = 1, |y| < 2 PV N ATLAS Jet Mass [GeV] 0 50 100 150 200 250 300 MC / Data 0.2 0.4 0.6 0.8 1 1.2 1.4 1.6 1.8 MC / Data 0.2 0.4 0.6 0.8 1 1.2 1.4 1.6 1.8 0 50 100 150 200 250 300 GeV 1 dm σ d σ1 0 0.002 0.004 0.006 0.008 0.01 0.012 0.014 0.016 -1 L = 35 pb ∫ 2010 Data, Statistical Unc. Total Unc. Pythia Herwig++ Cambridge-Aachen R=1.2 > 0.3 qq Split/Filtered with R < 500 GeV T 400 < p = 1, |y| < 2 PV N ATLAS Jet Mass [GeV] 0 50 100 150 200 250 300 MC / Data 0.2 0.4 0.6 0.8 1 1.2 1.4 1.6 1.8 MC / Data 0.2 0.4 0.6 0.8 1 1.2 1.4 1.6 1.8 Figure 5. Normalised cross-section as a function of mass of Cambridge-Aachen jets with R = 1.2 before (left) and after (right) applying a splitting and filtering algorithm based on the jet substructure characteristics [30]. 0 50 100 150 200 250 300 GeV 1 dm σ d σ1 0 0.002 0.004 0.006 0.008 0.01 0.012 0.014 0.016 -1 L = 35 pb ∫ 2010 Data, Statistical Unc. Total Unc. Pythia Herwig++ Cambridge-Aachen R=1.2 > 0.3 qq Split/Filtered with R < 500 GeV T 400 < p = 1, |y| < 2 PV N ATLAS Jet Mass [GeV] 0 50 100 150 200 250 300 MC / Data 0.2 0.4 0.6 0.8 1 1.2 1.4 1.6 1.8 MC / Data 0.2 0.4 0.6 0.8 1 1.2 1.4 1.6 1.8 0 50 100 150 200 250 300 GeV 1 dm σ d σ1 0 0.002 0.004 0.006 0.008 0.01 0.012 0.014 0.016 -1 L = 35 pb ∫ 2010 Data, Statistical Unc. Total Unc. Pythia Herwig++ Cambridge-Aachen R=1.2 < 500 GeV T 400 < p = 1, |y| < 2 PV N ATLAS Jet Mass [GeV] 0 50 100 150 200 250 300 MC / Data 0.2 0.4 0.6 0.8 1 1.2 1.4 1.6 1.8 MC / Data 0.2 0.4 0.6 0.8 1 1.2 1.4 1.6 1.8 Figure 5. Normalised cross-section as a function of mass of Cambridge-Aachen jets with R = 1.2 before (left) and after (right) applying a splitting and filtering algorithm based on the jet substructure characteristics [30]. 00030-p.6 00030-p.6 5 Acknowledgements The author acknowledges the financial support of the work by the DFG research training group 1054. 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The Effect of 3-Thiopheneacetic Acid in the Polymerization of a Conductive Electrotextile for Use in Biosensor Development
Biosensors
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cc-by
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biosensors ISSN 2079-6374 www.mdpi.com/journal/biosensors/ OPEN ACCESS biosensors ISSN 2079-6374 www.mdpi.com/journal/biosensors/ OPEN ACCESS Shannon K. McGraw 1,2, Evangelyn Alocilja 1,*, Andre Senecal 2 and Kris Senecal 3 1 Biosystems and Agricultural Engineering, Michigan State University, 524 S. Shaw Lane, 115 Farrall Hall, East Lansing, MI 48824, USA; E-Mail: shannon.k.mcgraw2.civ@mail.mil Biosystems and Agricultural Engineering, Michigan State University, 524 S. Shaw Lane, 115 Farrall Hall, East Lansing, MI 48824, USA; E-Mail: shannon.k.mcgraw2.civ@mail.mil 2 Food Protection Team, U.S. Army Natick Soldier Research, Development, and Engineering Center (NSRDEC), Natick, MA 01760, USA; E-Mail: andre.g.senecal.civ@mail.mil 3 Macromolecular Sciences and Engineering Team, U.S. Army NSRDEC, Natick, MA 01760, USA; E-Mail: kris.j.senecal.civ@mail.mil 115 Farrall Hall, East Lansing, MI 48824, USA; E-Mail: shannon.k.mcgraw2.civ@mail.mil 2 Food Protection Team, U.S. Army Natick Soldier Research, Development, and Engineering Center (NSRDEC), Natick, MA 01760, USA; E-Mail: andre.g.senecal.civ@mail.mil 3 Macromolecular Sciences and Engineering Team U S Army NSRDEC Natick MA 01760 USA; g g 2 Food Protection Team, U.S. Army Natick Soldier Research, Development, and Engineering Center (NSRDEC), Natick, MA 01760, USA; E-Mail: andre.g.senecal.civ@mail.mil 2 Food Protection Team, U.S. Army Natick Soldier Research, Development, and Engineering Center (NSRDEC), Natick, MA 01760, USA; E-Mail: andre.g.senecal.civ@mail.mil 3 Macromolecular Sciences and Engineering Team, U.S. Army NSRDEC, Natick, MA 01760, USA; E-Mail: kris.j.senecal.civ@mail.mil * Author to whom correspondence should be addressed; E-Mail: Alocilja@msu.edu; Tel.: +1-(517)-432-8672; Fax: +1-(517)-432-2892. * Author to whom correspondence should be addressed; E-Mail: Alocilja@msu.edu; Tel.: +1-(517)-432-8672; Fax: +1-(517)-432-2892. Received: 16 June 2013; in revised form: 15 July 2013 / Accepted: 22 July 2013 / Published: 29 July 2013 Abstract: Investigations were conducted to develop an electrotextile using a nonwoven polypropylene fiber platform conformally coated in a conductive, functionalized copolymer of polypyrrole and 3-thiopheneacetic acid (3TAA). The objectives of this study were to determine: (1) if the inclusion of 3TAA in the polymerization process would have an effect on the availability of binding sites in the high-surface area electrotextile for biorecognition elements and (2) how the increase in the concentration of 3TAA would affect the physical characteristics of the coating, resistivity of the sample and availability of binding sites. It was found that the addition of 3TAA to the polymerization process resulted in an increase in the size of the polypyrrole coating, as well as the material resistivity and available binding sites for biorecognition elements. These factors were used to determine which of the tested concentrations was best for biosensor development. A polymer coated membrane sample containing a concentration within the range of 10–50 mg/mL of 3TAA was selected as the best for future biosensor work. Keywords: 3-thiopheneacetic acid; electrotextile; biosensor; polypyrrole; antibody attachment Biosensors 2013, 3, 286-296; doi:10.3390/bios3030286 Biosensors 2013, 3, 286-296; doi:10.3390/bios3030286 1. Introduction Immuno-sensors utilize pathogen-specific antibodies coupled to a transducer as the biological recognition element for detection [1]. The benefits of the antibody-antigen reaction are well known, including high binding efficiency and specificity of detection. In addition, antibodies have been generated against a wide array of bacterial pathogens. Immuno-sensors have been shown to exhibit faster speed and lower cost compared to standard culture detection methods and DNA-based biorecognition techniques, making them especially marketable to the food industry [2–4]. In an electrochemical biosensor, the biological recognition element is immobilized on an electrode, which then converts the biological recognition event (i.e., antibody-antigen binding) into a measurable electrical signal [1]. One of the benefits of electrochemical impedance-based sensing is that it does not require enzyme labels or redox mediators to facilitate detection as optical-based sensing does [5]. In electrochemical impedance-based systems, a measurable system response is created when the biological recognition event disrupts the flow of the current at the working electrode, while the reference electrode maintains a constant potential [1]. A new field in the development of electrochemical-based biosensors is being explored using high-surface area electrospun membranes. These membranes have been shown to be versatile and can be developed into electrotextile “smart membranes” designed for use with all forms of sensor signal transduction. Previous work has been done to develop electrically active non-metallic textile coatings made of doped polypyrrole polymers [6–9]. By producing a conductive polymer coating on non-woven microfibers, an electrochemical biosensor electrode can be created that is less expensive than its planar metal counterpart [10], with more available surface area. These electrotextile electrodes can be engineered to emphasize qualities important in biosensor development: durability, disposability and the need for minimal attachment chemistry. The ability to use antibody functionalized fibers for capture, concentration and detection was previously demonstrated with electrospun nanofibers and a carboxyl functional group [11–14]. With the attachment of biological recognition elements to the electrotextile surface, these electrodes have the capacity to perform pathogen capture, concentration and detection. This would simplify a food pathogen biosensor, resulting in a significantly smaller and lighter detection system. The inclusion of 3-thiopheneacetic acid (3TAA) in the polymerization of such an electrotextile would provide the needed functional group sites for the binding of biorecognition elements necessary to a biosensor design (e.g., antibodies, avidin). Shannon K. McGraw 1,2, Evangelyn Alocilja 1,*, Andre Senecal 2 and Kris Senecal 3 Keywords: 3-thiopheneacetic acid; electrotextile; biosensor; polypyrrole; antibody attachment Biosensors 2013, 3 Biosensors 2013, 3 287 1. Introduction Previous work has demonstrated the successful copolymerization of pyrrole and 3TAA to make a functionalized conductive polymer coating, but has not explored the various effects of that inclusion on multiple characteristics of the polymer [11,13–15]. The objectives of this study were to determine the following: if the inclusion of 3TAA in the polymerization process would have an effect on the availability of binding sites in a high-surface area electrotextile for biorecognition elements; and how the increase in the concentration of 3TAA would affect the physical characteristics of the coating, resistivity of the sample and available number of binding sites. These factors were used to determine which of the tested concentrations was best for biosensor applications. Biosensors 2013, 3 Biosensors 2013, 3 288 2.1. Materials Nonwoven polypropylene microfibers were obtained from North Carolina State Nonwovens Cooperative Research Institute. The fibers were formed into a spunbond fabric with regular periodic spot-melt points to create structural integrity across the fabric. The fibers were cut into circular discs with a diameter of 1.2 cm. They were coated with a doped conductive polypyrrole polymer. For the polymer synthesis, the monomer used was a 10% (v/v) pyrrole solution that was copolymerized with carboxylic acid functional 3TAA. The oxidant was iron (III) chloride (FeCl3). The polymer was doped using 5-sulfosalicylic acid (5SSA). Water was used as the reaction solvent. All of the polymerization chemicals were obtained from Sigma-Aldrich (St. Louis, MO, USA). Covalent attachment of fluorescein isothiocyanate (FITC) labeled avidin (Thermo Fisher Scientific, Waltham, MA, USA) was performed using N-(3-dimethylaminopropyl)-N’-ethylcarbodiimide hydrochloride (EDC) (Sigma-Aldrich) and N-hydroxysulfosuccinimide (sulfo-NHS) (Invitrogen, Carlsbad, CA, USA) with 50 mM 2-(N-morpholino) ethanesulfonic acid (MES) buffer, pH 6.0 (Thermo Fisher Scientific). 2.2. Synthesis A previously published aqueous deposition process for the conductive and functional polymer coatings upon a polypropylene fiber matrix was used [11,14]. Polypropylene microfiber mats were briefly submerged in a solution of 10% pyrrole, 90% water and varying concentrations of 3TAA (concentrations of 0, 1, 10, 20, 50 or 100 mg/mL). The functionalized monomer was absorbed onto the fiber mat. The wet fiber sample was then removed from the solution and placed in a glass container for polymerization. FeCl3 (0.1 M, 10 mL) was added to the sample to initiate the chemical reaction, while a dopant, 5SSA (0.1 M, 1 mL), was simultaneously added. The fibers in solution were incubated at room temperature for 30 min with constant agitation, thereby ensuring that polymerization occurred on both sides of the mat. The nonwoven fiber sample was removed from the solution, gently rinsed on both sides with deionized (DI) water and dried at room temperature overnight. 2.3.4. Avidin Attachment and Fluorescent Output Fluorescein isothiocyanate labeled avidin (FITC-avidin) was attached to the functionalized membranes through EDC/Sulfo-NHS crosslinking. The discs were washed with DI water and left to dry for 10 min at room temperature. A volume of 200 µL of EDC and Sulfo-NHS in MES buffer was added to each disc and left to react with gentle agitation for 15 min. The discs were then washed twice with MES buffer. A volume of 250 µL of FITC-avidin was added to each disc and reacted with gentle agitation for 4 h. The discs were washed with MES buffer and, then, washed in triplicate with phosphate buffered saline (PBS). The samples were read using a Fluoroskan Ascent microplate fluorometer (Thermo Scientific) and measured for fluorescence at an excitation wavelength of 490 nm. Emission was measured at 535 nm. Triplicate readings were taken for each sample and averaged to obtain an average fluorescent output value. Biosensors 2013, 3 289 (Carl Zeiss Microscopy, LLC, Thornwood, NY, USA). Pictures of each sample were taken at 100× and 5,000× magnification. EDS measurements were performed with 102.4 µs amp time for 500 counts at magnifications of 100×. 2.3.2. FTIR Analysis FTIR spectra for the samples were obtained by measuring the coated fiber membranes using a Nicolet 6700 FT-IR Spectrometer (Thermo Scientific, Lanham, MD, USA). Triplicate readings were taken for each sample and averaged to obtain the sample spectrum. 2.3.3. Electrical Resistivity Resistivity measurements were taken of the fiber membranes using a four point probe (Pro-4, Signatone, Gilroy, CA, USA) and a Keithley 2400 Sourcemeter (Keithley Instruments, Cleveland, OH, USA). Triplicate readings of 3 samples per concentration of 3TAA for a total of 9 measurements per sample were taken for each sample. Dixon’s Q test was used to identify and reject outliers using a 99% confidence level. The measured resistivity values were then averaged to obtain the reported sample resistivities. 2.3. Characterizations Five different methods were used to analyze the effect of the concentration of 3TAA: scanning electron microscopy (SEM) was conducted for a visual assessment, energy dispersive spectroscopy (EDS) was used to determine elemental weight percentages, Fourier transform infrared spectroscopy (FTIR) was used to monitor changes in the C–O stretching band for the carboxylate unit, resistivity measurements were taken across a cross section of the fiber membranes and fluorescence measurements were taken after FITC-avidin was covalently bound to the functional sites. 2.3.1. Scanning Electron Microscopy and Energy Dispersive Spectroscopy A visual assessment was conducted using scanning electron microscopy. Energy dispersive spectroscopy was used to determine elemental weight percentages. The samples were gold sputter coated and imaged with a Zeiss EVO 60 scanning electron microscope fitted with an EDS attachment Biosensors 2013, 3 Biosensors 2013, 3 Table 1. Characterization of polypyrrole copolymer with increasing concentrations of 3-thiopheneacetic acid (3TAA) (resistivity and fluorescent output are averages ± the standard error of the mean). RFU: relative fluorescence unit. Table 1. Characterization of polypyrrole copolymer with increasing concentrations of 3-thiopheneacetic acid (3TAA) (resistivity and fluorescent output are averages ± the standard error of the mean). RFU: relative fluorescence unit. Concentration of 3TAA (mg/mL) Average Resistivity (Ω∙cm) Sulfur Weight (%) Average Fluorescent Output (RFU) 0 4.6 ± 0.4 0.93 1.0287 ± 0.0205 1 3.4 ± 0.1 0.55 1.3870 ± 0.1344 10 6.3 ± 0.3 1.30 1.4770 ± 0.1875 20 7.6 ± 0.2 1.54 1.2677 ± 0.1071 50 9.4 ± 0.6 2.24 1.6453 ± 0.2408 100 1,587.4 ± 429.9 3.83 3.9623 ± 1.3675 3.1.1. SEM Analysis 3.1. Results Increases in resistivity, sulfur weight percent, the presence of carboxyl groups and fluorescent output were all observed as the concentration of 3TAA increased in the samples. These increases became apparent at a concentration of 10 mg/mL of 3TAA in the monomer solution. A summary of results can be found in Table 1. 290 Biosensors 2013, 3 291 Biosensors 2013, 3 3.1.1. SEM Analysis The increase in concentration of 3TAA in the polymerization process resulted in an increase in the buildup of the coating on the polypropylene fibers. Little visible difference was observed between the samples ranging in concentration from 0–10 mg/mL. The four samples tested within this range showed a conformal polymer coating around the individual polypropylene fibers. Along the fibers, small buildup of polymer could be observed. An example of this can be seen in Figure 1(A), where fibers were coated with a concentration of 10 mg/mL. Samples with higher 3TAA concentration displayed large buildups of polymer that had collected together to form aggregates measuring roughly 400–500 µm in diameter on the fiber surface. As seen in Figure 1(B), fibers coated at a concentration of 100 mg/mL show polymer build up along the surface, engulfing several fibers and reducing the porosity of the membrane instead of forming a smooth conformal polymer coating along the individual fibers. It was also observed that as the concentration of 3TAA was increased, the polymer coating became more brittle. Flakes of polymer fell off of the samples containing 50 and 100 mg/mL when handled. Figure 1. SEM images of fibers with polymer coating at 5,000× magnification. (A) 3TAA concentration of 10 mg/mL. A smooth conformal polymer coating was observed along the individual fibers with minimal polymer clusters. (B) 3TAA concentration of 100 mg/mL. The coating is rough, with a large amount of polymer built up along the surface, engulfing several fibers and reducing the porosity of the membrane. 3.1.2. Electrical Resistivity As can be seen in Table 1, the measured average resistivities of the samples range from 3.4 to 1,587.4 Ω·cm. The samples containing 0, 1, 10, 20 and 50 mg/mL of 3TAA all have resistivity’s under 10 Ω·cm, with the samples composed from 0 and 1 mg/mL under 5 Ω·cm. A sharp increase is observed in the resistivities of the samples containing 100 mg/mL of 3TAA, with the average resistivity being over 150× larger than the sample containing 50 mg/mL. We hypothesize that at this concentration of 3TAA, self-polymerization occurs between the 3TAA molecules. Because the 3TAA is the non-conductive component of the coating, this results in the disproportional increase in material resistivity. A steady increase in average resistivity is observed as the concentration increased, starting at 1 mg/mL. A Student’s t-test (two tails, α = 0.05) shows a significant difference between all samples. The relationship between the concentration of 3TAA in each sample and the resistivity of the sample can be seen in Figure 2. The results in Figure 2 do not include the results for a concentration of 100 mg/mL of 3TAA, so that small changes between the lower concentrations could be observed. Figure 2. Change in sample resistivity based on increasing 3TAA concentrations, with error bars representing the standard error of the mean of each sample. The overall trend shows resistivity increasing as the concentration of 3TAA increases, starting at 1 mg/mL. The measured value for a concentration of 100 mg/mL has been excluded, due to a difference in scale, so that small changes among lower concentrations may be observed. 3.1.3. Elemental Weight Percent 3.1.3. Elemental Weight Percent Because the chemical structure of 3TAA contains a free carboxyl attached to a sulfur ring, the presence of sulfur was used as an indicator of the presence of carboxyl groups in the coating surface for covalent binding. Energy dispersive spectroscopy was used to determine the elemental weight percentages for each sample. The sulfur weight percent measured in each sample can be seen in Table 1, ranging from 0.55% to 3.83%. All of the samples with 3TAA concentrations of 10 mg/mL or higher have a sulfur weight percent of greater than 1%. The measured sulfur weight percent decreases by 0.38% between 0 and 1 mg/mL. The range between the measurements of the samples containing 10 and 20 mg/mL of 3TAA 292 Biosensors 2013, 3 is 0.24%. 3.1.2. Electrical Resistivity A sharp increase in the weight percent of sulfur is observed between the samples containing 50 and 100 mg/mL of 3TAA with a range of 1.59%. Because sulfur is also present in the dopant, 5SSA, only changes in the sulfur weight percent from the sample containing 0 mg/mL 3TAA can be attributed to the 3TAA presence. The relationship between the weight percent of sulfur and the concentration of 3TAA in each sample can be seen in Figure 3. Figure 3. Change in sulfur weight percent at 100× magnification using energy dispersive spectroscopy (EDS) based on increasing 3TAA concentrations. The overall trend shows the sulfur weight percentage increasing as the concentration of 3TAA increases in the sample, starting at 1 mg/mL. 3.1.4. FTIR Biosensors 2013, 3 Biosensors 2013, 3 Figure 4. Averaged FTIR spectra for polypyrrole coating with the addition of various concentrations of 3TAA: 0 mg/mL (1); 1 mg/mL (2); 10 mg/mL (3); 20 mg/mL (4); 50 mg/mL (5); 100 mg/mL (6). Figure 4. Averaged FTIR spectra for polypyrrole coating with the addition of various concentrations of 3TAA: 0 mg/mL (1); 1 mg/mL (2); 10 mg/mL (3); 20 mg/mL (4); 50 mg/mL (5); 100 mg/mL (6). concentrations of 3TAA: 0 mg/mL (1); 1 mg/mL (2); 10 mg/mL (3); 20 mg/mL (4); 50 mg/mL (5); 100 mg/mL (6). 3.1.5. Fluorescence The intensity of the FITC signal measured following the crosslinking reaction was used as an indicator of the relative amount of avidin that was successfully attached to the available binding sites provided by the presence of carboxyl groups in the polymer coating. The average fluorescence output for each sample can be seen in Table 1. The average fluorescence signal measured range from 1.0287 to 3.9623 relative fluorescence units (RFUs). Only the sample containing 0 mg/mL of 3TAA measures below the value of 1.1 RFUs. Although the average fluorescent output of the sample containing 0 mg/mL 3TAA was the lowest of all samples measured, there was still an unexpected fluorescent signal. This is most likely due to the FITC-avidin nonspecifically attaching to the rough surface and in the pores between the polymer coated fibers. The samples containing 50 and 100 mg/mL both exceed 1.5 RFUs. The sharpest increase in signal comes between the samples containing 50 and 100 mg/mL, with the difference being 2.317 RFUs. The increase in concentration of 3TAA in each sample coincides with an increase in fluorescent signal for every sample, except between 10 and 20 mg/mL. The relationship between the average fluorescent readout value and concentration of 3TAA in each l b i Fi 5 3.1.5. Fluorescence 3.1.4. FTIR Because EDS is morphology-dependent, it is not generally considered a quantitative technique. In order to support our findings about the increased presence of carboxyl groups in the polymer, due to the increase of 3TAA concentration in the monomer, FTIR spectra for each of the tested sample concentrations were generated. Because of variability in the thickness of the coatings, different absorption rates were observed. As the concentration of 3TAA increases, the C–S–C peak (~ 670 cm–1) showing planar deformation of the thiophene ring becomes more pronounced. A peak is also observed at a wavelength of 750 cm–1, possibly corresponding to the C–H group being out of plane mode in the thiophene ring. An increase in the C–C stretching of the thiophene ring (~1,370 cm–1) is also observed as the concentration of 3TAA increases. Peaks not found in pure pyrrole are also observed at wavelengths of 1,500 cm–1, between 1,550 and 1,700 cm–1 and at 2,900 cm–1 and appear to increase at increasing concentrations of 3TAA. The increases observed between 1,550 and 1,700 cm–1 are particularly notable, because they are most likely due to the C=O stretching for the acetic acid in the 3TAA. These peaks are first seen at a concentration of 10 mg/mL, but become pronounced at 50 mg/mL. This data indicates that the 3TAA is copolymerizing with the pyrrole during the aqueous deposition polymerization onto the polypropylene microfibers. These results can be seen in Figure 4. 293 Biosensors 2013, 3 294 Biosensors 2013, 3 Figure 5. Change in average fluorescent output after FITC-avidin binding based on increasing 3TAA concentrations with error bars showing the standard error of the mean for each sample. The overall trend shows the average fluorescence output increasing at larger concentrations of 3TAA. Figure 5. Change in average fluorescent output after FITC-avidin binding based on increasing 3TAA concentrations with error bars showing the standard error of the mean for each sample. The overall trend shows the average fluorescence output increasing at larger concentrations of 3TAA. 3.2. Discussion 3.1.5. Fluorescence The intensity of the FITC signal measured following the crosslinking reaction was used as an indicator of the relative amount of avidin that was successfully attached to the available binding sites provided by the presence of carboxyl groups in the polymer coating. The average fluorescence output for each sample can be seen in Table 1. The average fluorescence signal measured range from 1.0287 to 3.9623 relative fluorescence units (RFUs). Only the sample containing 0 mg/mL of 3TAA measures below the value of 1.1 RFUs. Although the average fluorescent output of the sample containing 0 mg/mL 3TAA was the lowest of all samples measured, there was still an unexpected fluorescent signal. This is most likely due to the FITC-avidin nonspecifically attaching to the rough surface and in the pores between the polymer coated fibers. The samples containing 50 and 100 mg/mL both exceed 1.5 RFUs. The sharpest increase in signal comes between the samples containing 50 and 100 mg/mL, with the difference being 2.317 RFUs. The increase in concentration of 3TAA in each sample coincides with an increase in fluorescent signal for every sample, except between 10 and 20 mg/mL. The relationship between the average fluorescent readout value and concentration of 3TAA in each sample can be seen in Figure 5. 4. Conclusions A polypropylene fiber matrix was conformally coated in a conductive, functionalized polymer. Coated fiber membranes maintained porosity, surface area and coating durability, while gaining electrical conductivity and biorecognition element binding sites. The addition of 3TAA to the polymerization process resulted in a change of coating morphology, resistivity and available binding sites for biorecognition elements. Polymer coated membrane samples containing concentrations within the range of 10–50 mg/mL of 3TAA were selected as the best for future biosensor development. Future work will be conducted to narrow the concentration range and identify the optimal concentration of 3TAA in the polymerization reaction in order to create a conductive electrotextile for use in biosensors. We also intend to explore how changes to other factors in the polymerization process, such as reaction times and the other component concentrations, will affect the conductivity and morphology of the fiber coatings. The use of a higher surface area nonwoven material may also be used to increase the number of potential binding sites within a square area. Additionally, we intend to look at applying the coating to more uniformly constructed fabrics in order to reduce variability between samples. Biosensors 2013, 3 Biosensors 2013, 3 3TAA. The concentration vs. signal outputs did show an observable difference between samples with a concentration of 10 mg/mL of 3TAA and samples without 3TAA. At a concentration of 10 mg/mL, the membranes had an average resistivity 38.3% higher than the membranes containing no 3TAA, a sulfur weight percentage 39.8% higher and an increase in average fluorescent output of 43.6%. Increases in sulfur weight percentages and fluorescence outputs when compared to the samples containing no 3TAA were also observed at concentrations of 20, 50 and 100 mg/mL, with the overall trend showing an increase in the measured value as the 3TAA concentration increased; however, all three also showed an increase in polymer buildup on the fibers, which resulted in a lower polymer durability (flaking) and higher sample resistivity. For these reasons, it was determined that the optimal concentration for use in our electrotextile biosensor assembly will be within the range of 10–50 mg/mL 3TAA. Acknowledgments The work presented in this paper was supported by RDECOM NSRDEC and the ASEE SMART program. The authors would also like to acknowledge Patrick Marek, Dave Ziegler and Gianna Prata of RDECOM NSRDEC for their assistance with this project. Conflict of Interest The authors declare no conflict of interest. 3.2. Discussion The purpose of this study was to determine if the inclusion of 3TAA in the polymerization process would have an effect on the availability of binding sites for bio recognition elements; how the increase in the concentration of 3TAA would affect the physical characteristics of the coating, resistivity of the sample and number of binding sites available; and to determine which concentrations would be best for immuno-sensor development. In all five characterization methods used, a difference was observed between samples that did and did not include 3TAA. The trend was observed for each characterization that after an initial threshold was met, the measured difference increased as the concentration of 3TAA increased. The addition of 3TAA resulted in an increase in the size and buildup of the polymer coating along the individual polypropylene fibers, with the largest accumulation of polymer observed with the addition of 100 mg/mL of 3TAA. The addition of 3TAA also resulted in a higher resistivity being measured for the sample, a higher elemental weight percent of sulfur in the sample, an increase in the size of the C=O stretch corresponding to the presence of the carboxylate unit and a higher fluorescent reading after the samples were put through the EDC/sulfo-NHS/FITC-avidin binding reaction. The additional carboxyl groups from the 3TAA co-polymer reacted with the EDC/sulfo-NHS cross-linking to result in this increase in the attachment of the FITC labeled avidin. However, the increase in available functional groups for additional antibody attachment came at a cost to the material’s resistivity. Increasing 3TAA changed the polymer morphology, ultimately resulting in a larger, more globular and less conductive coating. When developing an electrochemical biosensor, it is important that a balance be found between increasing the available binding sites for reactions to take place and decreasing the membrane resistivity to achieve maximum sensitivity. It is also important that the membrane maintain its porosity and, therefore, increased surface area, as well as being environmentally robust. In our research, an observable difference could not consistently be seen between the samples containing 0 and 1 mg/mL 295 1. Wang, J. Analytical Electrochemistry, 2nd ed.; John Wiley & Sons: New York, NY, USA, 2000; Volume XVI, p. 209. 2. Alocilja, E.C.; Radke, S.M. Market analysis of biosensors for food safety. Biosens. Bioelectron. 2003, 18, 841–846. References 1. Wang, J. Analytical Electrochemistry, 2nd ed.; John Wiley & Sons: New York, NY, USA, 2000; Volume XVI, p. 209. 1. Wang, J. Analytical Electrochemistry, 2nd ed.; John Wiley & Sons: New York, NY, USA, 2000; Volume XVI, p. 209. 2. Alocilja, E.C.; Radke, S.M. Market analysis of biosensors for food safety. Biosens. Bioelectron. 2003, 18, 841–846. 2. Alocilja, E.C.; Radke, S.M. Market analysis of biosensors for food safety. Biosens. Bioelectron. 2003, 18, 841–846. Biosensors 2013, 3 296 3. Swain, A. Biosensors: A new realism. Ann. Biol. Clin. 1992, 50, 175–179. 4. Warsinke, A. Biosensors for Food Analysis. In Frontiers in Biosensorics II: Practical Applications, 1st ed.; Scheller, F.W., Schubert, F., Fedrowitz, J., Eds.; Birkhauser Basel: Basel, Switzerland, 2000; pp. 121–140. 5. Munoz-Berbel, X.; Godino, N.; Laczka, O.; Baldrich, E.; Munoz, F.X.; Del Campo, J. Impedance-Based Biosensors for Pathogen Detection. 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McGraw, S.K.; Anderson, M.J.; Alocilja, E.C.; Marek, P.J.; Senecal, K.J.; Senecal, A.G. Antibody immobilization on conductive polymer coated nonwoven fibers for biosensors. Sens. Transducers J. 2011, 13, 142–149. 12. Senecal, A.; Magnone, J.; Marek, P.; Senecal, K. Development of functional nanofibrous membrane assemblies towards biological sensing. React. Funct. Polym. 2008, 68, 1429–1434. 13. McGraw, S.; Alocilja, E.; Senecal, A.; Senecal, K. Synthesis of a functionalized polypyrrole coated electrotextile for use in biosensors. Biosensors 2012, 2, 465–478. 14. McGraw, S.K.; Alocilja, E.; Senecal, K.; Senecal, A. A resistance based biosensor that utilizes conductive microfibers for microbial pathogen detection. OJAB 2012, 1, 36–43. 15. Vaddiraju, S.; Seneca, K.; Gleason, K.K. References Novel strategies for the deposition of –COOH functionalized conducting copolymer films and the assembly of inorganic nanoparticles on conducting polymer platforms. Adv. Funct. Mater. 2008, 18, 1929–1938. © 2013 by the authors; licensee MDPI, Basel, Switzerland. This article is an open access article distributed under the terms and conditions of the Creative Commons Attribution license (http://creativecommons.org/licenses/by/3.0/). © 2013 by the authors; licensee MDPI, Basel, Switzerland. This article is an open access article distributed under the terms and conditions of the Creative Commons Attribution license (http://creativecommons.org/licenses/by/3.0/). © 2013 by the authors; licensee MDPI, Basel, Switzerland. This article is an open access article distributed under the terms and conditions of the Creative Commons Attribution license (http://creativecommons.org/licenses/by/3.0/).
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Object tracking in a stereo and infrared vision system
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Object tracking in a stereo and infrared vision system S. Colantonio a,*, M. Benvenuti b, M.G. Di Bono a, G. Pieri a, O. Salvetti a a Istituto di Scienza e Tecnologie dell’Informazione del CNR, Via G. Moruzzi 1, 56124 Pisa, Italy b TD Group S.p.A., Via Traversagna 48, 56010 Migliarino Pisano, Pisa, Italy Available online 23 August 2006 Abstract In this paper, we deal with the problem of real-time detection, recognition and tracking of moving objects in open and unknown envi- ronments using an infrared (IR) and visible vision system. A thermo-camera and two stereo visible-cameras synchronized are used to acquire multi-source information: three-dimensional data about target geometry and its thermal information are combined to improve the robustness of the tracking procedure. Firstly, target detection is performed by extracting its characteristic features from the images and then by storing the computed parameters on a specific database; secondly, the tracking task is carried on using two different com- putational approaches. A Hierarchical Artificial Neural Network (HANN) is used during active tracking for the recognition of the actual target, while, when partial occlusions or masking occur, a database retrieval method is used to support the search of the correct target followed. A prototype has been tested on case studies regarding the identification and tracking of animals moving at night in an open environment, and the surveillance of known scenes for unauthorized access control. * Corresponding author. E-mail address: Sara.Colantonio@isti.cnr.it (S. Colantonio). Infrared Physics & Technology 49 (2007) 266–271 Infrared Physics & Technology 49 (2007) 266–271 1. Introduction ing to be explored as a way to improve the tracking perfor- mance [11,12]. Recognizing and tracking moving objects in video sequences is generally a very challenging task and auto- matic tools to identify and follow an object – target – are often subject to constraints regarding the environment under investigation, the characteristics of the target itself and its full visibility with respect to the background. In this paper, the problem of moving target detection and tracking is faced by processing multi-source informa- tion acquired using a vision system capable of stereo and IR vision. Combining the two acquisition modalities assures different advantages consisting, first of all, of an improvement of target detection capability and robustness, guaranteed by the strength of both media as complemen- tary vision modalities. Infrared vision is a fundamental aid when low-lighting conditions occur or the target has similar colour to the background. Moreover, as a detection of the thermal radiation of the target, the IR information can be manageably acquired on a 24-h basis, under suitable conditions. On the other hand, the visible imagery has a higher resolution and can supply more detailed informa- tion about target geometry and localization with respect to the background. y p g Current approaches regarding real-time object tracking are based on (i) successive frame differences [1,2], using also adaptive threshold techniques [3], (ii) trajectory tracking, using weak perspective and optical flow [4], (iii) region approaches, using active contours of the target and neural networks for movement analysis [5], or motion detection and successive regions segmentation [6,7]. In recent years, thanks to the improvement of infrared (IR) technology and the drop of its cost, also thermal infrared imagery has been widely used in tracking applications [8–10]. Besides, the fusion of visible and infrared imagery is start- The acquired multi-source information is firstly elabo- rated for detecting and extracting the target in the current frame of the video sequence. Then, the tracking task is car- ried on using two different computational approaches. A 267 S. Colantonio et al. / Infrared Physics & Technology 49 (2007) 266–271 Hierarchical Artificial Neural Network (HANN) is used during active tracking for the recognition of the actual tar- get; while, when the target is lost or occluded, a content- based retrieval (CBR) paradigm is applied on an a priori defined database to re-localize the correct target. 1. Introduction The initialization step is performed by manual interven- tion to allow the operator selecting the right target. For improving the recognition performance and its effectiveness, the user also selects a pre-defined semantic class which is associated to the current target. Then, an automatic motion detection procedure is performed to localize the target, and then to extract it from the scene by a rough segmentation. In the following sections, we describe our approach, dem- onstrating its effectiveness in two real case studies: the mon- itoring of animal movements during the night in an open environment (i.e. natural reserves or parks), and the surveil- lance of known scenes for unauthorized access control [13]. Once segmented, the target is described through a set of meaningful multi-modal features, belonging to morpholog- ical, geometric and thermographic classes, computed to obtain useful information on shape and thermal properties. 2. Problem formulation To cope with the uncertainty of the localization, increased by partial occlusions or masking, an HANN can be designed to process the set of features during an active tracking procedure, in order to recognize the correct- ness of the detected target. We face the problem of tracking a moving target distin- guishable from a surrounding environment owing to a dif- ference of temperature. In particular, we consider to overcome lighting and environmental condition variation using IR sensors. In case the HANN does not recognize the target, a wrong object recognition should happen, due to either a masking, partial occlusion of the object in the scene, or a quick movement in an unexpected direction. In this cir- cumstance, the localization of the target is performed, starting from the successive frame, by an automatic search supported by the CBR on a reference database. In this pro- cess, only a limited number of frames is considered and, if problems arise, the control is given back to the user. The tracking problem in a video sequence consists of two correlated phases: target spatial localization, for indi- viduating the target in the current frame, and target recog- nition, for determining whether the identified target is the one to be followed. Spatial localization can be sub-divided into detection and characterization; while recognition is performed for an active tracking of the target, frame by frame, or for re-local- izing it, by means of an automatic target search procedure. The general algorithm implementing the above described approach is shown in Fig. 1 and it regards its Fig. 1. The automatic target tracking algorithm (on-line processing). Fig. 1. The automatic target tracking algorithm (on-line processing). 268 S. Colantonio et al. / Infrared Physics & Technology 49 (2007) 266–271 on-line processing. In this case, the system is used in real time to perform the tracking task. Extracted features from the selected target drive active tracking with HANN and support the CBR to resolve the queries to the database in case of lost target. Before this stage, an off-line phase is necessary, where known and selected examples are pre- sented to the system so that the neural network can be trained, and all the extracted multi-modal features can be stored in the database, which is organised on the basis of the defined semantic classes. 3.1. Target detection When the tracking procedure is started, the user chooses the target to follow by selecting a reference point, called centroid C0, internal to it. This point is used in the succes- sive steps, during the automatic detection, to represent the target. In particular, starting from C0, a motion prediction algorithm has been defined to localize the target centroid in each frame of the video sequence. According to previous movements of the target, the current expected position is individuated, and then refined through a neighbourhood search, performed on the basis of temperature similarity criteria. Fig. 2. The motion prediction algorithm. The function INTERPOLATE performs the piecewise interpolation of the input points and returns the position of the next point of the succession. Input parameters: i = current frame index; {Fi}i=0,1,2,. . . = frames sequence; s = time period in seconds; fps = frames per second; s = threshold distance; k.k = Euclidean distance between two centroids; r = threshold distance of a candidate centroid; a,bj(a + b = 1) = weights assigned to the points, empirically defined and adjustable by the user. Let us consider the IR image sequence {Fi}i=0,1,2,. . ., cor- responding to the set of frames of a video, where Fi(p) is the thermal value associated to the pth pixel in the ith frame. The trajectory followed by the target, till the ith frame, i > 0, can be represented as the centroids succession {Cj}j=0,. . .,i1. The motion prediction algorithm for deter- mining the centroid Ci in the current frame can be described as shown in Fig. 2. Fig. 3. (left) The gradient descent procedure finding the edge points starting form the centroid (for sake of clearness, only eight of the 16 points are drawn); (right) example of extracted contour and its marked centroid. The coordinate of centroids referring to the last s sec- onds (s < 2 s, s dependent on the semantic class) are inter- polated for detecting the expected position P 1 i . Then, in a circular neighbourhood of P 1 i of radius equal to the average movement amplitude, an additional point P 2 i is detected as the point having the maximum similarity with the centroid Ci1 of the previous frame. 3.1. Target detection If kP 2 i  P 1 i k > r, then a new point P 3 i is calculated as a linear combination of the previ- ous determined ones. Finally, a local maximum search is again performed in the neighbourhood of P 3 i to make sure that it is internal to a valid object. This search finds the point Ci that has the thermal level closest to the one of Ci1: Fig. 3. (left) The gradient descent procedure finding the edge points starting form the centroid (for sake of clearness, only eight of the 16 points are drawn); (right) example of extracted contour and its marked centroid. More details of the algorithm are described in the following. 2. Problem formulation For each defined target class, possible variations of the initial shape are also recorded, for taking into account that the target could be still par- tially masked or have a different orientation. 4.1. Active tracking through HANN The target recognition procedure is realised using a hier- archical architecture of neural networks. In particular, the architecture is composed of two independent network lev- els each using a specific network typology that can be trained separately. The first level focuses on clustering the different features extracted from the segmented target; the second level per- forms the final recognition, on the basis of the results of the previous one. The architecture is shown in Fig. 4. The features of the candidate target are extracted from a new candidate centroid, which is computed starting from the last valid one (Cv). From Cv, considering the trajectory of the target, the same algorithm as in the target detection step is applied so that a candidate centroid Ci in the current frame is found and a candidate target is segmented. The clustering level is composed of a set of classifiers, each corresponding to one of the aforementioned classes of features. These classifiers are based on unsupervised Self Organizing Maps (SOM) [14] and the training is performed to cluster the input features into classes representative of the possible target semantic classes. At the end of the train- ing, each network is able to classify the values of the spe- cific feature set. The output of the clustering level is an m-dimensional vector consisting of the concatenation of the m SOMs outputs (in our case m = 3). This vector rep- resents the input of the second level. With respect to the actual feature vector, if the most sim- ilar pattern found in the database has a similarity degree higher than a prefixed threshold, then the automatic search has success and the target tracking for the next frame is per- formed through the active tracking. Otherwise in the next frame the automatic search is performed again, still consid- ering the last valid centroid Cv as a starting point. If after j frames the correct target has not yet been grabbed, the control is given back to the user. The value of j is computed considering the Euclidean distance between Cv and the border point of the frame Br along the search direction r, divided by the average velocity Vel of the target previously measured in the last v frames {Cj}j=0,. . .,v (Eqs. (1) and (2)): The recognition level consists of a neural network classi- fier based on Error Back-Propagation (EBP) [15]. 4. Target recognition The multi-modal features of the candidate target are compared to the ones recorded in a reference database. A similarity function is applied for each feature class [16]. In particular, we considered colour matching, using per- centages and colour values, and shape matching, using the cross-correlation criterion. In order to obtain a global sim- ilarity measure, each similarity percentage is associated to a pre-selected weight, using the reference semantic class as a filter to access the database information. 4.2. Automatic target search supported by CBR paradigm All the extracted information is passed to the recogni- tion phase, in order to assess if the localized target is correct. When a wrong target recognition occurs, due to mask- ing or occlusion, or quick movements in an unexpected direction, the automatic target search starts. 3.2. Target characterization Once the target has been segmented, multi-source infor- mation is extracted in order to obtain a target description. This is made through a feature extraction process per- formed on the three different images available for each frame in the sequence. In particular, the extraction of a Starting from the current centroid Ci, an automated edge segmentation of the target is performed, using a gra- dient descent along 16 directions, starting from Ci. Fig. 3 shows a sketch of the segmentation procedure and an example of its result. S. Colantonio et al. / Infrared Physics & Technology 49 (2007) 266–271 269 SOM1 EBP Network SOM2 SOM3 clustering level recognition level Morphological Geometric Thermographic Final recognition feature classes Cluster1 Cluster2 Cluster3 Fig. 4. Architecture of the Hierarchical Artificial Neural Network (HANN). depth index from the grey level stereo images, performed by computing disparity of the corresponding stereo points, is realized in order to have significant information about the target spatial localization in the 3D scene and the target movement along depth direction, which is use- ful for the determination of a possible static or dynamic occlusion of the target itself in the observed scene. feature classes Geometric clustering level Other features consisting in radiometric parameters measuring the temperature and visual features are extracted from the IR images. There are three different groups of visual features which are extracted from the region enclosed by the target contour: EBP Network recognition level • Morphological: shape contour descriptors; • Geometric: perimeter and area measure; • Thermographic: average temperature, its standard devia- tion, skewness, kurtosis, and entropy. Fig. 4. Architecture of the Hierarchical Artificial Neural Network (HANN). The semantic class the target belongs to (i.e. a small, a medium or a large animal,. . .) can be considered as an additional feature and is chosen by the user among a pre- defined set of possible choices and assigned to the target in the previous phase. with the active tracking. Otherwise, a wrong target recogni- tion occurs and the automatic target search is applied to the successive frame, in order to find the correct target. 4.1. Active tracking through HANN Once trained, such network is able to recognize the semantic class that can be associated to the examined target. If the semantic class is correct, as specified by the user, the detected target is recognized and the procedure goes on S. Colantonio et al. / Infrared Physics & Technology 49 (2007) 266–271 270 j ¼ kCv  Brk=Vel ð1Þ Vel ¼ X v1 i¼0 kCi  Ciþ1k ! v ð2Þ j ¼ kCv  Brk=Vel Vel ¼ X v1 i¼0 kCi  Ciþ1k ! v ð1Þ of animals like rabbits or badgers. For each outlined semantic class, different positions were considered. In more details, four different positions for boars, rabbits and other small animals and six for deer were registered. ð2Þ The number of operations performed for each frame when tracking animals of medium size consists of about 500,000 operations for the identification and characteriza- tion phases, while the active tracking requires about 4000 operations. This assures the real-time functioning of the pro- cedure on a personal computer of medium power. The auto- matic search process can require a higher number of operations, but it is performed when the target is partially occluded or lost due to some obstacles, so it can be reason- able to spend more time in finding it, thus loosing some frames. Of course, the number of operations depends on the dimension of the animal to be followed, i.e. bigger targets require a higher effort to be segmented and characterized. References Fig. 7. Behaviour of average velocity (Vm) and displacement (DS) functions (see Fig. 5). [1] A. Fernandez-Caballero, J. Mira, M.A. Fernandez, A.E. Delgado, On motion detection through a multi-layer neural network architecture, Neural Networks 16 (2003) 205–222. [2] B.C. Arrue, A. Ollero, J.R. Martinez de Dios, An intelligent system for false alarm reduction in infrared forest-fire detection, IEEE Intelligent Systems 15 (3) (2000) 64–73. Fig. 8. Example of surveillance in case of intrusion. [3] S. Fejes, L.S. Davis, Detection of independent motion using direc- tional motion estimation, Computer Vision and Image Understand- ing 74 (2) (1999) 101–120. [4] W.G. Yau, L.-C. Fu, D. Liu, Robust real-time 3D trajectory tracking algorithms for visual tracking using weak perspective projection, in: Proceedings of the American Control Conference, Arlington, VA. 2001. [5] K. Tabb, N. Davey, R. Adams, S. George, The recognition and analysis of animate objects using neural networks and active contour models, Neurocomputing 43 (2002) 145–172. [6] J.B. Kim, H.J. Kim, Efficient region-based motion segmentation for a video monitoring system, Pattern Recognition Letters 24 (2003) 113– 128. [7] J. Badenas, M. Bober, F. Pla, Segmenting traffic scenes from grey level and motion information, Pattern Analysis and Applications 4 (2001) 28–38. Fig. 8. Example of surveillance in case of intrusion. [8] M. Yasuno, N. Yasuda, M. Aoki, Pedestrian detection and tracking in far infrared images, in: Conference on Computer Vision and Pattern Recognition Workshop, 27–02 June 2004, pp. 125–131. the same tracking example and of the average velocity and displacement, respectively. [9] C. Dai, Y. Zheng, X. Li, Layered representation for pedestrian detection and tracking in infrared imagery, in: 2nd Joint IEEE International Workshop on Object Tracking and Classification in and Beyond the Visible Spectrum. San Diego, CA, USA, June 20, 2005. In the video-surveillance case, the human class has been composed taking into account six different postures (e.g. upstanding, crouched, crawling) for three different people typologies (short, middle, tall). p j g Beyond the Visible Spectrum. San Diego, CA, USA, June 20, 2005. [10] J. Zhou, J. Hoang, Real-time robust human detection and tracking system, in: 2nd Joint IEEE International Workshop on Object Tracking and Classification in and Beyond the Visible Spectrum, San Diego, CA, USA, June 20, 2005. The acquired images are pre-processed to reduce the noise. An example of target segmentation is shown in Fig. 8. [11] B. Bhanu, X. 5. Results The method implemented has been applied to real case studies: (i) to track animal movements in an open environ- ment during the night, for the fauna monitoring in natural parks, and (ii) for video surveillance to control unautho- rized access in restricted access areas. Due to the nature of the targets to which the tracking has been applied, using IR technology is fundamental. The temperature that characterizes living beings has been exploited to enhance the contrast of significant targets with respect to a surrounding background. An example of target tracking is shown in Fig. 5; while Figs. 6 and 7 illustrate a plot of the centroids trajectory for The videos were acquired using a thermo-camera in the 8–12 lm wavelength range, mounted on a moving structure covering 360 pan and 90 tilt, and equipped with 12 and 24 optics to have 320 · 240 pixel spatial resolution. Fig. 6. Centroids trajectory for the tracking fragment of Fig. 5: super- position of the centroids and the extracted contours of the target with respect to the (x,y) reference system of the frame. Both the thermo-camera and the two stereo visible-cam- eras were positioned in order to explore a scene 100 m far, sufficient in our experimental cases. The frame acquisition rate was 25 fps. In the fauna monitoring experimental case, during the off-line stage, the database was built taking into account different image sequences relative to different classes of the monitored animals. In particular, three main semantic classes were determined: the large-animal class counting all the monitored animals of a large size like deer, the med- ium-animal class including animals of medium size like boars, and the small-animal class considering other kind Fig. 6. Centroids trajectory for the tracking fragment of Fig. 5: super- position of the centroids and the extracted contours of the target with respect to the (x,y) reference system of the frame. Fig. 5. Example of deer tracking: eight frames, distant 0.75 s each other, corresponding to a monitoring time of 6 s. Fig. 5. Example of deer tracking: eight frames, distant 0.75 s each other, corresponding to a monitoring time of 6 s S. Colantonio et al. / Infrared Physics & Technology 49 (2007) 266–271 271 Fig. 7. Behaviour of average velocity (Vm) and displacement (DS) functions (see Fig. 5). References Zou, Moving humans detection based on multi-modal sensory fusion, in: Proc. IEEE Workshop on Object Tracking and Classification Beyond the Visible Spectrum (OTCBVS’04), pp. 101– 108, July 2004. [12] S.Y. Cheng, S. Park, M.M. Trivedi, Multi-perspective thermal IR and video arrays for 3D body tracking and driver activity analysis, in: 2nd Joint IEEE International Workshop on Object Tracking and Clas- sification in and Beyond the Visible Spectrum, San Diego, CA, USA, June 20, 2005. 5. Results In case of automatic searching of a masked or occluded target, a Content-Based Retrieval paradigm has been used for the retrieval and comparison of the currently extracted features with the previously stored in a reference database. The achieved results are promising for further improve- ments as the introduction of additional new characterizing features and enhancement of hardware requirements for a quick response to rapid movements of the targets. 6. Conclusion A methodology has been proposed for detection and tracking of moving targets in real-time video sequences acquired with two stereo visible cameras and an IR camera mounted on a robotized system. [13] M.G. Di Bono, G. Pieri, O. Salvetti, Multimedia target tracking through feature detection and database retrieval, in: Proceeding of the 22nd International Conference on Machine Learning – Workshop on Machine Learning Techniques for Processing Multimedia Content (ICML 2005), Bonn, Germany, 11th August 2005, pp. 19–22. Target recognition during active tracking has been per- formed, using an optimized Hierarchical Artificial Neural Network (HANN). The HANN system has a modular architecture which allows the introduction of new sets of features including new information useful for a more accu- rate recognition. The introduction of new features does not influence the training of the other SOM classifiers and only requires small changes in the recognition level. The modu- lar architecture allows the reduction of local complexity and at the same time, to implement a flexible system. [14] T. Kohonen, Self-Organization and Associative Memory, Springer Verlag, New York, 1984. [15] D.E. Rumelhart, J.L. McClelland, Parallel distributed processing: explorations in the microstructure of cognition, vols. 1 and 2, MIT Press, Cambridge (MA): Bradford, 1986. [16] P. Tzouveli, G. Andreou, G. Tsechpenakis, Y. Avrithis, S. Kollias, Intelligent visual descriptor extraction from video sequences, Lecture Notes in Computer Science—Adaptive Multimedia Retrieval 3094 (2004) 132–146.
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https://chimia.ch/chimia/article/download/2022_303/5303
English
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Multi-electron Transfer by U(ɪɪ) and Masked U(ɪɪ) Complexes
Chimia
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§SCS-Metrohm Award for best oral presentation in Inorganic Chemistry Abstract: Complexes of uranium in low oxidation state have shown the ability to activate non-reactive small mol- ecules such as N2. However, the multi-electron transfer required for such activation remains limited in uranium chemistry. Here, we review our recent research on the use of different strategies to overcome this issue, which has led to the isolation of a diuranium(iii) bridging oxide complex that reacts as a U(ii) synthon able to effect one-electron transfer per uranium center to N-heterocycles and multi-electron transfer to diphenylacetylene and azobenzene. We also showed that a closely related molecular U(ii) complex effects the same reactions providing the first unambiguous example of a monouranium four-electron transfer. Keywords: Electron transfer · Multimetallic complexes · Oxide · Redox-active ligands· Uranium Dieuwertje Modder did a Bachelor in Chemistry and a Master in Molecular Chemistry at the University of Amsterdam and the Vrije Universiteit Amsterdam supported by the Top Sector Chemistry Scholarship. She was also selected to do a funded internship at the University of Rochester and an Erasmus semester at the Université de Pierre et Marie Curie in Paris. She is currently a PhD student in the group of coordination chemistry of Prof. Marinella Mazzanti at the École Polytechnique Fédérale de Lausanne (EPFL), where she focuses on designing new uranium complexes to transform molecules such as N2, CO and CO2 into useful compounds. to metallacycles or azobenzene to bis-imido complexes (Scheme 1b, 6,7), reactions that require two and four electrons, respec- tively.[9–12] Finally, the electronic structure of uranium ions can be tuned by the ligands to enable monouranium multi-electron transfer. The +2 oxidation state was identified for the first time in mo- lecular compounds in 2013[13] and since then only a limited num- ber of U(ii) complexes[14–19] have been reported. Furthermore, their reactivity remains practically unexplored, partially due to their high reactivity.[15,20] Notably, U(ii) complexes can poten- tially transfer four electrons, but a first study of a U(ii) complex indicated that while it is able to transfer two electrons, it is also prone to undergo competitive one-electron transfer (Scheme 1c, 8–10).[15] Here we review the recent advancements in our group to achieve multi-electron transfer by uranium using a combina- tion of the strategies discussed above.[21,22] Inspired by previous results obtained in our group using OSi(OtBu)3 as supporting ligands in uranium chemistry,[6–8] a new diuranium(iii) oxo- bridged complex was synthesized, supported by the more elec- tron-donating N(SiMe3)2 ligands. Laureates: Junior Prizes FaLL Meeting 2021 doi:10.2533/chimia.2022.303 Laureates: Junior Prizes FaLL Meeting 2021 doi:10.2533/chimia.2022.303 Laureates: Junior Prizes FaLL Meeting 2021 doi:10.2533/chimia.2022.303 303 Laureates: Junior Prizes FaLL Meeting 2021 CHIMIA 2022, 76, No. 4 Chimia 76 (2022) 303–307 © D. K. Modder, M. Mazzanti doi:10.2533/chimia.2022.303 *Correspondence: Prof. Dr. M. Mazzanti, E-mail: marinella.mazzanti@epfl.ch Institut des Sciences et Ingénierie Chimiques, Ecole Polytechnique Fédérale de Lausanne (EPFL), CH-1015 Lausanne 1. Introduction Small molecules such as N2, CO and CO2 are abundant on Earth and thus attractive starting materials to produce value-add- ed compounds.[1,2] Low oxidation state uranium compounds have been shown to have unique properties, resulting in high reactivity towards these molecules.[3–5] In particular, U(ii) and U(iii) com- pounds are highly reducing, as required for the activation of un- reactive small molecules, but they predominantly undergo single- electron transfer reactions, whereas small molecule transforma- tion requires multiple electrons. In order to overcome this, several strategies can be employed. Firstly, multimetallic complexes can be used to implement multi- electron transfer through cooperation of the different uranium ions. This strategy has been successfully applied by our group, resulting in diuranium(iii) complexes, able to effect the four-elec- tron reduction of N2 by two cooperative U(iii)/U(v) oxidations (Scheme 1a, 1–5).[6–8] Nevertheless, multimetallic complexes in low oxidation states remain largely unexplored due to difficulties in devising rational syntheses. §SCS-Metrohm Award for best oral presentation in Inorganic Chemistry The oxo linker was chosen, as it is usually inert and cleavage of the M-O-M bond has only very rarely been observed. Only one example of a reactive bridging oxide has been reported in uranium chemistry.[23] In transition metal chemistry, an Fe(iii)-O-Fe(iii) complex has been reported to form a Fe(iv)=O and a Fe(ii) fragment, although only upon irradiation.[24,25] Multi-electron Transfer by U(ii) and Masked U(ii) Complexes Dieuwertje K. Modder§ and Marinella Mazzanti* §SCS-Metrohm Award for best oral presentation in Inorganic Chemistry 2. Linker Effect In our group, we also reported the synthesis of the nitride- bridged diuranium(iv) complex [NBu4][{((Me3Si)2N)3U}2(µ-N)] (12) from a reaction of [U{N(SiMe3)2}3],[26] (11) with 0.5 equiva- lents of NBu4N3 (Scheme 2a). However, due to the significantly increased electron-donating ability of the N(SiMe3)2 ligands, re- duction of the diuranium(iv) to afford the diuranium(iii) nitride- bridged complex could not be achieved. Secondly, redox active ligands can be combined with uranium to store extra electrons, available for reactivity. Various redox- active ligands have been used, resulting in uranium-redox active ligand systems that are able to reduce compounds such as alkynes In contrast, reduction of the previously reported oxo-bridged complex [{((Me3Si)2N)3U}2(µ-O)],[27] (13) with 10 equivalents Laureates: Junior Prizes FaLL Meeting 2021 304 304 CHIMIA 2022, 76, No. 4 CHIMIA 2022, 76, No. 4 Si(O tBu)2 U IIIOU III O K O K O O (tBuO )2Si O tBu O tBu Si(O tBu)2 O tBuO (tBuO )2Si (tBuO )3Si Si(O tBu)2 O tBuO N U V N O O K O Si(O tBu)2 O tBu Si(O tBu)2 O tBu O Si(O tBu)2 tBuO U V O KO (tBuO )2Si tBuO (tBuO )2Si tBuO O (tBuO )2Si O tBu U IV M e3C M e3C M e3C M e3C P CM e3 M e3C M e3C CM e3 CM e3 NN Ph Ph U VI M e3C M e3C M e3C M e3C CM e3 CM e3 NPh NPh a) b) c) 4e–transfer 4e–transfer 4 5 6 7 K U III N O O U III O O O O K tBu O tBu OSi Si K Si tBuO Si O tBu Si tBuO Si O tBu O Si tBu O O Si K N N U V N U V K K O Si tBu O O Si O tBu tBu O O Si tBu O OSi O tBu 4e–transfer 1 3 (tBuO )2Si tBuO OU IVNU IV O Si(O tBu)3 O O O (tBuO )3SiO (tBuO )2Si O Cs tBuOtBu O Si(O tBu)2 Si(O tBu)2 N 2 N 2 10KC 8 2 -ArP* U II SiM e3 K-crypt 3 U IV U III M e3Si M e3Si K-crypt SiM e3 SiM e3 SiM e3 2 + 2e–transfer 1e–transfer 7 8 9 -[K-crypt][Cp’] SiM e3 Scheme 1. 3. One-electron Transfer Reactions Complex 14 showed extraordinary reactivity with N-heterocycles, during which the usually inert U–O is eas- ily cleaved. Indeed, the reaction with 4,4'-bipyridine (4,4'-bpy) and pyridine (pyr) resulted in the release of a U(ii) synthon and the U(iv) terminal oxo side product, [K(2.2.2-cryptand)][U(O) {N(SiMe3)2}3] (15). Two U(ii) synthons react cooperatively with the substrate to transfer two electrons. This led to the isolation of diuranium(iii) complexes bridged by two-electron reduced ligands. Upon addition of 4,4'-bpy to a purple solution of complex 14 in THF-d8 at –80 °C, the color changed immediately to dark brown. Diffusion of hexane into a concentrated THF solution afforded a mixture of pink and brown crystals characterized as complex 15 and the 4,4'-bpy-bridged diuranium(iii) complex, [K(2.2.2-cryptand)]2[{((Me3Si)2N)3U}2(µ-4,4'-bpy)] (16, Scheme 3). This is the first example of reduction of 4,4'-bpy by uranium, although Meyer and colleagues did report the one-electron reduc- tion of 2,2'-bipyridine by a U(iii) complex,[30] which is harder to reduce (E1/2 in DMF vs. Ag/AgCl: 4,4'-bpy: –1.91 V –2.47 V, 2,2'-bpy: –2.19V and –2.76 V).[31] Complex 16 cannot be obtained clean from this reaction, since complex 15 has similar solubility. Nevertheless, it can be obtained in 68% yield through an alterna- tive method involving reduction of the diuranium(iv) analogue of 16, [{((Me3Si)2N)3U}2(µ-4,4'-bpy)] (18) which can be synthesized by reacting [U{N(SiMe3)2}3] with 4,4'-bpy (Scheme 5, below). 6 Complex 14 showed extraordinary reactivity with N-heterocycles, during which the usually inert U–O is eas- ily cleaved. Indeed, the reaction with 4,4'-bipyridine (4,4'-bpy) and pyridine (pyr) resulted in the release of a U(ii) synthon and the U(iv) terminal oxo side product, [K(2.2.2-cryptand)][U(O) {N(SiMe3)2}3] (15). Two U(ii) synthons react cooperatively with the substrate to transfer two electrons. This led to the isolation of diuranium(iii) complexes bridged by two-electron reduced ligands. c) U II SiM e3 K-crypt 3 SiM e3 7 - SiM e3 c) U IV M K-crypt 2 + 2e–transfer 8 -[K-crypt][Cp’] U III M e3Si M e3Si SiM e3 SiM e3 1e–transfer 9 7 8 2e–transfer Scheme 1. Examples of multi-electron transfer by a) cooperation be- tween uranium centers in multimetallic complexes,[6,7] b) cooperation between a uranium center and a redox-active ligand,[11] and c) a single uranium center.[15] of KC8 in the presence of cryptand at –80 °C resulted in the formation of the diuranium(iii) complex [K(2.2.2-cryptand)]2 [{((Me3Si)2N)3U}2(µ-O)] (14) (Scheme 2b). This complex can be isolated as purple crystals in 70% yield by diffusion of hexane into the THF solution. 2. Linker Effect Examples of multi-electron transfer by a) cooperation be- tween uranium centers in multimetallic complexes,[6,7] b) cooperation between a uranium center and a redox-active ligand,[11] and c) a single uranium center.[15] K U III N O O U III O O O O K tBu O tBu OSi Si K Si tBuO Si O tBu Si tBuO Si O tBu 1 uO )2Si tBuO OU IVNU IV O Si(O tBu)3 O O O (tBuO )3SiO tBuO )2Si O Cs tBuOtBu O Si(O tBu)2 Si(O tBu)2 N 10KC 8 2 K U III N O O U III O O O O K tBu O tBu OSi Si K Si tBuO Si O tBu Si tBuO Si O tBu 3 2 u)2 0KC 8 2 lower than the siloxide complex 4, showing no reactivity with N2, CO or H2. The reaction of 14 with CO2 yielded a few crystals of the U(iii) complex [K(2.2.2-cryptand)][U{N(SiMe3)2}3{OSiMe3}], which is likely formed due to ligand scrambling.[29] O Si tBu O O Si K N N U V N U V K K O Si tBu O O Si O tBu tBu O O Si tBu O OSi O tBu 4e–transfer 3 N 2 N U V N O O K O Si(O tBu)2 O tBu Si(O tBu)2 O tBu O Si(O tBu)2 tBuO U V O KO (tBuO )2Si tBuO (tBuO )2Si tBuO O (tBuO )2Si O tBu 4e–transfer 5 K U III NU III O O O K tBu O tBu OSi K Si O tBu Si tBuO O tBu O Si tBu O O Si K N N U V N U V K K O Si tBu O O Si O tBu tBu O O Si tBu O OSi O tBu 4e–transfer 3 N 2 2 The lack of reactivity observed for this diuranium(iii) complex parallels the decreased nucleophilic reactivity of the amide sup- ported nitride-bridged diuranium(iv) complex 12 compared to the siloxide analogue 1. Such differences were explained in terms of an increased covalent interaction between the uranium center and the amide ligands that results in a decreased electron density at the bridging nitride. Electronic effects could also play a role in the observed absence of interaction of the amide diuranium(III) complex, but steric effects leading to a decreased accessibility of the uranium center cannot be ruled out. 2. Linker Effect In order to assess if ste- ric effects were dominant we investigated the reactivity of these complexes with other bulkier but more coordinating substrates. 1 2 Si(O tBu)2 U IIIOU III O K O K O O (tBuO )2Si O tBu O tBu Si(O tBu)2 O tBuO (tBuO )2Si (tBuO )3Si Si(O tBu)2 O tBuO 4 N U V N O O K O Si(O tBu)2 O tBu Si(O tBu)2 O tBu O Si(O tBu)2 tBuO U V O KO (tBuO )2Si tBuO (tBuO )2Si tBuO O (tBuO )2Si O tBu 4e–transfer 5 5 4 U VI M e3C M e3C M e3C M e3C CM e3 CM e3 NPh NPh 4e–transfer 7 b) U IV M e3C M e3C M e3C M e3C P CM e3 M e3C M e3C CM e3 CM e3 Ph b) 6 -A 3. One-electron Transfer Reactions The molecular structure of 14 (Fig. 1a) as determined by X-ray crystallography consists of a dianionic oxo-bridged diuranium(iii) complex and two K(2.2.2-cryptand) counterions. The metrical parameters in the structure of 14 are similar to those of the parent complex 13, except for a longer average U–Namide bond length, which increased from 2.29(1) to 2.430(5) Å, consistent with the increase in ionic radius upon re- duction of U(iv) to U(iii) (ionic radii in octahedral environment: U(iii): 1.025 Å; U(iv): 0.89 Å).[28] 3 2 3 Pyridine reduction reactions are significantly more rare than bpy ones due to its high reduction potential (E1/2 in DMF vs. Ag/ Complex 14 was expected to be highly reducing due to the pres- ence of the more electron-donating N(SiMe3)2 ligands, compared to the OSi(OtBu)3 analogue, and therefore a good candidate to react with small molecules. Surprisingly, its reactivity is significantly U III *N *N *N N U III N* N* N* N H H K-crypt 2 U III OU III *N *N *N N* N* N* K-crypt 2 N N THF,-80°C U III *N *N *N N U III N* N* N* N K-crypt 2 0.5 0.5 0.5 U IV *N N* *N O K-crypt + N THF,-80°C -com plex15 N*=N(SiM e3)2 14 15 16 17 Scheme 3. Reactivity of [K(2.2.2-cryptand)]2[{((Me3Si)2N)3U}(µ-O)] (14) with 4,4'-bipyridine and pyridine to yield [K(2.2.2-cryptand)]2 [{((Me3Si)2N)3U}(µ-4,4'-bpy)] (16) and [K(2.2.2-cryptand)]2[{((Me3Si)2N)3U} (µ-(pyr)2)] (17) with the side product [K(2.2.2-cryptand)]2[U(O){N(SiMe3)2}3] (15). U IV *N N* *N O K-crypt + 15 + 15 U III *N *N *N N U III N* N* N* N 2 + 16 U IVOU IV (M e3Si)2N (M e3Si)2N (M e3Si)2N N(SiM e3)2 N(SiM e3)2 N(SiM e3)2 THF,-80°C -graphite 10KC 8, 22.2.2-cryptand U III OU III (M e3Si)2N (M e3Si)2N (M e3Si)2N N(SiM e3)2 N(SiM e3)2 N(SiM e3)2 K-crypt 2 14 U IVNU IV (M e3Si)2N (M e3Si)2N (M e3Si)2N N(SiM e3)2 N(SiM e3)2 N(SiM e3)2 10KC 8, (22.2.2-cryptand) a) b) NBu4 12 13 U III (M e3Si)2N N(SiM e3)2 (M e3Si)2N 0.5NBu4N 3 11 Scheme 2. Synthesis of [K(2.2.2-cryptand)]2[{((Me3Si)2N)3U}(µ-O)] (11) by reduction of [{((Me3Si)2N)3U}(µ-O)] (10) with excess KC8 in the presence of 2.2.2-cryptand. 3. One-electron Transfer Reactions K-crypt2 was observed in the 1H NMR spectra, but the scrambling prod- uct [K(2.2.2-cryptand][U{N(SiMe3)2}4] and other unidentified products were also observed, in particular if the in situ solu- tion of complex 19 was not reacted immediately (Scheme 4). These results clearly demonstrate that complex 14 in- deed behaves as a U(ii) synthon, but its reactivity is con- siderably more controlled and cleaner compared to the actual U(ii) complex 19, highlighting the importance of such syn- thons. +[K-crypt][U III{N(SiM e3)2}4] +otherproducts Scheme 4. Reactivity of [K(2.2.2-cryptand)]2[U{N(SiMe3)2}3] (19) with 4,4'-bipyridine and pyridine to yield [K(2.2.2-cryptand)]2[{((Me3Si)2N)3U} (µ-4,4'-bpy)] (16) and [K(2.2.2-cryptand)]2[{((Me3Si)2N)3U}(µ-(pyr)2)] (17) along with [K(2.2.2-cryptand)][U{N(SiMe3)2}4] and other side products. In the previous reactions, one electron is transferred per ura- nium center, either by a U(ii) complex or a U(ii) synthon, and two of these fragments cooperate to reduce the substrate by two electrons in total. Furthermore, the products of these reactions store multiple electrons, which can potentially be transferred to other substrates. We probed this possibility with complex 18 in a reaction with CO2. The diuranium(iv) analogue of 16 was chosen to confirm that the electrons transferred in the reaction are released by the ligand and do not come from the uranium, as U(iii) complexes[39,40] have been reported to reduce CO2 to af- ford carbonate using the electrons of the uranium center, while a U(iv) complex[41] was only able to reduce CO2 using the elec- trons stored in a redox-active ligand. The addition of two equiv- alents of 13CO2 to [{((Me3Si)2N)3U}2(µ-4,4'-bpy)], followed by quenching in D2O (pD = 13) showed complete conversion to 13CO2 in the quantitative 13C{1H} NMR spectrum, indicating the successful transfer of the two electrons stored in 4,4'-bpy (Scheme 5). AgCl = –2.76 V).[31] Only a few examples have been reported in the literature of complexes able to reductively couple pyridine: Ln(ii), Sc-arene, Th(iii) and Fe(ii).[32–36] Remarkably, complex 14 is the first example of pyridine reduction by uranium. Upon addition of pyridine to a purple solution of complex 1 in THF-d8 at –80 °C, the color remained purple, but 1H NMR signals of complex 15 were immediately observed in the 1H NMR spectrum, along with a new set of signals. Diffusion of hexane into a concentrated THF solution afforded a mixture of pink and purple crystals, characterized as complex 15 and [K(2.2.2- cryptand)]2[{((Me3Si)2N)3U}2(µ-pyr)2] (17, Scheme 3). 3. One-electron Transfer Reactions HF,-80°C graphite 0KC 8, .2-cryptand U III OU III (M e3Si)2N (M e3Si)2N (M e3Si)2N N(SiM e3)2 N(SiM e3)2 N(SiM e3)2 K-crypt 2 14 U IVNU IV (M e3Si)2N (M e3Si)2N (M e3Si)2N N(SiM e3)2 N(SiM e3)2 N(SiM e3)2 10KC 8, (22.2.2-cryptand) 12 16 12 b) U III OU III (M e3Si)2N (M e3Si)2N (M e3Si)2N N(SiM e3)2 N(SiM e3)2 N(SiM e3)2 2 14 17 14 13 Scheme 3. Reactivity of [K(2.2.2-cryptand)]2[{((Me3Si)2N)3U}(µ-O)] (14) with 4,4'-bipyridine and pyridine to yield [K(2.2.2-cryptand)]2 [{((Me3Si)2N)3U}(µ-4,4'-bpy)] (16) and [K(2.2.2-cryptand)]2[{((Me3Si)2N)3U} (µ-(pyr)2)] (17) with the side product [K(2.2.2-cryptand)]2[U(O){N(SiMe3)2}3] (15). Scheme 2. Synthesis of [K(2.2.2-cryptand)]2[{((Me3Si)2N)3U}(µ-O)] (11) by reduction of [{((Me3Si)2N)3U}(µ-O)] (10) with excess KC8 in the presence of 2.2.2-cryptand. 305 Laureates: Junior Prizes FaLL Meeting 2021 CHIMIA 2022, 76, No. 4 U IV *N *N *N N U IVN* N* N* N 213CO 2 D 2O THF -4,4’-bpy 13CO 32– 18 U III *N N* *N 11 N N 2 Scheme 5. Reactivity of [{((Me3Si)2N)3U}(µ-4,4'-bpy)] (18) with 2 equiva- lents of 13CO2 to yield 13CO2– quantitatively, while releasing 4,4'-bipyri- dine. +[K-crypt][U III{N(SiM e3)2}4] +otherproducts N N N U III *N *N *N N U III N* N* N* N K-crypt2 THF,-80°C U III *N *N *N N U III N* N* N* N H H K-crypt2 0.5 +[K-crypt][U III{N(SiM e3)2}4] +otherproducts THF,-80°C 0.5 17 16 U II *N N* *N K-crypt 19 N*=N(SiM e3)2 Scheme 4. Reactivity of [K(2.2.2-cryptand)]2[U{N(SiMe3)2}3] (19) with 4,4'-bipyridine and pyridine to yield [K(2.2.2-cryptand)]2[{((Me3Si)2N)3U} (µ-4,4'-bpy)] (16) and [K(2.2.2-cryptand)]2[{((Me3Si)2N)3U}(µ-(pyr)2)] (17) along with [K(2.2.2-cryptand)][U{N(SiMe3)2}4] and other side products. U IV *N *N *N N U IVN* N* N* N 213CO 2 D 2O THF -4,4’-bpy 13CO 32– 18 U III *N N* *N 11 N N 2 +[K-crypt][U III{N(SiM e3)2}4] U III *N *N *N N U III N* N* N* N 2 16 N N N K-crypt2 THF,-80°C U III *N *N *N N U III N* N* N* N H H K-crypt2 0.5 +[K-crypt][U III{N(SiM e3)2}4] +otherproducts THF,-80°C 0.5 17 U II *N N* *N K-crypt 19 N*=N(SiM e3)2 K-crypt2 K-crypt 18 11 +[K-crypt][U III{N(SiM e3)2}4] +otherproducts 16 16 Scheme 5. Reactivity of [{((Me3Si)2N)3U}(µ-4,4'-bpy)] (18) with 2 equiva- lents of 13CO2 to yield 13CO2– quantitatively, while releasing 4,4'-bipyri- dine. 3. One-electron Transfer Reactions Washing the mixture with toluene allowed the removal of 15 and clean isolation of 17 in 35% yield. The molecular structures of 16 (Fig. 1b) and 17 (Fig. 1c) show dianionic diuranium(iii) complexes, in which each uranium center is bound by three N(SiMe3)2 ligands and they are linked by the 4,4-bpy ligand or two reductively coupled pyridine molecules, re- spectively. The average U–Namide bond lengths (16: 2.387(11) Å; 17: 2.385(5) Å) are similar to that of complex 14, corroborating the assignment as the U(iii) oxidation state. Furthermore, 4,4'-bpy is a redox-active ligand and the C–Cinterring bond length is indica- tive of the degree of reduction. In 16, the C–Cinterring bond length of 1.393(8) Å is typical for two-electron reduced 4,4'-bpy[36,37] and is significantly shorter than the values reported for actinide complex- es containing neutral 4,4'-bpy.[38] In contrast, the C–Cinterring bond length in 17 is considerably longer at 1.570(17) Å, in line with a single bond. This bond length is comparable to those in previously reported pyridine complexes (1.559(4) Å to 1.563(6) Å).[32–36] 4. Multi-electron Transfer Reactions Reactivity of [K(2.2.2-cryptand)]2[{((Me3Si)2N)3U}(µ-O)] (14) and [K(2.2.2-cryptand)]2[U{N(SiMe3)2}3] (19) with azobenzene to yield [K(2.2.2-cryptand)][U(N2Ph2){N(SiMe3)2}3] (21) at –80 °C, which transforms into [K(2.2.2-cryptand)][U(NPh)2{N(SiMe3)2}3] (22) at room temperature. K-crypt THF,-80°C U IV *N N* *N Ph Ph Ph Ph THF,-80°C -com plex15 Ph Ph U II *N N* *N K-crypt U III OU III *N *N *N N* N* N* K-crypt 2 N*=N(SiM e3)2 14 19 20 Scheme 6. Reactivity of [K(2.2.2-cryptand)]2[{((Me3Si)2N)3U}(µ-O)] (14) and [K(2.2.2-cryptand)]2[U{N(SiMe3)2}3] (19) with diphenylacetylene to yield [K(2.2.2-cryptand)][U(η2-C2Ph2){N(SiMe3)2}3] (20). THF,-80°C Ph Ph THF,-80°C -com plex15 Ph Ph U II *N N* *N K-crypt U III OU III *N *N *N N* N* N* K-crypt 2 N*=N(SiM e3)2 14 19 K-crypt U IV *N N* *N Ph Ph 20 21 20 19 19 Scheme 6. Reactivity of [K(2.2.2-cryptand)]2[{((Me3Si)2N)3U}(µ-O)] (14) and [K(2.2.2-cryptand)]2[U{N(SiMe3)2}3] (19) with diphenylacetylene to yield [K(2.2.2-cryptand)][U(η2-C2Ph2){N(SiMe3)2}3] (20). 22 Scheme 7. Reactivity of [K(2.2.2-cryptand)]2[{((Me3Si)2N)3U}(µ-O)] (14) and [K(2.2.2-cryptand)]2[U{N(SiMe3)2}3] (19) with azobenzene to yield [K(2.2.2-cryptand)][U(N2Ph2){N(SiMe3)2}3] (21) at –80 °C, which transforms into [K(2.2.2-cryptand)][U(NPh)2{N(SiMe3)2}3] (22) at room temperature. plex 19 with diphenylaccetylene. This is only the fourth example of a metallocyclopropenyl complex. Previous examples were ob- tained either by the use of an external reducing agent[42] or by complexes displaying similar U(ii) synthon reactivity reported by Marks[43] and Walter.[11,12] The former is released via a similar disproportionation reaction of U(iii) to U(iv) and U(ii), while the latter is released by releasing a PMes* ligand. PhNNPhligand.Thestructureissimilartocomplex20withacompa- rable averge U–Namide bond length of 2.34(2)Å, but with a hydrazido instead of a cyclopropenyl bidentate ligand.The N–N bond length of 1.43(2) Å is considerably longer than in free azobenzene (1.251 Å). Furthermore, it is longer than in the one-electron reduced azoben- zene U(iv) complex [((SiMe2NPh)3-tacn)U(η2-N2Ph2)] (1.353(4) Å)[45] and close to the only other reported U(iv) hydrazido complex, Tp*2U(η2-N2Ph2) (Tp = hydrotris(3,5-dimethyl pyrazolyl)borate) (1.440(3) Å),[46] consistent with a two-electron reduction. The latter did not show any further reduction to the bis-imido complex. PhNNPhligand.Thestructureissimilartocomplex20withacompa- rable averge U–Namide bond length of 2.34(2)Å, but with a hydrazido instead of a cyclopropenyl bidentate ligand.The N–N bond length of 1.43(2) Å is considerably longer than in free azobenzene (1.251 Å). Furthermore, it is longer than in the one-electron reduced azoben- zene U(iv) complex [((SiMe2NPh)3-tacn)U(η2-N2Ph2)] (1.353(4) Å)[45] and close to the only other reported U(iv) hydrazido complex, Tp*2U(η2-N2Ph2) (Tp = hydrotris(3,5-dimethyl pyrazolyl)borate) (1.440(3) Å),[46] consistent with a two-electron reduction. The latter did not show any further reduction to the bis-imido complex. 4. Multi-electron Transfer Reactions Furthermore, we investigated whether other substrates, requiring the transfer of two electrons, could trigger the re- lease of the U(ii) synthon from complex 14 and thus wheth- er multi-electron transfer was possible. This also inspired us to further study the reactivity of the isolated U(ii) complex 19. The addition of diphenylacetylene to complex 14 at –80 °C in THF resulted in a color change from purple to brown. The metallocyclopropene complex [K(2.2.2-cryptand)][U(η2-C2Ph2) {N(SiMe3)2}3] (20) could be isolated in 25% yield after washing with toluene to remove complex 15 (Scheme 6). The low yield is caused by the partial solubility of 5 in toluene and the conversion of the reaction is >65% as determined by 1H NMR (with TMS2O as internal standard). The reactivity of complex 1 as a U(ii) syn- thon was again confirmed by the reaction of in situ formed com- The U(ii) complex corresponding to the U(ii) synthon re- leased by 14, [K(2.2.2-cryptand][U{N(SiMe3)2}3] (19) was pre- viously reported by Evans and colleagues.[18] To further sup- port the release of a U(ii) synthon associated with the reactiv- ity of 14, the reduction of bipyridine and pyridine by complex 19 were studied. Indeed, the formation of the same products a) b) c) Fig. 1. Molecular structures of a) [K(2.2.2-cryptand)]2 [{((Me3Si)2N)3U}(µ-O)] (14), b) [K(2.2.2-cryptand)]2 [{((Me3Si)2N)3U}(µ-4,4'-bpy)] (16), and c) [K(2.2.2-cryptand)]2 [{((Me3Si)2N)3U}(µ-(pyr)2)] (17). Thermal ellipsoids depicted at 50% probability. Hydrogen atoms, except for the bridging carbon hydrogens in 3, and the [K(2.2.2-cryptand)]+ counterions were omitted for clarity. Fig. 1. Molecular structures of a) [K(2.2.2-cryptand)]2 [{((Me3Si)2N)3U}(µ-O)] (14), b) [K(2.2.2-cryptand)]2 [{((Me3Si)2N)3U}(µ-4,4'-bpy)] (16), and c) [K(2.2.2-cryptand)]2 [{((Me3Si)2N)3U}(µ-(pyr)2)] (17). Thermal ellipsoids depicted at 50% probability. Hydrogen atoms, except for the bridging carbon hydrogens in 3, and the [K(2.2.2-cryptand)]+ counterions were omitted for clarity. Fig. 1. Molecular structures of a) [K(2.2.2-cryptand)]2 [{((Me3Si)2N)3U}(µ-O)] (14), b) [K(2.2.2-cryptand)]2 [{((Me3Si)2N)3U}(µ-4,4'-bpy)] (16), and c) [K(2.2.2-cryptand)]2 [{((Me3Si)2N)3U}(µ-(pyr)2)] (17). Thermal ellipsoids depicted at 50% probability. Hydrogen atoms, except for the bridging carbon hydrogens in 3, and the [K(2.2.2-cryptand)]+ counterions were omitted for clarity. c) Laureates: Junior Prizes FaLL Meeting 2021 306 CHIMIA 2022, 76, No. 4 THF,-80°C THF,-80°C -com plex15 U II *N N* *N K-crypt NN Ph Ph NN Ph Ph K-crypt U IV *N N* *N N N Ph Ph U VI N* *N *N N N Ph Ph K-crypt THF,RT U III OU III *N *N *N N* N* N* K-crypt 2 N*=N(SiM e3)2 14 22 21 19 Scheme 7. 4. Multi-electron Transfer Reactions The molecular structure of 20 (Fig. 2a) shows the presence of an anionic uranium complex, supported by three N(SiMe3)2 ligands and a bidentate PhCCPh ligand. The C–C bond length of 1.342(5) Å is elongated compared to the free ligand (1.192(5) Å),[44] indicating two-electron reduction to a double bond. Furthermore, all metrical parameters of 20, such as the U–C bond lengths (2.345(3) and 2.352(3) Å) and the C-U-C angle (33.22(11)°) are consistent with the previously reported metallo- cyclopropenyl uranium complexes (U–C = 2.303(3) to 2.350(9) Å and C-U-C = 33.3(3)°, 33.7(1)°) and confirm the assignment of 20 as a U(iv) complex containing the two-electron reduced diphenylacetylene ligand. The molecular structure of complex 22 (Fig. 2c) shows the presence of a uranium complex supported by three N(SiMe3)2 ligands and two NPh ligands in a trigonal bipyrimidal geom- etry. The uranyl analogue of this complex, [K(2.2.2-cryptand)] [U(O)2{N(SiMe3)2}3], was previously reported by Liddle and col- leagues and the average U–Namide bond lengths are comparable (22: 2.34(2) Å; uranyl: 2.323(2) Å).[47] In addition, the U–Nimido bond lengths of 1.929(8) and 1.935(8) Å fall within the range of previ- ously reported bis-imido complexes (1.840(4) to 1.992(5)Å).[48–50] Since U(ii) can potentially transfer four electrons, we also stud- ied the reactivity of both complexes 14 and 19 with azobenzene, a possible four-electron oxidant. The addition of a red solution of azobenzene in THF at –80 °C to purple crystals of 14 immediately caused a color change to red/brown. Furthermore, the 1H NMR spectrum at –80 °C showed the signals corresponding to complex 15. At –40 °C and at 0 °C a new set of signals was observed in the 1H NMR spectrum. Upon increasing the temperature to 25 °C the color changed to yellow/brown and these signals immediately start to decrease, while simultaneously another new set of signals grows in. The conversion is complete after 2 h. Crystallization at low temperature yielded crystals of the two-electron reduction product [K(2.2.2-cryptand)][U(N2Ph2){N(SiMe3)2}3] (21) while crystallization of the room temperature reaction mixture afforded crystals of the four-electron reduction, bis-imido product [K(2.2.2- cryptand)][U(NPh)2{N(SiMe3)2}3] (22, Scheme 7). This shows that the reduction occurs in two consecutive two-electron steps. Complex 19 again showed the same reactivity. y p p These results show that both complexes 14 and 19 are able to transfer up to four electrons by effecting two consecutive two- electron transfer processes to azobenzene. 4. Multi-electron Transfer Reactions Notably, the reaction with complex 19 is the first example of unambiguous monoura- nium four-electron transfer. 5. Conclusion In conclusion, our recent work[21,22] demonstrated that in diuranium(iii) oxo-bridged complexes, the ligands have a large influence on the reactivity. With the N(SiMe3)2 ligand, the U(iii)- O-U(iii) did not show any reactivity with N2 in contrast to the four-electron reduction of N2 reported for the analogous siloxide complex. However, the U–O bond in the amide U(iii)-O-U(iii) complex showed an increased lability in the presence of more coordinating substrates, resulting in the release of a U(ii) synthon upon suitable substrate binding, which can effect multi-electron transfer. The released U(ii) synthon and isolated U(ii) can both co- In the molecular structure of complex 21 (Fig. 2b) the uranium center is supported by three N(SiMe3)2 ligands and one bidentate a) b) c) Fig. 2. Molecular structures of a) [K(2.2.2-cryptand)][U(η2-C2Ph2) {N(SiMe3)2}3] (20), b) K(2.2.2- cryptand)][U(N2Ph2){N(SiMe3)2}3] (21), and c) [K(2.2.2-cryptand)] [U(NPh)2{N(SiMe3)2}3] (22). Thermal ellipsoids depicted at 50% probability. Hydrogen atoms and the [K(2.2.2-cryptand)]+ coun- terions were omitted for clarity. b) c) Fig. 2. Molecular structures of a) [K(2.2.2-cryptand)][U(η2-C2Ph2) {N(SiMe3)2}3] (20), b) K(2.2.2- cryptand)][U(N2Ph2){N(SiMe3)2}3] (21), and c) [K(2.2.2-cryptand)] [U(NPh)2{N(SiMe3)2}3] (22). Thermal ellipsoids depicted at 50% probability. Hydrogen atoms and the [K(2.2.2-cryptand)]+ coun- terions were omitted for clarity. a) Fig. 2. Molecular structures of a) [K(2.2.2-cryptand)][U(η2-C2Ph2) {N(SiMe3)2}3] (20), b) K(2.2.2- cryptand)][U(N2Ph2){N(SiMe3)2}3] (21), and c) [K(2.2.2-cryptand)] [U(NPh)2{N(SiMe3)2}3] (22). Thermal ellipsoids depicted at 50% probability. Hydrogen atoms and the [K(2.2.2-cryptand)]+ coun- terions were omitted for clarity. c) Fig. 2. Molecular structures of a) [K(2.2.2-cryptand)][U(η2-C2Ph2) {N(SiMe3)2}3] (20), b) K(2.2.2- cryptand)][U(N2Ph2){N(SiMe3)2}3] (21), and c) [K(2.2.2-cryptand)] [U(NPh)2{N(SiMe3)2}3] (22). Thermal ellipsoids depicted at 50% probability. Hydrogen atoms and the [K(2.2.2-cryptand)]+ coun- terions were omitted for clarity. Fig. 2. Molecular structures of a) [K(2.2.2-cryptand)][U(η2-C2Ph2) {N(SiMe3)2}3] (20), b) K(2.2.2- cryptand)][U(N2Ph2){N(SiMe3)2}3] (21), and c) [K(2.2.2-cryptand)] [U(NPh)2{N(SiMe3)2}3] (22). Thermal ellipsoids depicted at 50% probability. Hydrogen atoms and the [K(2.2.2-cryptand)]+ coun- terions were omitted for clarity. b) 2 3 2 3 Thermal ellipsoids depicted at 50% probability. Hydrogen atoms and the [K(2.2.2-cryptand)]+ coun- terions were omitted for clarity. Laureates: Junior Prizes FaLL Meeting 2021 307 CHIMIA 2022, 76, No. 4 307 operatively effect the two-electron reduction of N-heterocycles by transferring one electron per uranium. However, we also showed that both the released U(ii) synthon and the isolated U(ii) complex are able to transfer multiple electrons per metal center to unsatu- rated molecules, such as diphenylacetylene and azobenzene. 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Detection of Cyanotoxins in Lake Torment (Nova Scotia, Canada)
Environmental problems
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cc-by
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© Hushchyna K., McLellan K., Nguyen-Quang T., 2019 Abstract. This paper will update some information related to cyanotoxins detected in lake Torment, a recreational freshwater body in Nova Scotia, Canada. The goal of our paper is to present the detected toxins released by Toxic Algal Blooms and introducing the method of measurement by using the ELISA test. The results can show a very potential approach of toxin detection which could be applied in Ukraine or other countries where cyanotoxin detection in fresh and marine water ecosystems are still not well developed. biological parameters except for some rare chlorophyll-a values (once a month at one deep location) are monitored by Kings County [1,2]. Our Biofluids and Biosystems Modeling Lab (BBML) was involved in the study of cyanobacterial blooms in lake Torment since 2015, when Dolichospermum flos-aquae in high biomass was identified [3], but the systematic monitoring was officially organized by our Lab since 2017 [4]. The surface bloom apparition was random from June to November and the number of bloom episodes increased from 2014 to 2017 when our monitoring program was established. As blooms were created by Dolichospermum flos-aquae, which is considered as potentially toxic (producer of microcystins, anatoxins and some tiny amount of saxitoxins), a program for cyanotoxin monitoring is an indispensable step. Key words: Lake Torment, Cyanobacterial blooms, Cyanotoxins, Microsystins, Anatoxin-a, ELISA test. Key words: Lake Torment, Cyanobacterial blooms, Cyanotoxins, Microsystins, Anatoxin-a, ELISA test. ENVIRONMENTAL PROBLEMS ENVIRONMENTAL PROBLEMS Vol. 4, No. 1, 2019 Kateryna Hushchyna, Kayla McLellan, Tri Nguyen-Quang https://doi.org/10.23939/ep2019.01.045 Received: 10.03.2019 1. Introduction Microcystins are cyclic peptides (hepatotoxin) and the main freshwater toxin which mostly produced by Microcystis sp., but it could be found in blooms of Anabaena sp. (Dolichospermum sp.), Planktothrix, Oscillatoria sp. [5]. This family of toxins is intracellular, i.e. only being released during the cell death and destruction. Lake Torment is located in Kings County, Nova Scotia, Canada (Fig. 1), belonging to the LaHave River watershed system. There is a series of three interconnected lakes in this system: Chain lake from the upstream which drains into Armstrong lake, the second drains into lake Torment, which is quite deep on the South part with thin sediment layer at the bottom. The more oriented to the South, the deeper bottom configuration which is normally shallow and rocky at the North. The lake is used for residential and recreational purposes. It is surrounded by forests and no agricultural activity nearby. Lake Torment is a dystrophic lake with brown water, low pH, low carbonate level and high organic contents [1]. The apparition of algal blooms in lake Torment was seriously mentioned since 2014. However, there was no previous study as well as a monitoring program about water quality in this watershed till 2014. In 2014–2015, some nutrient measurements but no data connecting to Anatoxin is a group of alkaloids, classified as neurotoxins. It can be found mostly in Anabaena sp. blooms [5]. But the phylum of Oscillatoria, Aphanizomenon and Cylindrospermum can also release this toxin in the water [6]. There are several methods that are commonly used in microcystin and anatoxin detection, including commercial enzyme-linked immunosorbent assays and liquid chromatography (LC) coupled with electrospray ionisation and different mass analysers [7, 8]. Mirocystins can be detected by protein phosphatase inhibition assays and reversed phase high performance liquid chromatography (HPLC) as well [7]; while for Kateryna Hushchyna, Kayla McLellan, Tri Nguyen-Quang 46 anatoxins other methods are applied such as colorimetric receptor-binding assay and GS-MS [8]. Liquid Chromatography-Mass Spectrometry LC-MS/(MS) is the best approach to detect cyanotoxins, but the cost of the equipment and reagents is very high. Therefore, the LC-MS/(MS) does not allow a wide use in cyanotoxin determination/detection around the world, especially in the developing and underdeveloped countries. The Enzyme-linked Immunosorbent Assays (ELISA) are otherwise a cheaper alternative for the screening of big number of samples in short time to get reliable quantitative results. 1. Introduction Unfortunately, for microcystins, ELISA cannot distinguish the type of microcystins, as it could help identify only the total microcystin content. become a ‘quick’ and useful test to detect certain cyanotoxins. The aim of this paper is to show the application of ELISA kits as an easy detection method during and after cyanobacterial blooms. Moreover, this paper will contribute to the scientific literature as the first publication about toxin production of cyanobacterial blooms (Dolichospermum flos-aquae) in acidic lakes in Nova Scotia province. 2.1. Field sampling locations and Lab analysis Sampling took place during 2016–2018, mostly connecting to the bloom period. Sample locations and their coordinates are in Fig.1 and Table 1. Due to its reasonable cost and user-friendly technique, the ELISA kits (Warminster, PA, USA) Fig. 1. Lake Torment sampling maps Table 1 Coordinates of sampling locations in Lake Torment Lake Torment Location N-Coordinate W-Coordinate N-Coordinate W-Coordinate 2016-2017 2018 T1 44.71798 064.74467 44.71798 064.74467 T1’ – – 44.72619 064.73376 T2 44.72710 064.74387 44.72710 064.74387 T2’ – – 44.72713 064.74450 T3 44.72715 064.73530 44.72715 064.73530 T4 44.73933 064.74036 44.73933 064.74036 T5 44.74369 064.73926 44.74369 064.73926 T6 44.74960 064.74142 44.74960 064.74142 T7 44.75008 064.74615 44.75008 064.74615 T8 44.75116 064.74110 T9 44.74580 064.73930 T10 44.74213 064.74172 T Dave 44.72186 064.74819 44.72186 064.7481 Fig. 1. Lake Torment sampling maps T bl 1 Fig. 1. Lake Torment sampling maps Fig. 1. Lake Torment sampling maps Detection of Cyanotoxins in Lake Torment (Nova Scotia, Canada) 47 The following is general monitoring steps processed from our Lab for lake and reservoirs, including: cells, which is the requirement if we need to detect the total toxin content in the water. These toxins are intracellular origin, i.e. the toxin remains inside of the cell until the cell lysis. After the cell breaking down, samples were filtered using GF/C filter to remove all particulate material. All samples were processed according to the Abraxis instructions. Briefly, the principle and procedure to measure microcystins and anatoxin-a by ELISA test are explained in Figs. 2–3 below. 1. Sampling of the lake at least once a month; 2. The field parameters are measured for pH, temperature, dissolved oxygen (DO in mg/L and %), conductivity at the surface (0.5m) and bottom levels (1m above the bottom) by using YSI Probe (Professional Plus, Hoskin scientific LTD, USA); and transparency by using Secchi disk. 3. If there are blooms present at the lake/reservoir, samples will be taken for the taxonomy analysis. The Microcystins Adda-DM ELISA kit can analyse the total amount of microcystins and nodularins in the water. The principle is based on the recognition of the Adda branch of the toxins. One of the disadvantages for this strategy is that non-toxic Adda appearing in the water after the microbial degradation of toxin can be still detected, i.e. results could be overestimated [9]. The ELISA kit for anatoxin-a measures only anatoxin-a content in the water samples. 4. Water was collected from two levels: surface (0.5m) and bottom (1m above the bottom) in duplicate samples (location in Fig. 1); 5. Different nutrient analyses included phosphate- phosphorus, total phosphorus, ammonium, nitrate+nitrite, silica, total iron, chlorophyll-a, phycocyanin. 6. Water samples from blooms and after bloom period were analysed for microcystins and anatoxin-a. In the context of this paper, we would just describe the analysis conducted for cyanotoxins. Nutrient analysis and all other field measurements such as Secchi disk depth or dissolved oxygen (DO), etc. will not be mentioned here. The procedure to measure cyanotoxins according to Abraxis’s instruction is shown in Fig. 3, for only anatoxin-a and total microcystins. All steps were processed following the provided procedure from the company. Briefly, for microcystins, 100 µL of the standard solutions, control, or samples were added to the appropriate wells. Analysis of standards were in triplicate and samples in duplicate. Detection of Cyanotoxins in Lake Torment (Nova Scotia, Canada) 50 µL of the enzyme conjugate solution was added to all of the wells, followed by addition of 50 µL of the antibody solution. Incubation of the plate for 90 minutes at room temperature was done. Three times washing with at least 250 µL of wash buffer for each time was used. Next 150 µL of substrate (color) solution was added to all the wells and after 20–30 minutes of incubation at the room temperature, 100 µL of stop solution was added. Absorbance at 450 nm using a Multi-scanner FC (Thermo Scientific, USA, Fig. 2) was done within 15 minutes of adding the stop solution. The procedure for axatoxin-a, quite similar, is also shown in Fig. 3. Table 1 Table 1 Coordinates of sampling locations in Lake Torment Coordinates of sampling locations in Lake Torment Lake Torment Location N-Coordinate W-Coordinate N-Coordinate W-Coordinate 2016-2017 2018 T1 44.71798 064.74467 44.71798 064.74467 T1’ – – 44.72619 064.73376 T2 44.72710 064.74387 44.72710 064.74387 T2’ – – 44.72713 064.74450 T3 44.72715 064.73530 44.72715 064.73530 T4 44.73933 064.74036 44.73933 064.74036 T5 44.74369 064.73926 44.74369 064.73926 T6 44.74960 064.74142 44.74960 064.74142 T7 44.75008 064.74615 44.75008 064.74615 T8 44.75116 064.74110 T9 44.74580 064.73930 T10 44.74213 064.74172 T Dave 44.72186 064.74819 44.72186 064.7481 Detection of Cyanotoxins in Lake Torment (Nova Scotia, Canada) 2.2. Principle and process of toxin analyses by ELISA tests The principle of ELISA test is based on the competition of binding for toxins and enzyme conjugate (microcystin or anatoxin-a) to the anti-microcystin (or anti-anatoxin) antibodies in solution and then binding to the goat anti-mouse antibody which coated the wells. Substrate solution works on the color development. The intensity of color is inversely proportional to the concentration of microcystins or anatoxin-a. The absorbance was read at 450 nm using a microplate reader (Thermo Scientific, USA) (Fig. 2). The quantified concentration based on MC-LR/ anatoxin-a standards and by 4-parameter evaluation. Limit of detection is 0.15 µg/L. The advantage of this method is the use of direct water sampled from the lake. For anatoxin-a, water samples from the field were preserved by adding provided diluent from the kit to slow down the degradation of anatoxin-a as this process is very rapid [6]. All samples were kept in -20 °C freezer until the day of measurements. The plate consists of 96 wells. Standards for MC-LR/Anatoxin-a are used for quantification of microcystins. In total 38 samples in duplicate (25 in triplicate) can be analysed at once. Three times freeze-thaw cycles were used to lyse the Fig. 2. Left: ELISA kit; and Right: 96 well plate with Plate scanner (Microplate reader) used for the toxin analysis Fig. 2. Left: ELISA kit; and Right: 96 well plate with Plate scanner (Microplate reader) used for the toxin analysis Fig. 2. Left: ELISA kit; and Right: 48 Kateryna Hushchyna, Kayla McLellan, Tri Nguyen-Quang Fig. 3. The general procedure for both Anatoxin-a and Total Microcystins by ELISA tests Fig. 3. The general procedure for both Anatoxin-a and Total Microcystins by ELISA tests [12] where the limit for drinking water is 3.7µg/L and for recreation 40 µg/L. Table 2 Table 2 Toxin data from 2016 to 2018 Location Date Microcystins, µg/L Anatoxin-a, µg/L TDave November 16, 2016 < 0.15 < 0.15 TDave June 18, 2017 0.74 0.35 T1’bottom June 24, 2017 < 0.15 < 0.15 T7 bottom June 24, 2017 0.24 < 0.15 TDave August 17, 2017 – 0.32 TDave August 29, 2017 > 5.0 < 0.15 TDave September 9, 2017 0.94 – TDave September 16, 2017 >25 – TDave August 27, 2018 6pm 1.32 – TDave August 28, 2018 noon >100 – TDave August 28, 2018 6pm 0.34 – TDave August 29, 2018 6am 0.67 – TDave surface August 29, 2018 noon 2.01 – TDave bottom August 29, 2018 noon 0.65 – TDave October 4, 2018 12.2 – TDave November 15, 2018 <0.15 – “–” : samples were not measured for that toxin Toxin data from 2016 to 2018 In 2018 there was a series of blooms appeared at TDave location in the end of August (27–29 August). Water was collected with the interval of 6 hours to see the dynamics of microcystins accumulation. Depending on the scum size and scale, concentrations of toxin were different. It was visually observed that the accumulation of scums appeared around noon time and persisted until the evening but disappeared in the morning, i.e. the water became clear from cyanobacterial scums at the morning time. Microcystin concentration widely varied in this context from 0.3 µg/L to greater than 100 µg/L, and then decreasing (even disappearing) at night and increasing at noon. The anatoxin-a was present with very small amounts in June 18 and August 17 2017. In 2018 no significant value of anatoxin-a was detected through all the sampling season as showed in Table 2. However, that does not mean the lake was anatoxin-free because our method with ELISA test and even with LC-MS did not reach values lower than their limits of detection. ” : samples were not measured for that toxin Some interesting events recorded for cyanotoxin detection at Dave’s cove are hereby described (Fig.5). Fig. 5. Microcystins and Anatoxin-a detected in Dave Cove from 2016 to 2018 Fig. 5. Microcystins and Anatoxin-a detected in Dave Cove from 2016 to 2018 of August had concentration greater than the mean measurement range (1.5 to 5 µg/L). The November 2016 samples showed a concentration of microcystins that was lower than the detection limit. 3. Results and discussion In a general view of cyanotoxin detection for lake Torment, we started analyses of microcystins from 2016–2018, and of anatoxin-a data from 2016–2017 (Table 2 below). Although we measured all of samples collected accordingly to the plan shown in Fig. 1, most of the data presented herein were from Dave’s Cove (a permanent resident of lake Torment), where the environmental conditions favored the accumulation and aggregation of cyanobacterium. Dolichospermum flos- aquae was identified as responsible for all bloom episodes from May to November in 2016–2018. Only in late fall blooms in 2017 Microcystis aeruginosa, another cyanobacterial species, was co-identified with high biomass (Fig. 4). The bloom apparition in lake Torment is different from year to year, but it could be summarized into five scenarios for 2017–2018: May and/or early June, late June, August, September; and October blooms. The latter can persist until the middle of November. Fig. 4. Taxonomy results from Dave’s cove on November 13, 2017 Fig. 4. Taxonomy results from Dave’s cove on November 13, 2017 The results of total microcystins and anatoxin-a are in Table 2. In Canada, there exists only the regulation related to microcystins for drinking and recreational water. For drinking water, the regulation is 1.5 µg/L of microcystin-LR [10] and for recreational waters, this limit becomes 20 µg/L of total microcystins [11]. Anatoxin-a is only regulated in the province of Quebec Fig. 4. Taxonomy results from Dave’s cove on November 13, 2017 Detection of Cyanotoxins in Lake Torment (Nova Scotia, Canada) Detection of Cyanotoxins in Lake Torment (Nova Scotia, Canada) 49 Table 2 The analyses of the data 2016–2018 show that all microcystin concentrations closer to 1.5 µg/L appeared only at the end of August and increased rapidly in the fall season. Even though lake Torment is a recreational waterbody, concentrations of microcystins are detected very close to drinking water regulation, therefore dangerous for human beings and animals in case of swallowing the lake water. Acknowledgements TNQ acknowledges the Natural Science and Engineering Research Council of Canada via Discovery Grant NSERC RGPIN 03796, Canada Foundation for Innovation as well as Nova Scotia Research and Innovation Trust via Grant No 31188 for equipment. We acknowledge the residents of lake Torment, especially Dave Alexander and his Spouse Dawn for their very active collaboration and assistance during our field trips. We also acknowledge BBML students (Nadeem Mohammad and Dung Tri Nguyen) for their contributions to our field trips. No blooms were observed in this cove after August until October 4th 2018. Analyses of total toxins in October found microcystins (12.2 µg/L) without the presence of anatoxins. The increase of microcystin concentration was also observed for the 2017samples. Therefore, it is concluded that there is a tendency of the toxin growth due to strains of Dolichospermum flos-aquae in fall. Our November samples were analyzed but did show no signs of bloom accumulation, and hence toxin-free. Table 2 Microcystins were present in summer 2017 samples except T1’ at the bottom on June 24. In June, concentrations of microcystins were lower than 1.5 µg/L. Samples in the end The same samples for microcystins and one additional one of August 16 2017 were also tested for the presence of anatoxin-a in the water. Only very small 50 Kateryna Hushchyna, Kayla McLellan, Tri Nguyen-Quang concentration of anatoxin-a (around 0.3 μg/L) was detected in samples of June 18 and August 16 2017. It is interesting to note that two types of toxins were present at the same time in the water on June 18 2017. It should be noted that all these tests only reflect the conditions in the lake at the time of sampling. Prior to, or after the sampling moments, conditions are certainly not the same. In 2018, many water samples tested for microcystins presented positive results. From the bloom sample of August 27, the concentrations of microcystins were found low: between 0.1µg/L and 1.32 µg/L. The highest concentration of microcystins was found at Dave’s cove on August 28 at noon, with a value greater than 100 µg/L. Conclusions [1] Kings County (2016). Kings County lake monitoring, 2016 season. Report. Municipality of the County of Kings, Nova Scotia, Canada. Lake Torment is an acidic lake with a pH around 5–6. The geology of lake bottom is poor bedrock with a low nutrient sediment content [2]. Nutrient limitation creates poor conditions for cyanobacterium growth. However, meteorological conditions are one of the reasons of Dolichospermum flos-aquae growth. [2] Kings County (2015). Kings County lake monitoring, 2015 season. Report. Municipality of the County of Kings, Nova Scotia, Canada. [3] Nguyen-Quang T. (2016). Preliminary report for 3 lakes in King County – East Dalhousie (Chain Lake, Armstrong and Torment). A technical report. BBML. Dalhousie University. Warmer spring in 2017 gave the favor to the earlier blooms in May, while a cold spring in 2018 has postponed this event to the middle of June. The warm fall of 2017 supported the bloom growth till the end of October, while in 2018 the last bloom was observed in the beginning of October due to a cold September. [4] Nguyen-Quang T., McLellan K., Hushchyna K., Murdock A. (2018). Harmful Algal Bloom (HAB) Monitoring for Lake Torment and Armstrong Lake. A systematic investigation in 2016–2017 versus 2014 Kings County water quality results. A technical report. BBML. Dalhousie University. There are still many unknown relationships of toxin releases and environmental factors in the lake. That will be the next step of our research. However, it is qualitatively noticed that there is a high accumulation of microcystins in colder water (beginning of fall season) and the presence of anatoxin-a also associated with the cold water. [5] World Health Organization (2003). Guidelines for safe recreational water environments. Vol. 1: Coastal and fresh waters, 253 p. [6] Chorus I. and Bartram J. (1999). Toxic Cyanobacteria: A guide to their public health consequences, monitoring and management. Routledge, London and New York, 400 p. It is found that there is a variety of toxins with high concentration in a bloom, where we also found the presence of two main different cyanobacterial species coexisting. This cohabitation of these two species Dolichospermum flos-aquae and Microcystis aeruginosa could be the reason for different toxins detected with high concentrations. [7] Catherin A., Bernard C., Spoof L., Bruno M. (2017). Microcystins and Nodularins. In Meriluoto J., Spoof L., Codd G. A. (eds) Handbook of cyanobacterial monitoring and cyanotoxin analysis. Chichester, West Sussex: John Wiley & Sons, Inc., 109–126. Conclusions [8] [8] Bruno M., Ploux O., Metcalf J. S., Mejean A., Pawlik‐Skowronska B., Furey A.: Anatoxin‐a, Homoanatoxin‐a, and Natural Analogues. In Meriluoto J., Spoof L., Codd G. A. (eds) Handbook of cyanobacterial monitoring and cyanotoxin analysis. Chichester, West Sussex: John Wiley & Sons, Inc., 109–126. Monitoring results from 2016–18 showed the need of further research in Lake Torment for the relationship between toxin variety and concentration associated with cyanobacterial species detected in different seasons, and how these factors can be linked to environmental conditions. Detection of Cyanotoxins in Lake Torment (Nova Scotia, Canada) Detection of Cyanotoxins in Lake Torment (Nova Scotia, Canada) 51 [9] Harada K., Imanishi S., Kato H., Mizuno M., Ito E., Tsuji K.K. (2004). Isolation of Adda from microcystin- LR by microbial degradation. Toxicon 1, 44, 107–109. DOI: 10.1016/j.toxicon.2004.04.003 [11] Health Canada (2012). Guidelines for Canadian Recreational Water Quality, Third Edition. Water, Air and Climate Change Bureau, Healthy Environments and Consumer Safety Branch, Health Canada, Ottawa, Ontario. (Catalogue No H129-15/2012E). [11] Health Canada (2012). Guidelines for Canadian Recreational Water Quality, Third Edition. Water, Air and Climate Change Bureau, Healthy Environments and Consumer Safety Branch, Health Canada, Ottawa, Ontario. (Catalogue No H129-15/2012E). [11] Health Canada (2012). Guidelines for Canadian Recreational Water Quality, Third Edition. Water, Air and Climate Change Bureau, Healthy Environments and Consumer Safety Branch, Health Canada, Ottawa, Ontario. (Catalogue No H129-15/2012E). [10] Health Canada (2014). Guidelines for Canadian Drinking Water Quality–Summary Table. Water and Air Quality Bureau, Healthy Environments and Consumer Safety Branch, Health Canada, Ottawa, Ontario. [12] Chorus I. (2012). Current approaches to Cyanotoxin risk assessment, risk management and regulations in different countries. Umwelt Bundesamt, 147 p.
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Azelnidipine prevents cardiac dysfunction in streptozotocin-diabetic rats by reducing intracellular calcium accumulation, oxidative stress and apoptosis
Cardiovascular diabetology
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CARDIO VASCULAR DIABETOLOGY CARDIO VASCULAR DIABETOLOGY Kain et al. Cardiovascular Diabetology 2011, 10:97 http://www.cardiab.com/content/10/1/97 CARDIO VASCULAR DIABETOLOGY Abstract Background: Numerous evidences suggest that diabetic heart is characterized by compromised ventricular contraction and prolonged relaxation attributable to multiple causative factors including calcium accumulation, oxidative stress and apoptosis. Therapeutic interventions to prevent calcium accumulation and oxidative stress could be therefore helpful in improving the cardiac function under diabetic condition. Methods: This study was designed to examine the effect of long-acting calcium channel blocker (CCB), Azelnidipine (AZL) on contractile dysfunction, intracellular calcium (Ca2+) cycling proteins, stress-activated signaling molecules and apoptosis on cardiomyocytes in diabetes. Adult male Wistar rats were made diabetic by a single intraperitoneal (IP) injection of streptozotocin (STZ). Contractile functions were traced from live diabetic rats to isolated individual cardiomyocytes including peak shortening (PS), time-to-PS (TPS), time-to-relengthening (TR90), maximal velocity of shortening/relengthening (± dL/dt) and intracellular Ca2+ fluorescence. Results: Diabetic heart showed significantly depressed PS, ± dL/dt, prolonged TPS, TR90 and intracellular Ca2+ clearing and showed an elevated resting intracellular Ca2+. AZL itself exhibited little effect on myocyte mechanics but it significantly alleviated STZ-induced myocyte contractile dysfunction. Diabetes increased the levels of superoxide, enhanced expression of the cardiac damage markers like troponin I, p67phox NADPH oxidase subunit, restored the levels of the mitochondrial superoxide dismutase (Mn-SOD), calcium regulatory proteins RyR2 and SERCA2a, and suppressed the levels of the anti-apoptotic Bcl-2 protein. All of these STZ-induced alterations were reconciled by AZL treatment. Conclusion: Collectively, the data suggest beneficial effect of AZL in diabetic cardiomyopathy via altering intracellular Ca2+ handling proteins and preventing apoptosis by its antioxidant property. Keywords: Azelnidipine, Apoptosis, Ca2+ homeostasis; diabetic cardiomyopathy, mitochondria, oxidative stress hyperglycemia-induced defective intracellular Ca2+ ([Ca2+]i) homeostasis and increased reactive oxygen species (ROS) production have been implicated in this impaired electromechanical performance [7,8]. A combi- nation of these events ultimately leads to diabetic cardio- myopathy [9,10]. Accumulating evidences implicate that ROS plays pivotal role in the pathogenesis of cardiac dys- function during diabetes, and is likely to be a causative agent for the disturbance in intracellular Ca2+ signaling. Several ion-transport pathways are highly sensitive to * Correspondence: ssitaswad@nccs.res.in † Contributed equally National Centre for Cell Science, NCCS Complex, Pune University Campus, Ganeshkhind Road, Pune-411007, Maharashtra, India Vasundhara Kain†, Sandeep Kumar† and Sandhya L Sitasawad* Vasundhara Kain†, Sandeep Kumar† and Sandhya L Sitasawad* Vasundhara Kain†, Sandeep Kumar† and Sandhya L Sitasawad* © 2011 Kain 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. © 2011 Kain 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. Measurement of cardiac contractility in vivo Urethane (1 g/kg bw IP) was selected as an anesthetic agent as its single dose induces long-term anesthesia and analgesia with minimal cardiovascular and respiratory system depression [27]. The right carotid artery was can- nulated with a microtip pressure transducer (SPR-671, Millar Instruments) connected to 8-channel PowerLab instrument via bridge amplifier (AD Instrument). The pressure-tip transducer catheter was then advanced into the left ventricle for the evaluation of ventricular pres- sures. LV systolic and end-diastolic pressures, the maxi- mum rate of LV systolic pressure rise (+ΔP/Δtmax) and minimum rate of LV systolic pressure decay (-ΔP/Δtmin) were monitored and recorded using Chart 5.5. Rectal temperature was maintained at 36-38°C throughout the procedure [28]. Measurement of cell shortening/relengthening and intracellular Ca2+ fluorescence in isolated cardiac myocytes Long-acting CCBs have been reported to be effective in treating ischemic heart disease; however, their effects on diabetic cardiomyopathy are still unclear. Our previous study showed beneficial effects of AZL in the animal model of STZ-induced diabetes on the circulating mar- kers of cardiac damage, oxidative stress, homocysteine, pro- and anti-inflammatory cytokines [26]. The present study was designed to examine the effect of AZL on car- diomyocyte contractility and intracellular Ca2+ homeo- static defects in the streptozotocin (STZ)-diabetic rat model with special relevance to oxidative stress and apoptosis. Adult rat ventricular myocytes (ARVMs) were isolated as described previously [29]. The mechanical properties of ventricular myocytes from control and treated rats were assessed using a SoftEdge MyoCam system (IonOptix Corp., Milton, MA, USA) [29]. Cell shorten- ing and relengthening were assessed using the following indices: peak shortening (PS)–indicative of peak ventri- cular contractility, time to PS (TPS)–indicative of con- traction duration, time to 90% relengthening (TR90)– representing cardiomyocyte relaxation duration, and maximal velocities of shortening (+dL/dt) and relength- ening (-dL/dt)–indicators of maximal velocities of ven- tricular pressure rise/fall. Briefly, myocytes were loaded with Fura-2AM (0.5 μM) for 10 min and fluorescence measurements were recorded. Resting calcium, qualita- tive changes in the intracellular calcium, and fluores- cence decay time (Tau) were also measured. Both single- and bi-exponential curve-fit programs were applied to calculate the intracellular Ca2+ decay constant [29]. At least 25 individual myocytes were used for data collection. Changes in [Ca]i were calculated by deter- mining the rise in [Ca]i relative to basal levels measured immediately before that particular experimental maneuver. Background Individuals with diabetes develop cardiomyopathy inde- pendent of coronary artery disease, hypertension or atherosclerosis [1-3]. This ‘diabetic cardiomyopathy’ is characterized in the early stages by reduced relaxation rates (diastolic dysfunction) while in later stages the sys- tolic dysfunction becomes more prominent [4-6]. Also, * Correspondence: ssitaswad@nccs.res.in † Contributed equally National Centre for Cell Science, NCCS Complex, Pune University Campus, Ganeshkhind Road, Pune-411007, Maharashtra, India Kain et al. Cardiovascular Diabetology 2011, 10:97 http://www.cardiab.com/content/10/1/97 Page 2 of 12 Kain et al. Cardiovascular Diabetology 2011, 10:97 http://www.cardiab.com/content/10/1/97 redox regulation and oxidative stress directly impedes intracellular Ca2+ homeostasis [11]. daily for a period of 12 weeks. Blood glucose and body weight were measured weekly and at the end of the study. All procedures were approved by Institutional Ani- mal Care and Use Committee and were performed in accordance to the standards for the care and use of ani- mal subjects, as stated in the Guide for the Care and Use of Laboratory Animals (Institute of Laboratory Resources, National Academy of Sciences, Bethesda, MD). In the diabetic heart, abnormal Ca2+ handling during the contractile cycle results in a decreased upstroke phase of the Ca2+ transient due to reduction in the release of Ca2+ from the sarcoplasmic reticulum (SR) by ryanodine receptor (RyR2) [12]. In addition, the diastolic decline of the Ca2+ transient is diminished due to reduced activity of the sarco(endo)plasmic reticulum Ca2+-ATPase (SERCA)2a pump [13]. Recent evidences indicate that ventricular dysfunction secondary to myo- cardial infarction in diabetic rat model was attenuated by restoring the balance of calcium regulatory proteins [14]. As far as the endogenous sources of ROS are con- sidered, NADPH oxidase and mitochondria are the important centers of ROS production and essentially determine the redox state of the myocardium [15-20]. Also, higher myocardial NADPH oxidase activity and increased mitochondrial ROS generation have been detected in diabetes way before diastolic dysfunction is detected indicating a subtle role of hyperglycemia in generation of ROS [21-24]. More importantly, NADPH oxidase activity is markedly increased by high glucose levels [25]. Therefore, improving the abnormal Ca2+ flux in the heart with calcium channel blockers (CCBs) that possesses additional antioxidant property is an attractive strategy to effectively normalize the disturbed Ca2+ tran- sients and improve contractile function. Methods Development and characterization of diabetic rats Development and characterization of diabetic rats Six to eight-week-old male Wistar rats (NCCS, Pune, India), weighing 250 to 280 g, were made diabetic by sin- gle intra-peritoneal (IP) injection of streptozotocin (STZ) (55 mg/kg, Sigma, St. Louis, MO). Control animals were treated with vehicle (0.1 mol/L sodium citrate buffer, pH 4.5). Hyperglycemia (blood glucose > 200 mg/dL) was confirmed 3 days post STZ injection using a glucometer (AccuCheck; Roche, Germany). Diabetic animals were treated with single dose of 5 mg/kg AZL suspended in 1% carboxy methyl cellulose, administered orally by gavage, starting the 4th day of STZ treatment (n = 12) Page 3 of 12 Kain et al. Cardiovascular Diabetology 2011, 10:97 http://www.cardiab.com/content/10/1/97 Kain et al. Cardiovascular Diabetology 2011, 10:97 http://www.cardiab.com/content/10/1/97 Determination of intracellular superoxide (O2·-) levels in diabetic ARVMs scored blindly by two evaluators. The statistical analysis revealed a good correlation (Pearson’s correlation coeffi- cient 0.91, p < 0.0001). ROS generation was measured using fluorescent probe DHE, an O2·--sensitive probe [30,31]. DHE at a final con- centration of 2 μM was added to the ARVMs from con- trol and diabetic rat, and the staining was carried out at 37°C. The cells were washed using phosphate-buffered saline (PBS) and fixed with 4% buffered paraformalde- hyde. The coverslip was mounted with antifade on a glass slide and observed using a confocal laser-scanning micro- scope (Zeiss 510; Zeiss GmbH, Oberkochen, Germany). Quantitative determination of DHE fluorescence was done using fluorimetry. Briefly, post treatment, the cells were washed with PBS, and re-suspended in HEPES buf- fer (5 mM HEPES, pH 7.4; 5 mM KCl, 140 mM NaCl, 2 mM CaCl2, 1 mM MgCl2 and 10 mM glucose), stained with DHE for 20 min and their fluorescence intensities were acquired by fluorimetery (SpectraMaxPro, USA). II) In isolated single myocytes from diabetic rat II) In isolated single myocytes from diabetic rat The contractile dysfunction observed in vivo could be partly due to extrinsic factors, such as changes in circu- lating metabolites or hormones. In isolated myocytes, the influence of extrinsic factors is eliminated, which allows for the evaluation of intrinsic contractile dysfunction. Therefore, contractile function was examined in isolated myocytes from control, diabetic and AZL-treated groups. Peak shortening (PS) amplitude normalized to cell length was significantly decreased in ventricular myocytes under STZ-induced diabetes (27.82% ± 8.17, p < 0.05). Myocytes from the diabetic group also demonstrated sig- nificantly prolonged time-to-peak shortening (TPS, (29.30% ± 11.2, p < 0.05) and time-to-90% relengthening (TR90, (25.72% ± 20.67, p < 0.05) compared with control. AZL treatment completely abolished the diabetes- induced abnormalities of PS, TPS and TR90 (Figure 1A- D). The maximal velocities of shortening (+dl/dt) and relengthening (-dl/dt) were significantly reduced by dia- betes and AZL treatment restored the diabetes-induced dysfunction (Figure 1A and 1B). Myocytes isolated from 12-week AZL-treated diabetic rats had significantly The contractile dysfunction observed in vivo could be partly due to extrinsic factors, such as changes in circu- lating metabolites or hormones. In isolated myocytes, the influence of extrinsic factors is eliminated, which allows for the evaluation of intrinsic contractile dysfunction. Therefore, contractile function was examined in isolated myocytes from control, diabetic and AZL-treated groups. y y g p Peak shortening (PS) amplitude normalized to cell length was significantly decreased in ventricular myocytes under STZ-induced diabetes (27.82% ± 8.17, p < 0.05). Myocytes from the diabetic group also demonstrated sig- nificantly prolonged time-to-peak shortening (TPS, (29.30% ± 11.2, p < 0.05) and time-to-90% relengthening (TR90, (25.72% ± 20.67, p < 0.05) compared with control. AZL treatment completely abolished the diabetes- induced abnormalities of PS, TPS and TR90 (Figure 1A- D). The maximal velocities of shortening (+dl/dt) and relengthening (-dl/dt) were significantly reduced by dia- betes and AZL treatment restored the diabetes-induced dysfunction (Figure 1A and 1B). Myocytes isolated from 12-week AZL-treated diabetic rats had significantly Statistical analyses At least six to seven rats were used per group for each treatment (control and diabetic with or without AZL) for mechanical and intracellular Ca2+ recordings. For each experimental series, data are presented as means ± SE. Statistical significance (P <0.05) for each variable was estimated by ANOVA by using Tukey-Kramer post tests using Prism 4.0 GraphPad software (GraphPad, San Diego, CA, USA). A p value less than 0.05 was considered statistically significant. Western blot analysis STZ-induced diabetic animals showed stable signs of dia- betes, including hyperglycemia, reduced levels of insulin. Also there was a noted increase heart/body weight ratio (H/BW). Diabetic rats treated with AZL showed improvement in these physiological parameters. STZ group showed reduced rate of contraction (+ Δp/Δt) and rate of relaxation (- Δp/Δt) as compared with control group. A significant reduction in the heart rate and impairment in left ventricular pressure (LVP) as well as left ventricular end diastolic pressure (LVEDP) was observed in STZ-diabetic animals. Table 1 shows AZL- treated diabetic rats significantly improved left ventricu- lar parameters. Ventricular tissue was homogenized into radioimmuno- precipitation assay lysis buffer (120 mM NaCl, 1.0% Tri- ton X-100, 20 mM Tris-HCl, pH 7.5, 10% glycerol, 2 mM EDTA, protease inhibitor cocktail (Roche GmbH, Germany) and the protein concentration for each sample was determined using a Bradford-based protein assay kit (Bio-Rad, Hercules, USA). For immunoblotting, 50-60 μg of protein lysate per sample was denatured in 2× SDS- PAGE sample buffer and resolved on SDS-PAGE (4% to 10%), transferred to a PVDF membrane (Millipore, Germany), blocked with non-fat milk, and probed for Troponin I (Cell Signaling, USA), RYR2, Mn-SOD (Sigma), Bcl-2 and p-67phox (Santa Cruz Biotechnology, Inc, USA), SERCA2 ATPase (Affinity Bioreagents, USA) and b-actin (ICN Biomedicals Inc. USA) and HRP-conju- gated appropriate secondary antibody (Bio-Rad, Hercules, USA). The enhanced chemiluminescence was detected using chemiluminescence detection system (Pierce Che- mical, Rockford, IL, USA). Membranes were stripped and reprobed with b-actin (ICN Biomedicals, USA) primary antibody (1:10, 000) as a protein loading control. Assay Apoptotic cell death in cardiomyocytes in heart was detected by in situ terminal deoxynucleotidyl transferase- mediated dUTP nick-end labeling. TUNEL staining was performed on the cardiac tissue sections using the fluor- escent In situ Cell Death Detection Kit (Roche Diagnostic GmbH, Mannheim, Germany) according to the manufac- turer’s instructions. TUNEL-positive nuclei were counted in a minimum of 150 cells per group by fluorescence microscopy and an apoptotic index (AI) was determined as the percentage of TUNEL-positive nuclei which was Kain et al. Cardiovascular Diabetology 2011, 10:97 http://www.cardiab.com/content/10/1/97 Kain et al. Cardiovascular Diabetology 2011, 10:97 http://www.cardiab.com/content/10/1/97 Kain et al. Cardiovascular Diabetology 2011, 10:97 http://www.cardiab.com/content/10/1/97 Page 4 of 12 Table 1 Hemodynamic parameters from control, diabetic rats and diabetic rats treated with AZL (5 mg kg-1 day-1) Parameters Control (n = 10) STZ* (n = 10) AZL** (5 mg/kg/day) (n = 12) Systolic Pressure (mm Hg) 138.1 ± 4.7 93.8 ± 4.1 124.6 ± 8.9 Diastolic Pressure (mm Hg) 85.8 ± 6.2 64.0 ± 3.5 82.5 ± 7.1 Systolic duration (s) 0.085 ± 0.01 0.140 ± 0.01 0.084 ± 0.01 Diastolic duration (s) 0.117 ± 0.02 0.297 ± 0.02 0.127 ± 0.01 Heart rate (BPM) 323.3 ± 20.9 244.9 ± 10.8 312.2 ± 14.1 LV+dp/dt (mm Hg/s) 5861.4 ± 729.5 3219.3 ± 297.8 6098.6 ± 395.4 LV-dp/dt (mm Hg/s) -6846.8 ± 752.1 -3553.0 ± 437.3 -7015.9 ± 391.5 mic parameters from control, diabetic rats and diabetic rats treated with AZL (5 mg kg-1 day-1) Table 1 Hemodynamic parameters from control, diabetic rats and diabetic rats treated with AZL AZL neutralizes the increased expression levels of contractile proteins (Troponin I) in diabetic heart smaller deviation from corresponding values when com- pared to the myocytes isolated from the control group suggesting role of AZL in maintaining ventricular func- tion of the heart along with preserving the contractile properties of individual myocytes. p p Since mechanical dysfunction that characterizes diabetic cardiomyopathy plays an essential role in the Ca2+ regu- lation of muscle contraction, we studied the effect of AZL on the expression level of cardiac Troponin I in our experimental model. Our western blot results showed a 2.15-fold increase (p < 0.05) in the expression of Tropo- nin I in the heart of STZ treated animal when compared with the control. The increased cardiac Troponin I expression counter-balanced in the cardiac tissue from AZL treated diabetic rats (Figure 4A). AZL maintains global Ca2+ homeostasis in diabetic rat heart Our data indicated enhanced level of resting intracellu- lar Ca2+ in STZ induced diabetic rat myocytes. The rise of intracellular Ca2+ in response to electrical stimuli was significantly reduced. “Diabetic” myocytes showed reduced intracellular Ca2+ clearing rate (single and bi- exponential decay). Furthermore, 12-weeks of AZL treatment significantly ablated intracellular Ca2+ abnormalities in STZ treated diabetic rats. Consistent with its response in cardiomyocyte shortening, AZL treatment improved diabetes induced changes in Ca2+ homeostasis including elevated resting intracellular Ca2+ levels, depressed intracellular Ca2+ rise in response to electrical stimuli and prolonged intracellular Ca2+ decay (Figure 2 A-C). AZL reduces superoxide (O2·-) from diabetic ARVMs Superoxide overproduction in the cellular systems is an important feature of diabetic cardiomyopathy. A signifi- cant increase in the DHE fluorescence was observed in isolated myocytes from the STZ diabetic rats indicating generation of superoxide radicals in comparison to the myocytes isolated from control rats. Myocytes from 12- week AZL-treated diabetic rats showed significant decrease in the fluorescent levels indicating that AZL can reduce the superoxide production (Figure 3A). Qualitative analysis of DHE fluorescent intensity showed that there was a 5.6 ± 0.5 fold (p < 0.001) increase in the DHE fluorescence in the “diabetic” myocytes when com- pared to the “control” myocytes. The fluorescence inten- sity of DHE showed a 2.7 ± 0.8 fold (p < 0.001) decrease in the AZL treated group when compared to the STZ dia- betic rats (Figure 3B). These results suggest that AZL treatment prevents diabetes-induced accumulation of superoxide in the myocytes. Assay These findings suggest that AZL treatment under diabetic condition pre- vents cardiac damage by reducing the expression of car- diac Troponin I. AZL regulates the expression of calcium regulatory receptors and channels in diabetic heart 2 Downregulation of key Ca2+-handling proteins like sarco (endo)plasmic reticulum Ca2+-ATPase (SERCA)2a and ryanodine receptor (RyR2) is one of the major cause of abnormal Ca2+ homeostasis in diabetic cardiomyopathy [13,32-34]. The alteration in SERCA2a and RyR2 expres- sion results in altered cytosolic Ca2+ transients, leading to abnormal contraction. Our western blot results indicated a complete loss of expression of RYR2 and a significant reduction in SERCA-2a in STZ-treated diabetic rats com- pared to the controls (Figure 4B). Reduction in the RyR2 expression induced by uncontrolled diabetes was attenu- ated with AZL treatment. Similarly, the expression of SERCA- 2a was also restored after AZL treatment (Figure 4B). These findings indicate that AZL treatment under diabetic condition prevents dysregulation of calcium regu- latory proteins in the heart. AZL induces downregulation of NADPH oxidases and prevents oxidative stress We determined effect of AZL treatment on the endo- genous pro-oxidants and antioxidants like p67phox and Mn-SOD. Our western blot results showed increased expression of p67phox in diabetic heart. This indicated that endogenous pro-oxidant system was triggered Page 5 of 12 Kain et al. Cardiovascular Diabetology 2011, 10:97 http://www.cardiab.com/content/10/1/97 Figure 1 Contractile properties of cardiomyocytes isolated from control, diabetic rats and diabetic rats treated with AZL (5 mg kg-1 day-1). A: Maximal velocity of shortening (+dL/dt, A) and relengthening (-dL/dt, B) of ventricular myocytes isolated from control, diabetic rats and diabetic rats treated with AZL (5 mg kg-1 day-1). B. Graph illustrates Peak shortening (PS, normalized to cell length) of the myocytes isolated from control, diabetic rats and diabetic rats treated with AZL. C. Graph illustrates time-to-peak shortening (TPS) of the myocytes isolated from control, diabetic rats and diabetic rats treated with AZL. D. Graph illustrates time-to-90% relengthening (TR90) of the myocytes isolated from control, diabetic rats and diabetic rats treated with AZL. Values are means ± SE; n = 151-163 cells from 5-7 rats per group, *P < 0.05 vs. control group; **P < 0.05 vs. diabetic group. Figure 1 Contractile properties of cardiomyocytes isolated from control, diabetic rats and diabetic rats treated with AZL (5 mg kg-1 day-1). A: Maximal velocity of shortening (+dL/dt, A) and relengthening (-dL/dt, B) of ventricular myocytes isolated from control, diabetic rats and diabetic rats treated with AZL (5 mg kg-1 day-1). B. Graph illustrates Peak shortening (PS, normalized to cell length) of the myocytes isolated from control, diabetic rats and diabetic rats treated with AZL. C. Graph illustrates time-to-peak shortening (TPS) of the myocytes isolated from control, diabetic rats and diabetic rats treated with AZL. D. Graph illustrates time-to-90% relengthening (TR90) of the myocytes isolated from control, diabetic rats and diabetic rats treated with AZL. Values are means ± SE; n = 151-163 cells from 5-7 rats per group, *P < 0.05 vs. control group; **P < 0.05 vs. diabetic group. under diabetic condition which may further aggravate oxidative stress. Treatment with AZL significantly atte- nuated the p67phox expression (Figure 4C). On the other hand, a significant decrease (0.46 fold, p < 0.05) in the expression of Mn-SOD in STZ-diabetic heart was observed as compared to control hearts. Treatment with AZL resulted in a 2.5-fold (p < 0.05) increase in the expression of Mn-SOD in the diabetic condition. AZL induces downregulation of NADPH oxidases and prevents oxidative stress These results indicate that AZL exerts its protective effects by targeting the NADPH oxidase and mitochondrial redox enzymes (Figure 4C). percent TUNEL-positive cell labeling compared with con- trol rats (Figure 5A and 5B). The counts of TUNEL-posi- tive nuclei significantly decreased in AZL-treated group. Under oxidative stress, mitochondria play an important role in apoptosis and a decrease in the level of bcl-2 is observed. This decreasing bcl-2 expression is one of the hallmarks of apoptosis through mitochondrial pathway. STZ diabetic animal showed elevated cardiac apoptosis, as indicated by decreased bcl-2 protein expression, compared to the control animals. AZL-treated diabetic rats expressed enhanced level of bcl-2 in the heart lysates indicating that AZL plays protective role in cardiac apoptosis. Discussion Apoptosis was also evaluated in the cardiac tissue by TUNEL assay. Diabetic rats showed significant myocardial apoptotic cell death manifested by a 6 fold increase in the The key findings of our present study demonstrated that AZL treatment for 12 weeks in diabetic animal inhibits Kain et al. Cardiovascular Diabetology 2011, 10:97 http://www.cardiab.com/content/10/1/97 Page 6 of 12 Figure 2 Intracellular Ca2+ transient properties of ventricular myocytes isolated from control, diabetic rats and diabetic rats treated with AZL (5 mg kg-1 day-1). A: Baseline intracellular Ca2+ concentrations; B: Increase in intracellular Ca2+ transient in response to electrical stimulus; C: rate of cytosolic free Ca2+ decrease (Tau). Values are means ± SEM; n = 104 to 126/group. *P < 0.05 vs. control group; **P < 0.05 vs. diabetic group. Figure 2 Intracellular Ca2+ transient properties of ventricular myocytes isolated from control, diabetic rats and diabetic rats treated with AZL (5 mg kg-1 day-1). A: Baseline intracellular Ca2+ concentrations; B: Increase in intracellular Ca2+ transient in response to electrical stimulus; C: rate of cytosolic free Ca2+ decrease (Tau). Values are means ± SEM; n = 104 to 126/group. *P < 0.05 vs. control group; **P < 0.05 vs. diabetic group. the development of early characteristics of diabetic cardi- omyopathy, such as, prolonged relaxation and abnormal E-C coupling in vivo in the intact myocardium as well as in the isolated ventricular myocytes. Delayed diastolic relaxation in diabetic cardiomyopathy is related to dimin- ished removal of [Ca2+]i from cardiomyocytes after the systolic contraction event. Treatment with AZL showed improvement in the systolic and diastolic duration. Also the markers for diastolic dysfunction, viz., maximal rise and decay in the blood pressure showed improvement. These mechanical abnormalities may be underscored by altered intracellular Ca2+ homeostasis that was associated with enhanced oxidative stress. We found that AZL prevents maladaptive ventricular remodeling. Untreated diabetes further accelerated oxidative stress at molecular level by upregulating the endogenous NADPH oxidases like p67phox and downregulation of Mn-SOD. Treatment with AZL normalized the p67phox and Mn-SOD expression. Also, AZL treatment normalized the levels of cardiac troponin I, RyR2, and SERCA2a. The ability of AZL to restore all the parameters to the control level provides a plausible explanation for its ability to prevent diabetes-induced defects in calcium signaling. The intrin- sic antioxidant activity of AZL might thus contribute to its beneficial effects on LV dysfunction and cardiac failure. Discussion the development of early characteristics of diabetic cardi- omyopathy, such as, prolonged relaxation and abnormal E-C coupling in vivo in the intact myocardium as well as in the isolated ventricular myocytes. Delayed diastolic relaxation in diabetic cardiomyopathy is related to dimin- ished removal of [Ca2+]i from cardiomyocytes after the systolic contraction event. Treatment with AZL showed improvement in the systolic and diastolic duration. Also the markers for diastolic dysfunction, viz., maximal rise and decay in the blood pressure showed improvement. These mechanical abnormalities may be underscored by altered intracellular Ca2+ homeostasis that was associated with enhanced oxidative stress. We found that AZL prevents maladaptive ventricular remodeling. Untreated diabetes further accelerated oxidative stress at molecular level by upregulating the endogenous NADPH oxidases like p67phox and downregulation of Mn-SOD. Treatment with AZL normalized the p67phox and Mn-SOD Abnormalities in the myocardial calcium handling can contribute to deranged cardiac mechanics in the diabetic heart. Diabetes impairs sarcoplasmic reticular calcium pump activities, which reduces the rate of Ca2+ removal from the cytoplasm in diastole [7]. Such alterations may contribute to the increased diastolic stiffness characteristic of diabetic cardiomyopathy. Intracellular retention of cal- cium in diabetes is associated with the depletion of high- energy phosphate stores, derangement of cellular ultra- structure and can lead to cardiac dysfunction. Calcium Page 7 of 12 Kain et al. Cardiovascular Diabetology 2011, 10:97 http://www.cardiab.com/content/10/1/97 channel blockers in conjunction with antioxidants can reverse the intracellular calcium defects and prevent dia- betes induced myocardial changes. The present study i ti t C 2+ d d t l ti f ll l f ti prevention of early onset of diastolic dysfunction at cellular and organ level. AZL is a novel dihydropyridine calcium channel bl k hi h h l l ti ti h t i ti Figure 3 Generation of O2·- in ventricular myocytes isolated from control, diabetic rats and diabetic rats treated with AZL (5 mg kg-1 day-1). A. Representative confocal laser scanning microscopy images of cells fluorescently stained with DHE. B. Graph shows quantification of DHE fluorescence emission (Arbitrary Units) of the myocytes isolated from control, diabetic rats and diabetic rats treated with AZL after staining with DHE. Data represents Means ± SEM; n = 104 to 126/group. *P < 0.05 vs. control group; **P < 0.05 vs. diabetic group. Discussion Figure 3 Generation of O2·- in ventricular myocytes isolated from control, diabetic rats and diabetic rats treated with AZL (5 mg kg-1 day-1). A. Representative confocal laser scanning microscopy images of cells fluorescently stained with DHE. B. Graph shows quantification of DHE fluorescence emission (Arbitrary Units) of the myocytes isolated from control, diabetic rats and diabetic rats treated with AZL after staining with DHE. Data represents Means ± SEM; n = 104 to 126/group. *P < 0.05 vs. control group; **P < 0.05 vs. diabetic group. Figure 3 Generation of O2·- in ventricular myocytes isolated from control, diabetic rats and diabetic rats treated with AZL (5 mg kg-1 day-1). A. Representative confocal laser scanning microscopy images of cells fluorescently stained with DHE. B. Graph shows quantification of DHE fluorescence emission (Arbitrary Units) of the myocytes isolated from control, diabetic rats and diabetic rats treated with AZL after staining with DHE. Data represents Means ± SEM; n = 104 to 126/group. *P < 0.05 vs. control group; **P < 0.05 vs. diabetic group. channel blockers in conjunction with antioxidants can reverse the intracellular calcium defects and prevent dia- betes induced myocardial changes. The present study investigates Ca2+-dependent regulation of cellular function in diabetic cardiomyocytes and highlights role of AZL in prevention of early onset of diastolic dysfunction at cellular and organ level. AZL is a novel dihydropyridine calcium channel blocker which has a long lasting anti-hypertensive action [35]. It is generally well tolerated and its use is not Kain et al. Cardiovascular Diabetology 2011, 10:97 http://www.cardiab.com/content/10/1/97 Page 8 of 12 Figure 4 Western blot showing altered expression of calcium and ROS regulatory proteins in control, diabetic rats and diabetic rats treated with AZL (5 mg kg-1 day-1). A: Troponin I, B: RyR-2 and SERCA2ATPase, C: p67phox and Mn-SOD. Image is representative of the best of three separate experiments. b-actin served as loading control. Normalized densitometric quantification has been depicted by numerical value below the bands. Figure 4 Western blot showing altered expression of calcium and ROS regulatory proteins in control, diabetic rats and diabetic rats treated with AZL (5 mg kg-1 day-1). A: Troponin I, B: RyR-2 and SERCA2ATPase, C: p67phox and Mn-SOD. Image is representative of the best of three separate experiments. b-actin served as loading control. Normalized densitometric quantification has been depicted by numerical value below the bands. associated with reflex tachycardia [35]. Discussion *P < 0.05 vs. control group; **P < 0.05 vs. STZ treated group. C: Western blot showing bcl-2 expression in hearts from the same groups. Image is representative of the best of three separate experiments. b-actin served as loading control. Normalized densitometric quantification has been depicted by numerical value below the bands. Figure 5 Apoptosis in diabetic rat hearts and treated with AZL. A: representative photographs of in situ detection of apoptosis in heart tissue from controls, diabetic rats treated with vehicle, and diabetic rats treated with AZL (5 mg kg-1day-1). Total nuclei were labeled with DAPI (blue), and apoptotic nuclei were detected by TUNEL staining (green). B: average number of percent TUNEL-positive nuclei in tissue sections from each group (n = 4 to 5 sections each per group). *P < 0.05 vs. control group; **P < 0.05 vs. STZ treated group. C: Western blot showing bcl-2 expression in hearts from the same groups. Image is representative of the best of three separate experiments. b-actin served as loading control. Normalized densitometric quantification has been depicted by numerical value below the bands. Diabetes is characterized by consistently elevated blood glucose levels, decreased insulin levels and increased heart/body weight ratio indicative of hypertrophied heart was observed in the STZ diabetic rat. Cardiac hypertro- phy involves remodeling of entire heart especially in the left ventricular region which eventually leads to impaired diastolic function, further causing deterioration of cardiac morphology and function. The important finding of the present study is that STZ-induced hyperglycemia leads to dilapidated cardiac function further leading to diabetic cardiomyopathy. Our STZ diabetic rats showed left ven- tricular dysfunction. This study along with our previous report [26] provides evidence that hyperglycemia-induced left ventricular dysfunction due to oxidative stress induced by reactive oxygen species (ROS) and reactive nitrogen species (RNS) and defective antioxidant system contributing to the development of cardiomyopathy. Apoptosis induced by hyperglycemia is an early event in the pathophysiology of diabetic cardiomyopathy [40]. Hyperglycemia and insulin resistance independently con- tribute to functional alteration in the heart [41-44]. AZL treatment in streptozotocin diabetic rats has been shown to improve these functional cardiac abnormalities per- haps through tyrosine kinase-dependent increases in intracellular [Ca2+]i removal after systole. In the present study, treatment with AZL showed improvement in the systolic and diastolic duration. Also the markers for dia- stolic dysfunction, viz., maximal rise and decay in the blood pressure showed improvement. Discussion AZL has recently been approved in Japan for the treatment of patients with hypertension. Very recently, the results from OSCAR trial revealed that regimen that included AZL showed less composite fatal and nonfatal cardiovascular events compared to the group treated with other CCBs like amlodipine. Another study demonstrated the novel bene- ficial aspect of azelnidipine, whereby azelnidipine could play a protective role against atherosclerosis by suppres- sing monocyte chemoattractant protein-1 overexpression in endothelial cells [36]. Very recently, azelnidipine treat- ment have been shown to be useful in conditions like glucose tolerance, insulin sensitivity, inflammation, and number of circulating progenitor cells in non-diabetic patients with essential hypertension [37]. Another com- parative study between azelnidipine and olmesartan revealed that AZL was equally effective in reducing the blood pressure but also reduced the urinary albumin/ creatinine ratio and 8-hydroxydeoxyguanosine and renal fatty acid binding protein levels significantly compared with the amlodipine group. Also, AZL group showed lower plasma aldosterone levels indicating that AZL is far more effective in preventing albuminuria and oxidant stress in hypertensive diabetic patients with CKD than amlodipine [38]. In the settings of oxidative stress- induced hepatotoxicity mice model, Azelnidipine signifi- cantly decreased inflammatory cell infiltration, profibro- tic gene expressions, Hematopoietic stem cell activation, lipid peroxidation, oxidative DNA damage and fibrosis and also prevented the decrease in the expression of anti- oxidant enzymes [39]. It has been now well known that AZL can produce some beneficial effects independent of its anti-hypertensive effect [26], so the direct pharmaco- logical effect of AZL on the initial management and pre- vention of diabetic cardiomyopathy are paid more attention. Our study was an attempt to identify the effect of AZL on alteration of cardiomyocyte contraction and related cal- cium regulatory proteins, which might explain the effect of AZL on cardiac performance under diabetic conditions. Page 9 of 12 Kain et al. Cardiovascular Diabetology 2011, 10:97 http://www.cardiab.com/content/10/1/97 Kain et al. Cardiovascular Diabetology 2011, 10:97 http://www.cardiab.com/content/10/1/97 Figure 5 Apoptosis in diabetic rat hearts and treated with AZL. A: representative photographs of in situ detection of apoptosis in heart tissue from controls, diabetic rats treated with vehicle, and diabetic rats treated with AZL (5 mg kg-1day-1). Total nuclei were labeled with DAPI (blue), and apoptotic nuclei were detected by TUNEL staining (green). B: average number of percent TUNEL-positive nuclei in tissue sections from each group (n = 4 to 5 sections each per group). Discussion This AZL-induced reduction in resting intracellular Ca2+ level may be associated with an enhanced SERCA Ca2+ clearing ability in the AZL-trea- ted group (Figure 2) and is consistent with the vasodilatory and cardioprotective effect against Ca2+ overload under pathological conditions such as heart failure. The fre- quency-PS relationship was improved by AZL-treated dia- betic group (Figure 1), indicating a preserved sarcoplasmic reticulum (SR)-replenishing function in diabetic hearts. One possible explanation is that AZL may significantly augment the basal SR Ca2+ load in the diabetic group. The impaired intracellular Ca2+ homeostasis may be associated with a reduction in the main Ca2+-regulating protein SERCA2 and ryanodine receptor (RyR) proteins indirectly with reduced levels of Troponin I under the diabetic state [48]. Interestingly, the STZ diabetes-induced oxidative stress, apoptosis and alterations in oxidative stress-related signaling molecule p67phox NADPH oxidase were effec- tively alleviated by AZL treatment. It also improved the levels of Troponin I, RyR2, and SERCA2a. Because SERCA and RYR2 contributes to ~92% of the cytosolic Ca2+ removal workload in rat hearts [49], our finding of an overt reduction in SERCA2a protein level in STZ-induced diabetic hearts should have provided one of the most com- pelling explanations for the slowed intracellular Ca2+ clearing and prolonged duration of relaxation (TR90). The ability of AZL to restore all the parameters to the control level provides a plausible explanation for its ability to pre- vent diabetes-induced defects in calcium signaling. Increased oxidative stress is believed to be an initial and important step in the development of cardiac dysfunction and cardiomyopathy. NADPH oxidase and mitochondria are considered to be important sources of ROS [15-20] and are critical determinants of the redox state of the dia- betic myocardium. Previous studies reported that mem- brane translocation of p67phox and the increased expression of p22phox was prevented by N-acetyl L cysteine [50]. Therefore, we further tested whether AZL exerts its antioxidative properties by modulating the expression and function of NADPH oxidase subunit p67phox and mitochondrial ROS-eliminating enzyme Mn- SOD. The results from the isolated cardiomyocytes study showed that hyperglycemia leads to increased oxidative stress by enhancing the O2·- generation, by decreasing the expression of antioxidant enzyme Mn-SOD and by increasing expression of p67phox. The main new findings of this study are that AZL treatment prevents the increased expression of p67phox, and enhances Mn-SOD expression, thus reducing myocardial superoxide forma- tion in the diabetic rat hearts. Discussion In the present study, we found that AZL prevents ventricular remodel- ing accompanied by cardiac dysfunction. We also demonstrated that AZL did not alter blood pressure and Page 10 of 12 Kain et al. Cardiovascular Diabetology 2011, 10:97 http://www.cardiab.com/content/10/1/97 Kain et al. Cardiovascular Diabetology 2011, 10:97 http://www.cardiab.com/content/10/1/97 this suggests that AZL has preventive effects on cardiac dysfunction beyond its antihypertensive effects. Oxidative stress might play an important role in the progression of LV dysfunction and failure, the data somewhat is consis- tent with previous finding using STZ diabetic models [45-47]. These mechanical abnormalities may be under- scored by altered intracellular Ca2+ homeostasis that was associated with enhanced oxidative stress. The intrinsic antioxidant activity of AZL might thus be a contributor to its beneficial effects on LV dysfunction in diabetic car- diomyopathy. Although these findings are of interest, no clinical trials to date have investigated the effect of AZL on the development and progression of congestive heart failure in diabetic patients. Further, restoration of TPS after AZL treatment indicates that AZL may have a significant effect on the key rate-lim- iting components determining the length of contraction duration such as SR Ca2+ release, troponin, tropomyosin, and actin-myosin cross-bridge linking. These observations are consistent with the functional data of improved intra- cellular Ca2+ clearing and duration of relengthening (TR90) after AZL treatment. These results suggest that AZL treatment may ameliorate contractile disturbances in cardiomyocytes from diabetic animals and could provide therapeutic potential in the treatment of diabetic cardiomyopathy. Since AZL did not affect the hyperglycemic condition in diabetes, our data suggest that STZ-induced diabetes may elicit cardiac contractile dysfunction and intracellu- lar Ca2+ mishandling likely through enhanced oxidative stress and cell injury. In our study, certain diabetes-induced mechanical defects were not improved or protected by AZL treatment. For example, AZL improved the diabetes-induced reduc- tion in PS but not Ca2+-induced Ca2+ release. Although the underlying mechanism is largely unknown, the ability of AZL to enhance myofilament Ca2+ sensitivity may play a role. This is somewhat supported by the results shown in Figure 1, where myocytes from the AZL-treated group exhibit an improved PS compared with the myocytes from the diabetic group. The results from this study revealed that AZL treatment lowered the resting intracellular Ca2+ levels in the diabetic group. Discussion This reduction of O2·- generation and normalization of p67phox and Mn-SOD after AZL treatment indicate that AZL reduces diabetic cardiac damage by targeting the redox signaling pathways. Moreover, an increase in the expression of p67phox and decrease in the expression of Mn-SOD as well as bcl-2 and normalization of these expressions by AZL indicates a mutual functional relationship between NADPH oxidase and mitochondria. AZL in our study not only improves cardiac contractile function but also offers protection against oxidative stress, apoptosis and ultimately leading diabetic cardiomyopathy. Kain et al. Cardiovascular Diabetology 2011, 10:97 http://www.cardiab.com/content/10/1/97 Kain et al. Cardiovascular Diabetology 2011, 10:97 http://www.cardiab.com/content/10/1/97 Kain et al. Cardiovascular Diabetology 2011, 10:97 http://www.cardiab.com/content/10/1/97 9. Cai L, Wang Y, Zhou G, Chen T, Song Y, Li X, Kang YJ: Attenuation by metallothionein of early cardiac cell death via suppression of mitochondrial oxidative stress results in a prevention of diabetic cardiomyopathy. J Am Coll Cardiol 2006, 48(8):1688-1697. Some of the changes could be result of the overall func- tional improvement due to AZL treatment and may not be directly attributable to AZL treatment. The hemody- namic parameters were evaluated at the end of the study, and comparisons were made with comparing with diabetic and non-diabetic control in the experimental design. As a result of which the signals were recorded only at the end of the experimental period, leading to the lack of baseline values in the same animals at the start of the study. cardiomyopathy. J Am Coll Cardiol 2006, 48(8):1688-1697. 10. Cai L: Suppression of nitrative damage by metallothionein in diabetic heart contributes to the prevention of cardiomyopathy. Free Radic Biol Med 2006, 41(6):851-861. 11. Boudina S, Abel ED: Diabetic cardiomyopathy revisited. Circulation 2007, 115(25):3213-3223. 12. Teshima Y, Takahashi N, Saikawa T, Hara M, Yasunaga S, Hidaka S, Sakata T: Diminished expression of sarcoplasmic reticulum Ca(2+)-ATPase and ryanodine sensitive Ca(2+)Channel mRNA in streptozotocin-induced diabetic rat heart. J Mol Cell Cardiol 2000, 32(4):655-664. 13. Ganguly PK, Pierce GN, Dhalla KS, Dhalla NS: Defective sarcoplasmic reticular calcium transport in diabetic cardiomyopathy. Am J Physiol 1983, 244(6):E528-535. Competing interests The authors declare that they have no competing interests. The authors declare that they have no competing interests. Received: 15 July 2011 Accepted: 4 November 2011 22. Wendt MC, Daiber A, Kleschyov AL, Mulsch A, Sydow K, Schulz E, Chen K, Keaney JF Jr, Lassegue B, Walter U, et al: Differential effects of diabetes on the expression of the gp91phox homologues nox1 and nox4. Free Radic Biol Med 2005, 39(3):381-391. Published: 4 November 2011 Acknowledgements We thank Dr. G.C. Mishra, Director, NCCS, Pune, for encouragement and support; the Department of Biotechnology, Government of India, for providing financial support; the Council for Scientific and Industrial Research and the University Grants Commission, New Delhi, for providing fellowships. We acknowledge the technical help of Ms. Ashwini Atre in confocal microscopy and the staff of the experimental animal facility at National Centre for Cell Science. 18. Xiao L, Pimentel DR, Wang J, Singh K, Colucci WS, Sawyer DB: Role of reactive oxygen species and NAD(P)H oxidase in alpha(1)-adrenoceptor signaling in adult rat cardiac myocytes. Am J Physiol Cell Physiol 2002, 282(4):C926-934. 19. Zhao K, Zhao GM, Wu D, Soong Y, Birk AV, Schiller PW, Szeto HH: Cell- permeable peptide antioxidants targeted to inner mitochondrial membrane inhibit mitochondrial swelling, oxidative cell death, and reperfusion injury. J Biol Chem 2004, 279(33):34682-34690. Conclusion 14. Rodrigues B, Rosa K, Medeiros A, Schaan B, Brum P, De Angelis K, Irigoyen M: Hyperglycemia can delay left ventricular dysfunction but not autonomic damage after myocardial infarction in rodents. Cardiovasc Diabetol 2011, 10(1):26. In conclusion, the present study reveals the beneficial effects of AZL treatment on diabetes induced early left ventricular dysfunction. AZL exhibited additional anti- oxidant properties in addition to its calcium channel blocking activity. This intrinsic antioxidant property of AZL may provide a promising advantage over other cal- cium channel blockers in the management of compro- mised heart function especially under diabetes. 15. Isabelle M, Vergeade A, Moritz F, Dautreaux B, Henry JP, Lallemand F, Richard V, Mulder P, Thuillez C, Monteil C: NADPH oxidase inhibition prevents cocaine-induced up-regulation of xanthine oxidoreductase and cardiac dysfunction. J Mol Cell Cardiol 2007, 42(2):326-332. 16. Heymes C, Bendall JK, Ratajczak P, Cave AC, Samuel JL, Hasenfuss G, Shah AM: Increased myocardial NADPH oxidase activity in human heart failure. J Am Coll Cardiol 2003, 41(12):2164-2171. 17. Li JM, Gall NP, Grieve DJ, Chen M, Shah AM: Activation of NADPH oxidase during progression of cardiac hypertrophy to failure. Hypertension 2002, 40(4):477-484. Authors’ contributions 20. Nagy N, Malik G, Tosaki A, Ho YS, Maulik N, Das DK: Overexpression of glutaredoxin-2 reduces myocardial cell death by preventing both apoptosis and necrosis. J Mol Cell Cardiol 2008, 44(2):252-260. VK and SK contributed equally to the experimental designing and bench work. SLS conceived and designed the study. All authors have read, discussed and approved the final manuscript. 21. Wold LE, Ceylan-Isik AF, Fang CX, Yang X, Li SY, Sreejayan N, Privratsky JR, Ren J: Metallothionein alleviates cardiac dysfunction in streptozotocin- induced diabetes: role of Ca2+ cycling proteins, NADPH oxidase, poly (ADP-Ribose) polymerase and myosin heavy chain isozyme. Free Radic Biol Med 2006, 40(8):1419-1429. Limitations of the study We did not test the effect of known antioxidants in comparison to AZL in the present study. We observed the changes after the treatment duration of 12 weeks. Page 11 of 12 Kain et al. 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Am J Physiol Heart Circ Physiol 2000, 278(6):H1948-1954. y y 43. Border WA, Brees D, Noble NA: Transforming growth factor-beta and extracellular matrix deposition in the kidney. Contrib Nephrol 1994, 107:140-145. 44. Verma S, Maitland A, Weisel RD, Li SH, Fedak PW, Pomroy NC, Mickle DA, Li RK, Ko L, Rao V: Hyperglycemia exaggerates ischemia-reperfusion- induced cardiomyocyte injury: reversal with endothelin antagonism. J Thorac Cardiovasc Surg 2002, 123(6):1120-1124. 45. Ren J, Davidoff AJ: Diabetes rapidly induces contractile dysfunctions in isolated ventricular myocytes. Am J Physiol 1997, 272(1 Pt 2):H148-158. 45. Ren J, Davidoff AJ: Diabetes rapidly induces contractile dysfunctions in isolated ventricular myocytes. Am J Physiol 1997, 272(1 Pt 2):H148-158. 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: 46. Norby FL, Wold LE, Duan J, Hintz KK, Ren J: IGF-I attenuates diabetes- induced cardiac contractile dysfunction in ventricular myocytes. Am J Physiol Endocrinol Metab 2002, 283(4):E658-666. y 47. Ye G, Metreveli NS, Ren J, Epstein PN: Metallothionein prevents diabetes- induced deficits in cardiomyocytes by inhibiting reactive oxygen species production. Diabetes 2003, 52(3):777-783. p 48. References 23. Shen X, Zheng S, Metreveli NS, Epstein PN: Protection of cardiac mitochondria by overexpression of MnSOD reduces diabetic cardiomyopathy. Diabetes 2006, 55(3):798-805. 1. Rubler S, Dlugash J, Yuceoglu YZ, Kumral T, Branwood AW, Grishma New type of cardiomyopathy associated with diabetic glomerulosclerosis. Am J Cardiol 1972, 30(6):595-602. 24. Boudina S, Sena S, Theobald H, Sheng X, Wright JJ, Hu XX, Aziz S, Johnson JI, Bugger H, Zaha VG, et al: Mitochondrial energetics in the heart in obesity- related diabetes: direct evidence for increased uncoupled respiration and activation of uncoupling proteins. Diabetes 2007, 56(10):2457-2466. 2. Asmal AC, Leary WP, Thandroyen F: Diabetic heart disease. S Afr Med J 1980, 57(19):788-790. 2. Asmal AC, Leary WP, Thandroyen F: Diabetic heart disease. S Afr Med J 1980, 57(19):788-790. 3. Regan TJ: Congestive heart failure in the diabetic. Annu Rev Med 1983, 34:161-168. 3. Regan TJ: Congestive heart failure in the diabetic. Annu Rev Med 1983, 34:161-168. 25. Privratsky JR, Wold LE, Sowers JR, Quinn MT, Ren J: AT1 blockade prevents glucose-induced cardiac dysfunction in ventricular myocytes: role of the AT1 receptor and NADPH oxidase. Hypertension 2003, 42(2):206-212. 4. Hamby RI, Zoneraich S, Sherman L: Diabetic cardiomyopathy. Jama 1974, 229(13):1749-1754. 4. Hamby RI, Zoneraich S, Sherman L: Diabetic cardiomyopathy. Jama 1974, 229(13):1749-1754. 5. Regan TJ, Lyons MM, Ahmed SS, Levinson GE, Oldewurtel HA, Ahmad MR, Haider B: Evidence for cardiomyopathy in familial diabetes mellitus. J Clin Invest 1977, 60(4):884-899. y 26. Kain V, Kumar S, Puranik AS, Sitasawad SL: Azelnidipine protects myocardium in hyperglycemia-induced cardiac damage. Cardiovasc Diabetol 2010, 9:82. 6. Mahgoub MA, Abd-Elfattah AS: Diabetes mellitus and cardiac function. Mol Cell Biochem 1998, 180(1-2):59-64. 27. Maggi CA, Meli A: Suitability of urethane anesthesia for physiopharmacological investigations in various systems. Part 2: Cardiovascular system. Experientia 1986, 42(3):292-297. 7. Pierce GN, Russell JC: Regulation of intracellular Ca2+ in the heart during diabetes. Cardiovasc Res 1997, 34(1):41-47. 28. Kajstura J, Fiordaliso F, Andreoli AM, Li B, Chimenti S, Medow MS, Limana F, Nadal-Ginard B, Leri A, Anversa P: IGF-1 overexpression inhibits the development of diabetic cardiomyopathy and angiotensin II-mediated oxidative stress. Diabetes 2001, 50(6):1414-1424. 8. Choi KM, Zhong Y, Hoit BD, Grupp IL, Hahn H, Dilly KW, Guatimosim S, Lederer WJ, Matlib MA: Defective intracellular Ca(2+) signaling contributes to cardiomyopathy in Type 1 diabetic rats. Am J Physiol Heart Circ Physiol 2002, 283(4):H1398-1408. Kain et al. Cardiovascular Diabetology 2011, 10:97 http://www.cardiab.com/content/10/1/97 Kain et al. Cardiovascular Diabetology 2011, 10:97 http://www.cardiab.com/content/10/1/97 Liu X, Takeda N, Dhalla NS: Troponin I phosphorylation in heart homogenate from diabetic rat. Biochim Biophys Acta 1996, 1316(2):78-84. 48. Liu X, Takeda N, Dhalla NS: Troponin I phosphorylation in heart homogenate from diabetic rat. Biochim Biophys Acta 1996, 1316(2):78-84. 49. Bers DM: Cardiac excitation-contraction coupling. Nature 2002, 415(6868):198-205. 50. Guo Z, Xia Z, Jiang J, McNeill JH: Downregulation of NADPH oxidase, antioxidant enzymes, and inflammatory markers in the heart of 50. Guo Z, Xia Z, Jiang J, McNeill JH: Downregulation of NADPH oxidase, antioxidant enzymes, and inflammatory markers in the heart of
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Qeios · Definition, February 7, 2020 Open Peer Review on Qeios Open Peer Review on Qeios Excisional Biopsy of Breast National Cancer Institute Qeios ID: 7PSPJK · https://doi.org/10.32388/7PSPJK Source National Cancer Institute. Excisional Biopsy of Breast. NCI Thesaurus. Code C51633. National Cancer Institute. Excisional Biopsy of Breast. NCI Thesaurus. Code C51633. Removal of tissue from the breast for microscopic examination, involving surgical excision of a portion of the breast. Qeios ID: 7PSPJK · https://doi.org/10.32388/7PSPJK 1/1
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ON THE FIRST PASSAGE TIME IN THE DYNAMIC ACTUARIAL RISKS
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To cite this version: Mohamed Amine Kacef. SUR L’INSTANT DE PREMIER PASSAGE DANS LES RISQUES DY- NAMIQUES ACTUARIELS. Pricing [q-fin.PR]. Université des Sciences et de la Technologie Houari Boumediène (Algérie), 2021. Français. ￿NNT : ￿. ￿tel-03279247￿ Distributed under a Creative Commons Attribution 4.0 International License HAL Id: tel-03279247 https://theses.hal.science/tel-03279247v1 Submitted on 6 Jul 2021 L’archive ouverte pluridisciplinaire HAL, est destinée au dépôt et à la diffusion de documents scientifiques de niveau recherche, publiés ou non, émanant des établissements d’enseignement et de recherche français ou étrangers, des laboratoires publics ou privés. HAL is a multi-disciplinary open access archive for the deposit and dissemination of sci- entific research documents, whether they are pub- lished or not. The documents may come from teaching and research institutions in France or abroad, or from public or private research centers. Distributed under a Creative Commons Attribution 4.0 International License N ◦d’ordre : 33/2021-C/MT A ma m`ere qui m’a soutenu depuis le d´ebut de ma formation universitaire A ma femme qui m’a motiv´e et aid´e durant mes travaux de recherche A mon p`ere qui m’a inculqu´e mes premi`eres notions de finance R´epublique Alg´erienne D´emocratique et Populaire Minist`ere de L’Enseignement Sup´erieur et de la Recherche Scientifique Universit´e des Sciences et de la Technologie HOUARI BOUMEDIENE Facult´e de Math´ematiques Th`ese de DOCTORAT Pr´esent´ee pour l’obtention du grade de Docteur En : MATHEMATIQUES Sp´ecialit´e : Math´ematiques Financi`eres et Actuariat Par : KACEF Mohamed Amine Sujet SUR L’INSTANT DE PREMIER PASSAGE DANS LES RISQUES DYNAMIQUES ACTUARIELS Soutenue publiquement, le lundi 05 avril 2021, devant le jury compos´e de : M. TATACHAK Abdelkader Professeur `a l’USTHB Pr´esident M. BOUKHETALA Kamal Professeur `a l’USTHB Directeur de th`ese M. REMITA Mohamed Riad Professeur `a l’UBMA Examinateur M. KHALDI Khaled Professeur `a l’UMBB Examinateur Mme. SADKI Ourida Professeur `a l’USTHB Examinatrice Mme. GUESSOUM Zohra Professeur `a l’USTHB Examinatrice R´epublique Alg´erienne D´emocratique et Populaire Minist`ere de L’Enseignement Sup´erieur et de la Recherche Scientifique Universit´e des Sciences et de la Technologie HOUARI BOUMEDIENE Facult´e de Math´ematiques M. TATACHAK Abdelkader Professeur `a l’USTHB Pr´esident M. BOUKHETALA Kamal Professeur `a l’USTHB Directeur de th`ese M. REMITA Mohamed Riad Professeur `a l’UBMA Examinateur M. KHALDI Khaled Professeur `a l’UMBB Examinateur Mme. SADKI Ourida Professeur `a l’USTHB Examinatrice Mme. GUESSOUM Zohra Professeur `a l’USTHB Examinatrice M. TATACHAK Abdelkader Professeur `a l’USTHB Pr´esident M. BOUKHETALA Kamal Professeur `a l’USTHB Directeur de th`ese M. REMITA Mohamed Riad Professeur `a l’UBMA Examinateur M. KHALDI Khaled Professeur `a l’UMBB Examinateur Mme. SADKI Ourida Professeur `a l’USTHB Examinatrice Mme. GUESSOUM Zohra Professeur `a l’USTHB Examinatrice Remerciements Je tiens `a remercier ma famille qui m’a apport´e tout le soutien moral et physique durant la p´eriode d’´elaboration de cette th`ese, je commence par ma m`ere qui m’a suivi depuis mon jeune ˆage, qui m’a soutenu dans mon parcours universitaire et qui m’a donn´e toute la volont´e d’avancer dans le domaine de la recherche scientifique. A mon p`ere ´egalement, qui ´etait l`a pour ´ecouter mes probl`emes et m’a toujours donn´e des conseils pour avancer dans la vie. A ma femme qui m’a aid´e pendant mes travaux de recherche et m’a apport´e un ´enorme soutien moral. A toute ma famille, mes sœurs, mes beaux-parents qui m’ont soutenu et encourag´e `a entamer une carri`ere de chercheur universitaire. J’adresse ´egalement mes sinc`eres remerciements `a mon directeur de th`ese, le professeur BOUKHETALA. Je remercie ´egalement les membres du jury, `a commencer par le Prof. TATACHAK qui a accept´e de pr´esider le jury, le Prof. REMITA et le Prof. KHALDI qui nous ont aid´e `a am´eliorer la qualit´e du manuscrit et nous ont fourni plusieurs d´etails financiers concernant le contenu de cette th`ese. Je remercie aussi Prof. SADKI et Prof. GUESSOUM pour leur contribution scientifique et leurs remarques pertinentes qui nous ont permis d’am´eliorer encore une fois la qualit´e du manuscrit. R´ESUM´E Dans cette th`ese, nous avons ´etudi´e le probl`eme de l’instant de premier passage dans la tarification des options qui sont des produits financiers permettant le transfert des risques li´es `a la dynamique stochastique des march´es financiers. Dans ce cadre, nous avons d´evelopp´e un nouveau produit d´eriv´e appel´e option g´eom´etrique d’Istanbul. Cette option est une extension des options asiatiques puisque son prix d´epend du prix moyen de l’actif sous-jacent sur une p´eriode de temps al´eatoire. De plus, comme dans le cas des options `a barri`ere, le gain d’une option g´eom´etrique d’Istanbul d´epend de l’instant de premier passage d’un mouvement Brownien g´eom´etrique puisque nous supposons que le mod`ele ´economique choisi pour l’´etude est celui de Black-Scholes (1973). Une formule d’approximation est donn´ee sous forme ferm´ee pour une option g´eom´etrique d’Istanbul dans le cas d’une option d’achat (Call) et ´egalement pour une option de vente (Put). Dans nos approches num´eriques, nous adoptons la technique de Monte-Carlo avec r´eduction de la variance de l’estimateur obtenu par la m´ethode des variables de contrˆole. Cette approche num´erique nous a permis de valider l’efficacit´e de nos formules d’approximation analytiques puisque le prix de l’option obtenu num´eriquement est tr`es proche de celui que nous proposons pour divers param`etres d’entr´ee tels que le taux d’int´erˆet, la volatilit´e, le prix initial, le prix d’exercice et la date d’´ech´eance. Par ailleurs, nous avons montr´e, num´eriquement, que le prix de notre option est relativement moins cher que celui d’une option arithm´etique d’Istanbul qui a ´et´e propos´ee pour la premi`ere fois par Michel Jacques en 1979. Mots-cl´es : Instant de premier passage, premier temps d’atteinte, processus stochastique, tarification des options, options g´eom´etriques d’Istanbul, approximation de forme ferm´ee, simulation de Monte-Carlo, m´ethode des variantes de contrˆole. ABSTRACT In this thesis, we studied the problem of the first passage time in options pricing which are financial products allowing the transfer of risks related to the stochastic dynamics of financial markets. In this framework, we developed a new derivative called Geometric Istanbul Option. This option is an extension of Asian options since its price depends on the average price of the underlying asset over a random period of time. Moreover, as in the case of barrier options, the payoffof a geometric Istanbul option depends on the first passage time of a geometric Brownian motion since we assume that the economic model chosen for the study is the Black-Scholes (1973) model. An approximation formula is given in closed-form for a geometric Istanbul option in both cases of call and put options. In our numerical approaches, we adopt the Monte-Carlo technique with reduction of the variance of the estimator obtained by the control variates method. This numerical approach has allowed us to validate the efficiency of our analytical approximation formulas since the option price obtained numerically is very close to the one we propose for various input parameters such as interest rate, volatility, initial price, strike price and maturity date. Furthermore, we have shown, numerically, that our option price is relatively cheaper than that of an arithmetic Istanbul option that was first proposed by Michel Jacques in 1979. Keywords : First passage time, first hitting time, stochastic process, options pricing, geometric Istanbul options, closed-form approximation, Monte-Carlo simulation, Control variates method. Abr´eviations v.a. variable(s) al´eatoire(s). i.i.d. ind´ependantes et identiquement distribu´ees. p.s. presque sˆurement. v.a. variable(s) al´eatoire(s). i.i.d. ind´ependantes et identiquement distribu´ees. i.i.d. ind´ependantes et identiquement distribu´ees. p.s. presque sˆurement. p.s. presque sˆurement. p.s. presque sˆurement. Table des mati`eres Introduction G´en´erale 1 1 Le probl`eme de l’instant de premier passage pour les processus stochas- tiques 6 1.1 Processus stochastiques : d´efinitions et notations . . . . . . . . . . . . . . . 7 1.2 Instant de premier passage pour un processus stochastique . . . . . . . . . 8 1.3 Distribution des instants de premier passage pour un mouvement Brownien standard . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 17 1.4 Distribution des instants de premier passage pour un mouvement Brownien arithm´etique . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 29 1.5 Distribution des instants de premier passage pour un mouvement Brownien g´eom´etrique . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 36 2 Gestion des risques financiers par des options 50 2.1 La notion de risque en finance . . . . . . . . . . . . . . . . . . . . . . . . . 51 2.2 Les options . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 52 2.3 Tarification des options dans le mod`ele Black-Scholes . . . . . . . . . . . . 53 2.4 Options dont le payoffd´epend de l’instant de premier passage . . . . . . . 63 3 Une approximation de forme ferm´ee du prix d’une option d’Istanbul `a moyenne g´eom´etrique 68 3.1 Options d’Istanbul . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 69 3.2 Tarification des options d’Istanbul `a moyenne g´eom´etrique . . . . . . . . . Notations Soient X et Y deux variables al´eatoires. Soit A ∈Ωun ´ev`enement. Nous consid´erons les notations suivantes : notations suivantes : 1A Fonction indicatrice sur A. P(X ∈A) La probabilit´e que X appartient `a l’ensemble A. Em(X) Esp´erance de X sous la mesure de probabilit´e m. Cov(X, Y ) Covariance entre X et Y . ρXY Le coefficient de corr´elation entre X et Y . Var(X) Variance de X. σX L’´ecart-type de X. X d= Y Les v.a. X et Y ont la mˆeme distribution de probabilit´e. dx Une quantit´e infinit´esimale. Φ(x) Fonction de r´epartition en x d’une loi N(0, 1). φ(x) Fonction de densit´e en x d’une loi N(0, 1). L −1[F] Inverse de la transform´e de Laplace de la fonction F. |x| La valeur absolue de la variable x. max (x) Le maximum de la variable x. max (x, y) Le maximum entre x et y. min (x) Le minimum de la variable x. min (x, y) Le minimum entre x et y. inf{A} La borne inf´erieure de l’ensemble A. □ Fin de la d´emonstration. x+ = max(0, x). 1A Fonction indicatrice sur A. P(X ∈A) La probabilit´e que X appartient `a l’ensemble A. Em(X) Esp´erance de X sous la mesure de probabilit´e m. Cov(X, Y ) Covariance entre X et Y . ρXY Le coefficient de corr´elation entre X et Y . Var(X) Variance de X. σX L’´ecart-type de X. X d= Y Les v.a. X et Y ont la mˆeme distribution de probabilit´e. dx Une quantit´e infinit´esimale. Φ(x) Fonction de r´epartition en x d’une loi N(0, 1). φ(x) Fonction de densit´e en x d’une loi N(0, 1). L −1[F] Inverse de la transform´e de Laplace de la fonction F. |x| La valeur absolue de la variable x. max (x) Le maximum de la variable x. max (x, y) Le maximum entre x et y. min (x) Le minimum de la variable x. min (x, y) Le minimum entre x et y. inf{A} La borne inf´erieure de l’ensemble A. □ Fin de la d´emonstration. x+ = max(0, x). La valeur absolue de la variable x. Le maximum de la variable x. Liste des figures 1.1 Cours du P´etrole Brent (Brent Crude Oil) du 06/11/2020 de 02 :20 `a 13 :58. Notes : les prix sont donn´es en dollars am´ericain (USD) avec des cotations chaque minute. Source :boursorama.com . . . . . . . . . . . . . . . . . . . 8 1.2 Trajectoire d’un mouvement Brownien standard Bt issu de z´ero qui atteint pour la premi`ere fois la courbe de la fonction D(t) = exp (2t −1.5) `a l’ins- tant 0.221 sur l’intervalle de temps [0, 1]. Notes : Le nombre de r´ealisations du mouvement Brownien par m´ethode Monte-Carlo est de n = 1000. . . . . 9 1.3 Trajectoire d’un mouvement Brownien standard Bt issu de z´ero qui atteint pour la premi`ere fois la courbe de la fonction D(t) = t −0.5 `a l’instant 0.628 sur l’intervalle de temps [0, 1]. Notes : Le nombre de r´ealisations de Bt est de n = 50. Le graphique montre que, l’instant de premier passage tB D est compris entre les deux instants de discr´etisation 0.62 et 0.64. . . . . 11 1.4 Simulation de l’instant de premier passage avec un pont Brownien. Notes : Dans la Figure (a), une trajectoire d’un mouvement Brownien strandard Bt est simuler avec N = 100. Le premier instant d’intersection avec la courbe de la fonction D(t) = sin(t2 −0.25) est localis´e entre les deux instants de discr´etisation 0.70 et 0.72. La Figure (b) montre une simulation d’un pont Brownien sur l’intervalle [0.71, 0.72]. L’insatant de premier passage `a D(t) par le pont Brownien est estimer `a 0.718 contrairement `a l’interpolation li´eaire qui donne un instant d’intersection proche de 0.7126. . . . . . . . . 12 1.5 Convergence de l’estimateur de Monte-Carlo. Notes : Nous simulons un ´echantillon des r´ealisations de la v.a. T B 0.56 = inf{t ∈[0, T] : Bt ⩾0.56} o`u Bt est un mouvement Brownien standard issu de z´ero. Le nombre de points simuler par trajectoire est de n = 1000. Le nombre de trajectoires N de Bt varie de 50 `a 3000. La distribution P(T B 0.56 ⩽t) est approxi- m´ee `a l’instant t = 0.354 pour chaque simulation. La valeur th´eorique est P(T B 0.56 ⩽0.354) = 0.3466. . . . . . . . . . . . . . . . . . . . . . . . . . Table des mati`eres 70 3.3 Approximation Log-normale pour le prix d’une option d’Istanbul `a moyenne arithm´etique . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 77 3.4 Analyse num´erique . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 78 Conclusion 84 Perspectives de recherche 85 Annexe A 86 Annexe B 88 Bibliographie 91 1 Liste des figures 12 LISTE DES FIGURES 1.10 Simulation d’un ´echantillon des instants de premier passage au seuil a = 0.127 par un mouvement Brownien standard. . . . . . . . . . . . . . . . . . 28 1.11 Comparaison entre la courbe de la densit´e et l’histogramme des instants de premier passage pour un mouvement Brownien standard . . . . . . . . . . 29 1.12 Impact du changement du signe de la d´erive sur l’instant de premier passage pour un mouvement Brownien arithm´etique. . . . . . . . . . . . . . . . . . 33 1.13 Comparaison entre la courbe de la densit´e fT X a et l’histogramme de l’´echan- tillon des T X a . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 35 1.14 Instant de premi`ere surface d’un mouvement Brownien arithm´etique . . . . 42 1.15 Flux de 10 trajectoires d’un pont Brownien Xt avec X0 = −1 et X1 = 1. Notes : Le nombre de r´ealisations par trajectoires est n = 100. . . . . . . . 45 1.16 Flux de trajectoires d’un mouvement Brownien g´eom´etrique sur l’intervalle [0, 1] . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 48 1.17 Comparaison entre la courbe de la densit´e fT S a et l’histogramme de l’´echan- tillon des T S a . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 49 2.1 ´Evolution de la valeur intrins`eque et de la valeur temps d’une option d’achat europ´eenne par rapport au prix de l’actif sous-jacent pour diff´e- rentes ´ech´eances. Notes : Le prix du Call est calcul´e avec la formule de tarification (2.37). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Liste des figures . . 13 1.6 Comparaison entre l’estimateur de Monte-Carlo standard et celui obtenu avec les techniques de r´eduction de la variance dans Exemple 1. . . . . . . 17 1.7 Trajectoire d’un mouvement Brownien standard sur l’intervalle [0, 1] simu- ler `a partir de n = 100 points. . . . . . . . . . . . . . . . . . . . . . . . . . 20 1.8 Flux de N = 100 trajectoires Browniennes sur l’intervalle [0, 1] avec n = 100 points simuler par trajectoire. . . . . . . . . . . . . . . . . . . . . . . . . . 20 1.9 Mouvement Brownien standard r´efl´echi `a partir de l’instant de premier passage au seuil a. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 25 1.1 Cours du P´etrole Brent (Brent Crude Oil) du 06/11/2020 de 02 :20 `a 13 :58. Notes : les prix sont donn´es en dollars am´ericain (USD) avec des cotations chaque minute. Source :boursorama.com . . . . . . . . . . . . . . . . . . . 8 1.3 Trajectoire d’un mouvement Brownien standard Bt issu de z´ero qui atteint pour la premi`ere fois la courbe de la fonction D(t) = t −0.5 `a l’instant 0.628 sur l’intervalle de temps [0, 1]. Notes : Le nombre de r´ealisations de Bt est de n = 50. Le graphique montre que, l’instant de premier passage tB D est compris entre les deux instants de discr´etisation 0.62 et 0.64. . . . . 11 1.4 Simulation de l’instant de premier passage avec un pont Brownien. Notes : Dans la Figure (a), une trajectoire d’un mouvement Brownien strandard Bt est simuler avec N = 100. Le premier instant d’intersection avec la courbe de la fonction D(t) = sin(t2 −0.25) est localis´e entre les deux instants de discr´etisation 0.70 et 0.72. La Figure (b) montre une simulation d’un pont Brownien sur l’intervalle [0.71, 0.72]. L’insatant de premier passage `a D(t) par le pont Brownien est estimer `a 0.718 contrairement `a l’interpolation li´eaire qui donne un instant d’intersection proche de 0.7126. . . . . . . . . Liste des figures 59 3.1 Valeurs de µ2/8 pour r compris de 1% `a 8% et σ compris de 10% `a 50%. . 72 3.2 Comparaison des prix d’options d’achat d’Istanbul pour les deux types de moyennes (Arithm´etique et G´eom´etrique). Notes : Les prix des options d’achat d’Istanbul sont not´es GICB et AICB pour les cas de moyenne g´eo- m´etrique et arithm´etique, respectivement. Nous prenons comme param`etres d’entr´ee pour le graphique de gauche : S0 de 70 `a 100, σ = 0, 3, r = 0, 05, T = 1, B = 105 et K = 90. Dans le graphique de droite, nous consid´erons les param`etres d’entr´ee : K de 70 `a 100, σ = 0.3, r = 0.05, T = 1, B = 85 et S0 = 79. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 82 3.3 Le Delta d’une option d’achat g´eom´etrique d’Istanbul. Notes : Les trac´es de gauche sont construits avec les param`etres d’entr´ee suivants : r = 0, 05, T = 1, B = 85 et K = 80. Dans les trac´es de droite, nous prenons : r = 0, 05, σ = 0, 3, B = 85 et S0 = 80. La valeur de Delta est approxim´ee num´eriquement par une diff´erence finie de premier ordre. . . . . . . . . . . 83 Introduction G´en´erale Depuis les travaux de Bachelier [1900] sur la mod´elisation des cours de la bourse de Paris, la th´eorie des processus stochastiques est devenue plus que n´ecessaire dans le monde de la finance moderne. En effet, les processus stochastiques sont largement impliqu´es dans la mod´elisation financi`ere dans les secteurs de l’assurance et des march´es financiers. Cette mod´elisation permet d’avoir une id´ee sur le comportement futur du march´e afin de mieux g´erer les risques de perte d’argent ou de contrats `a moyen et `a cour terme. En particulier, pour les mati`eres premi`eres n´egoci´ees en bourse comme le p´etrole brut et le gaz, il est naturel de dire que l’´evolution du prix de ces produits d´epend de plusieurs facteurs, `a savoir l’´etat du march´e (offre et demande), la nature du produit n´egoci´e, les intemp´eries, les pand´emies, les crises politiques, le terrorisme, les guerres, etc. Il est donc tr`es difficile, en pratique, de mod´eliser l’´evolution future d’une mati`ere premi`ere quelle que soit sa nature. Cependant, les n´egociants sur les march´es financiers ne s’int´eressent qu’`a la mani`ere dont les prix des actifs financiers sont influenc´es par les facteurs que nous venons de mentionner. En pratique, seule la tendance actuelle du march´e sera prise en compte pour toute projection dans l’avenir. D’une mani`ere g´en´erale, les observateurs des prix des actifs financiers s’int´eressent `a trois indicateurs, `a savoir : — La direction du prix (d´erive), qui peut ˆetre soit `a la hausse, `a la baisse ou stagnante. — La direction du prix (d´erive), qui peut ˆetre soit `a la hausse, `a la baisse ou stagnante. — La volatilit´e du march´e. — La direction du prix (d´erive), qui peut ˆetre soit `a la hausse, `a la baisse ou sta — La volatilit´e du march´e. — La volatilit´e du march´e. — L’intensit´e des sauts. 1 Ces indicateurs d´ependent `a leur tour de l’´etat du march´e pendant la dur´ee de la n´ego- ciation. Pour les contrats `a court terme, l’effet du temps n’est g´en´eralement pas pris en compte dans la mod´elisation et par cons´equent les indicateurs ´enum´er´es ci-dessus seront consid´er´es comme des quantit´es pr´ed´etermin´ees par la dynamique du march´e et non pas par la dur´ee de vie des contrats. Par ailleurs, pour les contrats `a moyen et long terme, l’effet du temps est important, d’o`u l’int´erˆet d’introduire des mod`eles ´economiques avec des indicateurs d´ependant du temps. 1. Les prix des actifs financiers cot´es en bourse peuvent chuter (ou augmenter) fortement, par exemple, cela peut se produire suite `a la mise en liquidation d’une soci´et´e actionnaire, cette possibilit´e doit ˆetre prise en compte dans toute mod´elisation financi`ere. En litt´erature, la plupart des mod`eles ´economiques comportant des sauts sont construits avec le processus de poisson (pour plus de d´etails sur le processus de poisson, voir [Last et Penrose, 2017]). Liste des tableaux 3.1 Comparaison entre le prix d’une option d’achat g´eom´etrique d’Istanbul ob- tenu avec notre formule d’approximation analytique (3.11) et celui obtenu avec les simulations de Monte-Carlo. . . . . . . . . . . . . . . . . . . . . . 79 3.2 Comparaison entre le prix d’une option d’achat g´eom´etrique d’Istanbul ob- tenu avec notre formule d’approximation analytique (3.17) et celui obtenu avec les simulations de Monte-Carlo. . . . . . . . . . . . . . . . . . . . . . 80 3.3 Erreurs relatives lorsque la maturit´e est plus longue . . . . . . . . . . . . . 81 3.4 Erreurs relatives pour diff´erentes volatilit´es . . . . . . . . . . . . . . . . . . 81 Introduction G´en´erale La th´eorie des processus stochastiques notamment celle des ´equations diff´erentielles stochastiques a connu une ´evolution consid´erable apr`es les travaux de Kiyosi Itˆo (1915- 2008) qui s’est inspir´e, quand `a lui, des travaux d’´eminents scientifiques tels que Paul Pierre L´evy (1886-1974) et Andre¨ı Nikolaevitch Kolmogorov (1903-1987). Le calcul d’Itˆo 1. Les prix des actifs financiers cot´es en bourse peuvent chuter (ou augmenter) fortement, par exemple, cela peut se produire suite `a la mise en liquidation d’une soci´et´e actionnaire, cette possibilit´e doit ˆetre prise en compte dans toute mod´elisation financi`ere. En litt´erature, la plupart des mod`eles ´economiques comportant des sauts sont construits avec le processus de poisson (pour plus de d´etails sur le processus de poisson, voir [Last et Penrose, 2017]). 1 Introduction G´en´erale a r´evolutionn´e le monde de la finance notamment apr´es l’arriv´ee de nouveaux produits de couverture capables de transf´erer le risque de perte en capital en ´echange d’une commis- sion g´en´eralement pay´ee au d´ebut du contrat, ces produits sont connus sur les march´es financiers sous le nom de options. En 1973, un march´e mondial des options a ´et´e cr´e´e aux ´Etats-Unis d’Am´erique, il s’agit du Chicago Board Options Exchange (CBOE). Peu apr`es, Fischer Sheffey Black (1938-1995) et Myron Samuel Scholes (1941-) ont invent´e l’un des plus importants mod`eles ´economiques dans le monde. Nomm´e `a leur nom, le mod´ele de Black-Scholes est largement utilis´e pour l’´evaluation des prix des options. Il permet de calculer la valeur th´eorique d’une option en utilisant les param`etres du march´e, `a savoir le prix actuel de l’action, les dividendes, le prix d’exercice, le taux d’int´erˆet, la p´eriode d’expiration et la volatilit´e du march´e. Si le mod`ele de Black-Scholes donne des formules analytiques pour le prix des options, c’est principalement parce que le prix d’un actif financier est mod´elis´e par un mouvement Brownien g´eom´etrique. Dans cette th`ese, nous nous concentrons sur un probl`eme tr`es pr´esent dans la finance notamment dans la tarification (calcul du prix) des produits d´eriv´es. Pour illustrer cette probl´ematique, supposons qu’un investisseur observe l’´evolution al´eatoire du prix d’un actif financier cot´e en bourse au cours d’une p´eriode donn´ee, et supposons ´egalement que le prix de cet actif soit mod´elis´e par un processus stochastique. Pour cet investisseur, il est important d’avoir une id´ee sur le premier moment o`u le processus stochastique atteint un certain seuil appel´e barri`ere qui peut ou non ˆetre profitable `a un investissement pendant la p´eriode de n´egociation. g , fi p g fi g 3. Dans sa th`ese de doctorat intitul´ee La th´eorie de la sp´eculation, soutenue en 1900, Louis Bachelier a montr´e que les accroissements du prix d’un actif cot´e en bourse sont de distribution gaussienne. Ce r´esultat est principalement dˆu au fait que Bachelier a suppos´e que la distribution de transition du prix de cet actif du point x `a x+dx et cela de l’instant t `a t+dt est une solution d’une ´equation de la chaleur, cette id´ee a ´et´e mise en lumi`ere en 1905 par Albert Einstein. 2. En anglais, on dit first passage time ou first hitting time 4. Pour plus de d´etails sur le mod`ele de L´evy, le lecteur peux consult´e le livre de Applebaum Introduction G´en´erale Ce moment est connu dans la litt´erature par instant de premier passage ou instant de premi`ere frappe. 2 Il s’agit d’une v.a. dont la distribution n’est connue que pour une classe r´eduite de processus stochastiques tels que le mouvement Brownien et ces principales transformations. La distribution de probabilit´e de l’instant de premier passage permet, si elle est analytiquement connue, d’avoir en moyenne, la localisation du premier instant o`u la barri`ere est atteinte, cette information est cruciale pour l’´elaboration de bonnes strat´egies d’investissement sur les march´es financiers. Le probl`eme de l’instant de premier passage a ´et´e ´etudi´e pour la premi`ere fois par Bachelier [1900] dans le contexte d’un mouvement Brownien 3 standard et par Schrodin- ger [1915] et Smoluchowski [1915] dans le cas d’un mouvement Brownien arithm´etique. Plusieurs travaux scientifiques sur le sujet ont ´et´e d´evelopp´es pour d’autres classes de pro- cessus stochastiques, par exemples, nous citions les travaux de Ricciardi et Sato [1988], Alili et al. [2005] et Linetsky [2004] et Yi [2010] dans le cas d’un processus de Uhlenbeck et Ornstein [1930]. Pour un processus stochastique impliquant des sauts tel que le processus de L´evy 4, la distribution de l’instant de premier passage est ´etudi´e dans Pakes [1996], Kou et Wang [2003] et Hurd et Kuznetsov [2009]. En g´en´eral, il existe deux approches pour d´eterminer la distribution de l’instant de premier passage. La premi`ere technique est pro- babiliste, elle consiste `a r´e´ecrire le probl`eme sous la forme d’une ´equation de Fokker-Planck (voir [Ding et Rangarajan, 1996]). La solution de cette ´equation est une transform´ee de Laplace dont l’inversion donnera la densit´e de l’instant de premier passage comme dans 2 Introduction G´en´erale l’approche propos´ee par Ding et Rangarajan [2004] pour le cas d’un mouvement Brow- nien standard. La deuxi`eme technique consiste `a utiliser des m´ethodes num´eriques telles que les simulations de Monte-Carlo. La m´ethode de Monte-Carlo est largement utilis´ee en finance puisqu’elle est tr`es efficace et peut ˆetre envisag´ee pour plusieurs classes de proces- sus stochastiques y compris les processus de diffusion comme dans [Boukhetala, 1998a], [Boukhetala, 1998b], [Giraudo et al., 2001], [Opplestrup et al., 2006], [Ichiba et Karda- ras, 2011], [Drugowitsch, 2016] et [Herrmann et Zucca, 2019]. En litt´erature, on consid`ere parfois le probl`eme de l’instant de premier passage `a une barri`ere mobile (d´ependant du temps) comme dans Tuckwell et Wan [1984]. D’autre part, le probl`eme de l’instant de premier passage n’est pas seulement trait´e pour une seule barri`ere. Introduction G´en´erale Par exemple, un in- vestisseur dans un produit financier devra surveiller `a la fois les hausses de prix qui sont pr´ejudiciables `a l’investissement mais aussi les fortes baisses qui sont souvent la cause de la perte du capital investi. Ainsi, il est important d’´etudier la distribution de l’instant de premier passage dans le cas de deux barri`eres comme dans Lin [1998], Pelsser [2000], Luo [2001] et Fern´andez et al. [2013]. La th´eorie de l’instant de premier passage peut ˆetre appliqu´ee en finance `a la tarifica- tion des options `a barri`ere, qui sont parmi les produits d´eriv´es les plus r´epandus sur les march´es financiers. Les premi`eres th´eories sur les options `a barri`ere sont apparues dans les travaux de Merton [1973], M. et Reiner [1991] et Rich [1994], il s’agit d’une cat´egorie d’options dont la tarification n´ecessite la connaissance de la distribution de l’instant de premier passage pour le mod`ele de tarification choisi. Dans cette th´ese, nous avons d´evelopp´e une nouvelle classe d’options appel´ee options d’Istanbul g´eom´etrique. Ces produits financiers sont des contrats hybrides ayant les caract´eristiques des options `a barri`ere, puisque leur prix d´epend de l’instant de premier passage, mais aussi, cette nouvelle classe d’options peut ˆetre consid´er´ee comme une exten- sion des options asiatiques `a moyenne g´eom´etrique ´etudi´ees par Kemna et Vorst [1990]. Les options asiatiques sont des produits d´eriv´es qui d´ependent du prix moyen de l’actif sous-jacent sur une p´eriode donn´ee. L’une des raisons de l’introduction des options asiatiques sur les march´es financiers est que leur prix est inf´erieur `a celui des options europ´eennes car la moyenne r´eduit les fluctuations de la valeur intrins`eque `a l’´ech´eance (voir Ye [2008]). En pratique, pour la tarification d’une option asiatique, deux types de moyennes peuvent ˆetre consid´er´es, la moyenne arithm´etique ou la moyenne g´eom´etrique. D’autre part, la p´eriode de calcul de la moyenne est g´en´eralement connue `a l’avance, puisqu’elle est calcul´ee `a partir de la date d’acquisition du contrat jusqu’`a son ´ech´eance. p q p q j q Notre contribution aux options d’Istanbul consiste `a consid´erer une moyenne g´eom´e- trique du prix de l’actif sous-jacent sur une p´eriode al´eatoire. La principale raison d’en- visager une p´eriode al´eatoire est qu’intuitivement, dans ce type de contrat, il n’est pas n´ecessaire de calculer la moyenne des fluctuations si elles sont tr`es faibles. Ce n’est que si les fluctuations deviennent importantes pour un ´eventuel investissement qu’il faut calcu- ler la moyenne. Introduction G´en´erale Par ailleurs, afin que les fluctuations du cours deviennent importantes, le prix de l’actif sous-jacent doit ´egalement devenir grand. Cela d´epend ´evidemment de la dynamique du march´e ainsi que des facteurs externes que nous avons mentionn´es dans le premier paragraphe de cette introduction. Une deuxi`eme motivation pour l’introduction des options d’Istanbul est que ces produits peuvent ˆetre consid´er´es comme une partie de remboursement ajout´ee au contrat d’une option `a barri`ere. En effet, il serait utile pour un investisseur de disposer d’un contrat dans lequel une partie du montant investi pour l’achat 3 Introduction G´en´erale d’une option `a barri`ere peut ˆetre rembours´ee si les ´ev´enements attendus ne se r´ealisent pas `a l’´ech´eance. Nous proposons donc d’activer le calcul de la moyenne d`es que le prix de l’actif sous-jacent atteint pour la premi`ere fois une barri`ere pr´ealablement fix´ee dans les closes du contrat. Si le prix de l’actif sous-jacent n’atteint pas la barri`ere avant l’ex- piration de l’option, alors l’option a la mˆeme valeur qu’une option europ´eenne standard. Par contre, si ce prix atteint la barri`ere, l’option se transforme en une option asiatique dont la valeur finale d´ependant de la moyenne calcul´ee de l’instant de premier passage `a la barri`ere jusqu’`a la date d’´ech´eance du contrat, cela est le principe fondamentale d’un contrat d’option d’Istanbul. Historiquement, les options d’Istanbul ont ´et´e introduites pour la premi`ere fois par Michel Jacques (1997). Le prix de ces produits financiers d´epend de l’instant de premier passage, tout comme les options Parisiennes d´evelopp´ees par Chesney et al. [1997], et dont le gain d´epend du fait que la barri`ere a ´et´e atteinte ou non pendant une p´eriode pr´e- d´etermin´ee. Dans le cas des options Parisiennes, le franchissement de la barri`ere affecte l’exercice de l’option et non sa valeur intrins`eque, il en va de mˆeme pour les options `a barri`ere. Or, pour les options d’Istanbul, la valeur intrins`eque `a l’´ech´eance est elle-mˆeme influenc´ee par l’instant de premier passage `a la barri`ere. Par ailleurs, il existe des formules analytiques de tarification pour les options asiatiques avec une moyenne g´eom´etrique dans le cadre du mod`ele de Black-Scholes (voir [Kemna et Vorst, 1990]). En revanche, aucune formule de tarification n’est connue pour une option asiatique `a moyenne arithm´etique, cela peut s’expliquer par le fait que la distribution d’une moyenne arithm´etique de va- riables al´eatoires corr´el´ees et distribu´ees selon une loi de probabilit´e log-normale n’est pas connue analytiquement. Introduction G´en´erale Il existe cependant plusieurs techniques d’approximation num´e- rique pour ces options, comme le proposent Han et Lai [2010], Sun et al. [2013] et Willems [2019]. De mˆeme pour le cas d’une option d’Istanbul `a moyenne arithm´etique, il n’y a pas de formule ferm´ee pour le prix, seules des techniques d’approximation similaires `a celles des options asiatiques sont utilis´ees (voir [Jacques, 1997]). Dans cette th`ese, nous abordons le probl`eme de la tarification des options d’achat et de vente d’Istanbul `a moyenne g´eom´etrique continue, nous montrons que le prix d’une telle option peut ˆetre approch´e avec une formule analytique obtenue grˆace `a un d´eveloppement de Taylor au voisinage de z´ero. Cette th`ese est organis´ee de la fa¸con suivante : Dans le Chapitre 1, nous donnons une d´efinition math´ematique de l’instant de premier passage ainsi que ces propri´et´es th´eo- riques. Nous aborderons ´egalement le mouvement Brownien avec ces propri´et´es th´eoriques notamment martingale et probabiliste, comme le principe de r´eflexion qui est essentiel pour d´eterminer la distribution de probabilit´e de l’instant du premier passage. Dans le cas d’un mouvement Brownien arithm´etique (avec d´erive), nous montrons comment le th´eor`eme de Girsanov permet de construire un nouveau mouvement Brownien standard d´efini sur une probabilit´e ´equivalente `a la probabilit´e historique. Nous calculons la distribution de l’instant de premier passage d’un mouvement Brownien arithm´etique et montrons ensuite qu’une simple transformation est suffisante pour obtenir la distribution de probabilit´e dans le cas d’un mouvement Brownien g´eom´etrique. Afin d’´etayer nos r´esultats th´eoriques, nous effectuons des simulations de Monte-Carlo de la distribution de probabilit´e de l’instant de premier passage pour un mouvement Brownien standard, arithm´etique et g´eom´etrique. 4 Introduction G´en´erale Le Chapitre 2 est consacr´e aux concepts financiers, en particulier la gestion du risque financier `a travers des instruments tr`es puissants tels que les options, qui sont des pro- duits d´eriv´es permettant un transfert du risque par le paiement d’une commission appel´ee prime de couverture. Cette gestion du risque est abord´ee dans un environnement limitant la possibilit´e de gain sans investissement initial, cette hypoth`ese appel´ee absence d’op- portunit´e d’arbitrage est discut´ee de mani`ere th´eorique. Nous consid´erons le mod`ele standard de Black-Scholes pour la tarification des options europ´eennes. Nous fournissons quelques formules de tarification pour les options `a barri`ere que nous avons utilis´e dans nos calculs du Chapitre 3. La formule de prix approximative propos´ee par Jacques [1997] pour le cas d’une option arithm´etique d’Istanbul (AIO) est ´egalement donn´ee dans ce chapitre. Introduction G´en´erale Finalement, nous clˆoturons le Chapitre 2 par le concept d’options asiatique `a barri`ere. Dans le Chapitre 3, nous proposons une formule d’approximation analytique pour une option d’achat g´eom´etrique d’Istanbul (GIC) ainsi que celle d’une option de vente g´eo- m´etrique d’Istanbul (GIP) sous le mod`ele de Black-Scholes. Nos formules de tarification approximative sont obtenues sous forme ferm´ee en utilisant une expansion de Taylor de second ordre. Dans le cas d’un Call, nous comparons nos r´esultats th´eoriques avec ceux des simulations de Monte-Carlo en utilisant la m´ethode des variables de contrˆole. Dans le mˆeme chapitre, nous r´ealisons ´egalement une ´etude comparative des prix avec une option d’achat arithm´etique d’Istanbul (AIC). Enfin, nous ´etudions les effets des variations du prix de l’actif sous-jacent sur la valeur de l’option GIC. Les r´esultats th´eoriques obtenus dans le Chapitre 3 ont ´et´e publi´es dans International Journal of Revenue Management (IJRM). La r´ef´erence de l’article est la suivante : Kacef et Boukhetala [2020]. 5 Chapitre 1 Sommaire 1.1 Processus stochastiques : d´efinitions et notations . . . . . . . 7 1.2 Instant de premier passage pour un processus stochastique . 8 1.3 Distribution des instants de premier passage pour un mou- vement Brownien standard . . . . . . . . . . . . . . . . . . . . . 17 1.4 Distribution des instants de premier passage pour un mou- vement Brownien arithm´etique . . . . . . . . . . . . . . . . . . 29 1.5 Distribution des instants de premier passage pour un mou- vement Brownien g´eom´etrique . . . . . . . . . . . . . . . . . . 36 6 6 1.1. PROCESSUS STOCHASTIQUES : D´EFINITIONS ET NOTATIONS 1.1 Processus stochastiques : d´efinitions et notations De nos jours, les donn´ees sont collect´ees de mani`ere s´equentielle dans le temps. Ces informations sont n´ecessaires pour un tr`es grand nombre de domaines, tels que la m´et´eo- rologie, les activit´es sismiques, la d´emographie, les indices boursiers, etc. En pratique, les observations successives dans les domaines que nous venons de mentionner ne sont g´en´e- ralement pas ind´ependantes. Nous appelons ces observations par processus stochastique. D´efinition 1. Soit (Ω, F, P) un espace de probabilit´e et T un ensemble arbitraire (espace d’indexation). Une famille de variables al´eatoires not´ee X = (Xt, t ∈T ) ou X = (Xt)t∈T , d´efinie sur (Ω, F, P) et ayant des valeurs dans un ensemble S (espace d’´etats) est appel´ee processus stochastique. Ainsi, selon la D´efinition 1, un processus stochastique X est une fonction de deux variables qui fait correspondre `a (t, ω) ∈T × Ω, l’image Xt(ω) = X(t, ω) ∈R. De plus, `a chaque indice t fix´e dans T , la fonction ω 7→Xt(ω) est une variable al´eatoire. La notion de processus stochastique g´en´eralise donc celle de la variable al´eatoire. Remarque 1. Pour l’ensemble T , on peut soit consid´erer une indexation sur les nombres naturels, c’est-`a-dire, T = {0, 1, 2, . . .} ou sur les nombres r´eels non n´egatifs `a savoir, T = R+, alors on dira que le processus stochastique est en temps discret ou en temps continu, respectivement. Les processus stochastiques sont aussi appel´es processus al´eatoires, fonctions al´eatoires ou simplement processus. Le param`etre t ∈T est parfois interpr´et´e comme le temps. Par exemple, Xt peut ˆetre le prix d’un actif financier `a l’instant t. Parfois, l’indice t est consid´er´e comme un espace. Par exemple, Xt peut ˆetre la temp´erature de l’air mesur´ee `a un endroit dont les coordonn´ees sont t = (x, y) ∈R2. De la mˆeme mani`ere que t peut ˆetre consid´er´e comme un espace-temps. Par exemple, Xt peut ˆetre la vitesse du vent `a l’instant s ∈R+ en un lieu de coordonn´ees (x, y) ∈R2, de sorte que l’espace d’indexation est tridimensionnel, t = (x, y, s) ∈R2 × R+, il s’agit dans ce cas d’un processus stochastique dit spatio-temporels. D´efinition 2. La fonction t 7→Xt(ω) d´efinie sur l’ensemble des indices T et prenant des valeurs dans R est appel´ee une trajectoire 1 du processus stochastique X associ´e `a l’´ev´enement ω ∈Ω. 1. En anglais, on dit sample path. 2. Nous consid´erons des p´eriodes d’observation de la forme [0, T], o`u T < ∞. 1.2. INSTANT DE PREMIER PASSAGE POUR UN PROCESSUS STOCHASTIQUE Figure 1.1 – Cours du P´etrole Brent (Brent Crude Oil) du 06/11/2020 de 02 :20 `a 13 :58. Notes : les prix sont donn´es en dollars am´ericain (USD) avec des cotations chaque minute. Source :boursorama.com Figure 1.1 – Cours du P´etrole Brent (Brent Crude Oil) du 06/11/2020 de 02 :20 `a 13 :58. Notes : les prix sont donn´es en dollars am´ericain (USD) avec des cotations chaque minute. Source :boursorama.com 1.1 Processus stochastiques : d´efinitions et notations On dit qu’un processus X a des trajectoires continues si pour tout ω ∈Ω, on a que, t 7→Xt(ω) est une fonction continue par rapport au temps t. A titre d’exemple, la Figure 1.1 montre l’´evolution al´eatoire des prix du p´etrole brut qui est g´en´eralement consid´er´ee comme un processus stochastique d´efini sur une p´eriode de temps pr´ealablement connue appel´ee dur´ee de cotation. D´efinition 3. Soit (Ω, F, P) un espace de probabilit´e. Une famille (Ft)t⩾0 de σ-alg`ebres sur Ωest appel´ee filtration si pour tout t ⩾s, Fs ⊂Ft ⊂F, cela veut dire qu’une filtra- tion est une suite croissante (au sens de l’inclusion) de sous-tribus de F. Le quadruplet (Ω, F, (Ft)t⩾0, P) est appel´e un espace de probabilit´e filtr´e. D´efinition 3. Soit (Ω, F, P) un espace de probabilit´e. Une famille (Ft)t⩾0 de σ-alg`ebres sur Ωest appel´ee filtration si pour tout t ⩾s, Fs ⊂Ft ⊂F, cela veut dire qu’une filtra- tion est une suite croissante (au sens de l’inclusion) de sous-tribus de F. Le quadruplet (Ω, F, (Ft)t⩾0, P) est appel´e un espace de probabilit´e filtr´e. D´efinition 4. Un processus (Xt)t⩾0 est dit adapt´e `a une filtration (Ft)t⩾0 si pour tout t ⩾0 fix´e, la v.a. Xt est Ft-mesurable. La filtration naturelle d’un processus (Xt)t⩾0 est d´efinie par, Ft = σ(Xs, s ⩽t), c’est la plus petite tribu qui adapte le processus X. 7 1.2 Instant de premier passage pour un processus stochastique D´efinition 5. Soit (Xt)t⩾0 un processus stochastique d´efini sur (Ω, F, (Ft)t⩾0, P) `a valeurs dans R. Soit D une fonction de R+ dans R. Le premier instant o`u la trajectoire du processus Xt atteint la courbe de la fonction D est d´efini par τ X,x0 D ≡ ( inf{τ ⩾0 : Xτ ⩾D(τ)|X0 = x0}, si x0 < D(0), inf{τ ⩾0 : Xτ ⩽D(τ)|X0 = x0}, si x0 > D(0). La v.a. τ X,x0 D est appel´ee instant de premier passage ou premier temps d’atteinte de la barri`ere D par le processus stochastique Xt. La v.a. τ X,x0 D est appel´ee instant de premier passage ou premier temps d’atteinte de la barri`ere D par le processus stochastique Xt. Dans la D´efinition 5, les valeurs de la v.a. τ X,x0 D d´ependent tous des traj´ectoires conti- nues du processus Xt. Il est donc n´ecessaire de mettre par convention que τ X,x0 D = +∞ p.s., si la courbe de la fonction D n’est pas atteinte durant la p´eriode d’observation. 2 La distribution de probabilit´e de la v.a. τ X,x0 D est d´efinie pour tout t > 0 par P  τ X,x0 D ⩽t  = P  Xτ ⩾D(τ), pour un certain τ ∈[0, t]  (1.1) = 1 −P  Xτ < D(τ), ∀τ ∈[0, t]  . (1.2) (1.1) (1.2) (1.1) ( ) (1.1) (1.2) La densit´e de probabilit´e de τ X,x0 D est d´efinie pour tout t > 0 par fτ X,x0 D (t) = ∂ ∂tP  τ X,x0 D ⩽t  . (1.3) (1.3) 8 1.2. INSTANT DE PREMIER PASSAGE POUR UN PROCESSUS STOCHASTIQUE 0.0 0.2 0.4 0.6 0.8 1.0 −2 −1 0 1 2 t B(t) MBS D(t)=exp(2t −1.5) Figure 1.2 – Trajectoire d’un mouvement Brownien standard Bt issu de z´ero qui atteint pour la premi`ere fois la courbe de la fonction D(t) = exp (2t −1.5) `a l’instant 0.221 sur l’intervalle de temps [0, 1]. Notes : Le nombre de r´ealisations du mouvement Brownien par m´ethode Monte- Carlo est de n = 1000. Figure 1.2 – Trajectoire d’un mouvement Brownien standard Bt issu de z´ero qui atteint pour la premi`ere fois la courbe de la fonction D(t) = exp (2t −1.5) `a l’instant 0.221 sur l’intervalle de temps [0, 1]. Notes : Le nombre de r´ealisations du mouvement Brownien par m´ethode Monte- Carlo est de n = 1000. La distribution de probabilit´e de l’instant de premier passage est connue analytiquement que pour une classe r´eduite de processus stochastiques tel que le mouvement Brownien et ces transformations arithm´ethique et g´eom´etrique. Souvent on r´eduit la difficult´e du probl`eme en consid´erant un obstacle fixe [Bachelier, 1900] ou lin´eaire [Abundo, 2002] voir mˆeme exponentielle [Kunitomo et Ikeda, 1992], autrement dit, en prend D(t) = a ou D(t) = at + b et aussi D(t) = exp (at + b) avec a et b deux nombres r´eels connus. Remarque 2. Dans cette th`ese, nous allons nous int´eress´e uniquement au probl`eme de d´etermination de la distribution de l’instant de premier passage `a un obstacle fixe (D(t) = a ∈R) par le mouvement Brownien et ces principales transformations. 1.2.1 Distribution des instants de premier de passage via la m´e- thode de Monte-Carlo (1.8) (1.8) L’algorithme suivant est utilis´e pour approximer (1.8), cet algorithme est incorpor´e dans le logiciel Sim.DiffProc qui est un package sous langage R d´evelopp´e par Guidoum et Boukhetala [2020]. Algorithm 1 Approximation de la distribution des instants de premier passage Algorithm 1 Approximation de la distribution des instants de premier passage 1: Fixer une constante T > 0 puis cr´eer une subdivision de l’intervalle [0, T] en n points, 0 = t0 < t1 < · · · < tn = T, avec un pas de discr´etisation ∆t = T/n. 1: Fixer une constante T > 0 puis cr´eer une subdivision de l’intervalle [0, T] en n points, 0 = t0 < t1 < · · · < tn = T, avec un pas de discr´etisation ∆t = T/n. / 2: Simuler une trajectoire du processus Xt aux instants ti en prenant comme ´etat initiale X0 = x0 ∈R. 2: Simuler une trajectoire du processus Xt aux instants ti en prenant comme ´etat initiale X0 = x0 ∈R. 3: Cr´eer Υ(t; ti, Xti), une fonction d’interpolation des points (ti, Xti), i ∈{0, 1, . . . , n}. 3: Cr´eer Υ(t; ti, Xti), une fonction d’interpolation des points (ti, Xti), i ∈{0, 1, . . . , n}. 4: Si x0 < D(0) alors 4: Si x0 < D(0) alors m ←min{i, i ∈{1, 2, . . . , n}|Xti ⩾D(ti)} Sinon m ←min{i, i ∈{1, 2, . . . , n}|Xti ⩽D(ti)}. X 0 ( ) m ←min{i, i ∈{1, 2, . . . , n}|Xti ⩾D(ti)} Sinon { { }| i ( )} 5: Trouver tX,x0 D , l’unique solution continue de l’´equation D(t) −Υ(t) = 0 sur l’intervalle [tm−1; tm]. 5: Trouver tX,x0 D , l’unique solution continue de l’´equation D(t) −Υ(t) = 0 sur l’intervalle [tm−1; tm]. X m 1; m] R´ep´eter N fois les ´etapes de 2 `a 5 pour obtenir N r´ealisations de τ X,x0 D . [ m 1; m] 6: R´ep´eter N fois les ´etapes de 2 `a 5 pour obtenir N r´ealisations de τ X,x0 D . X 7: Pour un t fix´e dans [0, T], on a que : P(τ X,x0 D ⩽t) ≈1 N PN j=1 1{tX,x0 D (j)⩽t}. 7: Pour un t fix´e dans [0, T], on a que : P(τ X,x0 D ⩽t) ≈1 N PN j=1 1{tX,x0 D (j)⩽t}. 1.2.1 Distribution des instants de premier de passage via la m´e- thode de Monte-Carlo Que ¸ca soit dans la finance ou la physique, le prob`eme de l’instant de premier passage est souvent r´esolu par des approches num´eriques. Dans la plus part des cas, on fait appel `a des techniques de simulation Monte-Carlo simples et rapides `a r´ealiser. Dans ce qui va suivre nous allons discuter les avantages et les inconv´enients de la m´ethode Monte-Carlo tout en d´ecrivant le principe de base de cette derni`ere. Consid´erons le probl`eme de l’estimation de l’esp´erance d’une fonction d’une certaine v.a. X : Consid´erons le probl`eme de l’estimation de l’esp´erance d’une fonction d’une certaine v.a. X : µ = E (H(X)) , (1.4) (1.4) o`u H est une fonction arbitraire qui v´erifie la condition E (|H(X)|) < ∞. H est une fonction arbitraire qui v´erifie la condition E (|H(X)|) < ∞. La m´ethode de simulation de Monte-Carlo pour estimer µ est r´ealis´ee en deux ´etapes 1. G´en´erer n variables al´eatoires i.i.d., X1, X2, . . . , Xn, qui ont la mˆeme distribution que X. 1. G´en´erer n variables al´eatoires i.i.d., X1, X2, . . . , Xn, qui ont la mˆeme distribution que X. 9 1.2. INSTANT DE PREMIER PASSAGE POUR UN PROCESSUS STOCHASTIQUE 2. L’estimateur de µ est d´efini comme ´etant la moyenne empirique de l’´echantillon des Xi, i ∈{1, 2, . . . , n} : ˆµn = 1 n n X i=1 H(Xi). (1.5) (1.5) Par la loi forte des grand nombres de Kolmogorov [1933], la moyenne empirique ˆµN converge p.s. pour n assez grand vers µ, c’est-`a-dire que nous avons Par la loi forte des grand nombres de Kolmogorov [1933], la moyenne empirique ˆµN converge p.s. pour n assez grand vers µ, c’est-`a-dire que nous avons P  lim n→+∞ˆµn = µ  = 1. (1.6) (1.6) De plus, ˆµn est un estimateur sans biais de µ puisque De plus, ˆµn est un estimateur sans biais de µ puisque E (ˆµn) = µ. (1.7) (1.7) E (ˆµn) = µ. Pour t > 0 fix´e, nous pouvons avoir une approximation de P(τ X D,x0 ⩽t) en utilisant la m´ethode Monte-Carlo. En effet, le probl`eme de la distribution de l’instant de premier passage est similaire `a (1.4) puisque nous pouvons ´ecrire que P(τ X D,x0 ⩽t) = E  1{τ X D,x0⩽t}  . 3. Nous compl´etons la trajectoire entre deux instants successifs ti et ti+1 par un segment de dro 1.2.1 Distribution des instants de premier de passage via la m´e- thode de Monte-Carlo D’apr`es l’Algorithme 1, le calcul d’un estimateur de Monte-Carlo pour la distribution de probabilit´e de la v.a. τ X,x0 D se fait en deux ´etapes principales. La premi`ere consiste `a simuler N trajectoires du processus stochastique Xt. Une fonction d’interpolation lin´eaire Υ(t) du nuage de points (ti; Xti) obtenu est cr´eer pour toutes les N trajectoires. 3 Dans la seconde ´etape, nous d´eterminons pour chaque trajectoire de Xt, le premier instant 10 1.2. INSTANT DE PREMIER PASSAGE POUR UN PROCESSUS STOCHASTIQUE de discr´etisation tm o`u la trajectoire passe au dessus (pour x0 < D(0)) ou en dessous (pour x0 > D(0)) de D(t). Par la suite, il suffit de r´esoudre num´eriquement l’´equation D(t) −Υ(t) = 0 sur l’intervalle [tm−1; tm] pour avoir une solution approch´ee de τ X,x0 D . 4 Il faut noter que cette d´emarche g´en`ere une erreur de discr´etisation `a ne pas n´egliger. En effet, dans la premi`ere ´etape nous avons remplac´e l’information manquante entre les instants tm−1 et tm par un segment de droite. Comme le montre la Figure 1.3, l’instant de premier passage n’appartient pas au instants de discr´etisation 0 = t0 < t1 < · · · < tn = T, il est approch´e sur la base d’un ensemble de points qui ne sont pas g´en´er´es par le processus Xt. Afin de r´esoudre cette probl´ematique, nous disposons de deux techniques. La premi`ere consiste `a prendre tm comme solution tout en augmentant consid´erablement la taille de l’´echantillon N, cela `a pour objectif de r´eduire l’erreur de discr´etisation. D’autre part, nous pouvons adopter une solution plus probabiliste en simulant une trajectoire d’un pont Brownien [Kacef et Hanifi, 2014, pp. 15-21] entre les instant tm−1 et tm comme le montre la Figure 1.4. Cette derni`ere m´ethode permet d’avoir une solution tX,x0 D plus approch´ee sur l’intervalle [tm−1; tm] de l’´equation pr´ec´edente, le seul inconv´enient est le temps d’ex´ecution qui est consid´erable contrairement `a la premi`ere technique. Finalement, une fois que l’´echantillon des instants de premier passage est d´etermin´e, nous consid´erons la moyenne empirique des indicatrices sur l’´ev´enement {tX,x0 D ⩽t} afin d’approcher la probabilit´e P(τ X,x0 D ⩽t) `a tout instant t ∈[0; T]. La Figure 1.5 montre qu’il est important de consid´erer une taille d’´echantillon N suffisamment grande pour avoir un estimateur proche de la vraie valeur. 4. Afin de r´esoudre num´eriquement l’´equation D(t) −Υ(t) = 0, nous pouvons appliquer les m´ethodes connues telles que la dichotomie, Newton, le point fixe et Lagrange. 4. Afin de r´esoudre num´eriquement l’´equation D(t) −Υ(t) = 0, nou connues telles que la dichotomie, Newton, le point fixe et Lagrange. 1.2.1 Distribution des instants de premier de passage via la m´e- thode de Monte-Carlo 0.0 0.2 0.4 0.6 0.8 1.0 −1.0 −0.5 0.0 0.5 1.0 t B(t) G GGG G G G G GGG G G G G G G G GGGG G G G G GG G G GG GG GG G G G GGG G GG G G GG G G MBS D(t)=t −0.5 Figure 1.3 – Trajectoire d’un mouvement Brownien standard Bt issu de z´ero qui atteint pour la premi`ere fois la courbe de la fonction D(t) = t −0.5 `a l’instant 0.628 sur l’intervalle de temps [0, 1]. Notes : Le nombre de r´ealisations de Bt est de n = 50. Le graphique montre que, l’instant de premier passage tB D est compris entre les deux instants de discr´etisation 0.62 et 0.64. 0.0 0.2 0.4 0.6 0.8 1.0 −1.0 −0.5 0.0 0.5 1.0 t B(t) G GGG G G G G GGG G G G G G G G GGGG G G G G GG G G GG GG GG G G G GGG G GG G G GG G G MBS D(t)=t −0.5 Figure 1.3 – Trajectoire d’un mouvement Brownien standard Bt issu de z´ero qui atteint pour la premi`ere fois la courbe de la fonction D(t) = t −0.5 `a l’instant 0.628 sur l’intervalle de temps [0, 1]. Notes : Le nombre de r´ealisations de Bt est de n = 50. Le graphique montre que, l’instant de premier passage tB D est compris entre les deux instants de discr´etisation 0.62 et 0.64. 11 avec un pont Brownien. Notes : Dans la Figure (a), une trajectoire d’un mouv premier instant d’intersection avec la courbe de la fonction D(t) = sin(t2 − 0 et 0.72. La Figure (b) montre une simulation d’un pont Brownien sur l’int pont Brownien est estimer `a 0.718 contrairement `a l’interpolation li´eaire qui ien. Notes : Dans la Figure (a), une trajectoire d’un ersection avec la courbe de la fonction D(t) = s (b) montre une simulation d’un pont Brownien su stimer `a 0.718 contrairement `a l’interpolation li´ea avec un pont Brow remier instant d’ et 0.72. La Figur pont Brownien est 1.2. INSTANT DE PREMIER PASSAGE POUR UN PROCESSUS STOCHASTIQUE 6. L’estimateur ˆσ2 MC est un estimateur sans biais de σ2 = V ar(Y ). 5. La vitesse de convergence de la m´ethode de Monte-Carlo est d’ordre 1 √n. 6 L’ ti t ˆ2 t ti t bi i d 2 V (Y ) 1.2.2 Techniques de r´eduction de la variance INSTANT DE PREMIER PASSAGE POUR UN PROCESSUS STOCHASTIQUE 1.2.2 Techniques de r´eduction de la variance La m´ethode de Monte-Carlo donne un estimateur sans biais et asymptotiquement convergent pour une taille d’´echantillon N assez grande. Cependant, comme le montre la Figure 1.5, cet estimateur admet une forte volatilit´e autour de la vraie valeur. De plus, nous pouvons voir que, la convergence de cette m´ethode est lente. 5 Figure 1.5 – Convergence de l’estimateur de Monte-Carlo. Notes : Nous simulons un ´echantillon des r´ealisations de la v.a. T B 0.56 = inf{t ∈[0, T] : Bt ⩾0.56} o`u Bt est un mouvement Brownien standard issu de z´ero. Le nombre de points simuler par trajectoire est de n = 1000. Le nombre de trajectoires N de Bt varie de 50 `a 3000. La distribution P(T B 0.56 ⩽t) est approxim´ee `a l’instant t = 0.354 pour chaque simulation. La valeur th´eorique est P(T B 0.56 ⩽0.354) = 0.3466. Figure 1.5 – Convergence de l’estimateur de Monte-Carlo. Notes : Nous simulons un ´echantillon des r´ealisations de la v.a. T B 0.56 = inf{t ∈[0, T] : Bt ⩾0.56} o`u Bt est un mouvement Brownien standard issu de z´ero. Le nombre de points simuler par trajectoire est de n = 1000. Le nombre de trajectoires N de Bt varie de 50 `a 3000. La distribution P(T B 0.56 ⩽t) est approxim´ee `a l’instant t = 0.354 pour chaque simulation. La valeur th´eorique est P(T B 0.56 ⩽0.354) = 0.3466. Afin d’augmenter la pr´ecision de l’estimateur de Monte-Carlo ainsi que la vitesse de convergence, il est possible d’agir sur la variance de ce dernier avec des approches appel´ees les techniques de r´eduction de la variance. Dans ce qui va suivre, nous allons pr´esenter deux techniques pour diminuer la variance d’un estimateur de Monte-Carlo. Soit (Y1, Y2, . . . , YN) un ´echantillon i.i.d. de mˆeme loi que la v.a. Y . Le probl`eme principale consiste `a trouver un estimateur sans biais pour µ = E (Y ) dont la variance est la plus petite possible. Dans la m´ethode de Monte-Carlo standard, on a que Dans la m´ethode de Monte-Carlo standard, on a que V ar(ˆµMC) = V ar(Y ) N , (1.9) (1.9) o`u ˆµMC est l’estimateur de Monte-Carlo standard. Dans l’´equation (1.9), la variance de X n’est pas connue th´eoriquement, elle est remplac´ee en pratique par la variance empirique 6, ˆσ2 MC = 1 N −1 N X i=1 (Yi −ˆµMC)2 . (1.10) (1.10) 13 1.2. 7. Pour plus de d´etails, voir [Rubinstein et Kroese, 2017, pp. 134-135]. La technique des variables antith´etiques Nous reprenons le probl`eme d’estimation de la quantit´e µ = E (Y ) o`u Y est une v.a. int´egrable. Soit Z une autre v.a. de mˆeme loi que Y avec Cov(Y, Z) < 0. Un nouveau estimateur sans biais de µ est d´efini par ˆµAV = 1 2N N X i=1 (Yi + Zi) , (1.11) (1.11) o`u (Z1, Z2, . . . , ZN) est un ´echantillon i.i.d. de mˆeme loi que la v.a. Z. En effet, nous avons que E (ˆµAV ) = µ car Y et Z ont la mˆeme distribution. La variance de ˆµAV est calcul´ee comme suit : V ar(ˆµAV ) = 1 4N 2V ar " N X i=1 (Yi + Zi) # = 1 4N V ar (Y + Z) = 1 4N [V ar(Y ) + V ar(Z) + 2Cov(Y, Z)] = 1 2N h σ2 + Cov(Y, Z) i = 1 2 " V ar(ˆµMC) + Cov(Y, Z) N # . (1.12) (1.12) e Cov(Y, Z) < 0 dans la formule (1.12), on a Comme Cov(Y, Z) < 0 dans la formule (1.12), on a Comme Cov(Y, Z) < 0 dans la formule (1.12), on a Comme Cov(Y, Z) < 0 dans la formule (1.12), on a Comme Cov(Y, Z) < 0 dans la formule (1.12), on a V ar(ˆµAV ) < V ar(ˆµMC). (1.13) (1.13) Dans le cas d’une distribution normale centr´e et r´eduite, l’estimation de la moyenne avec la technique des variables antith´etiques est effectu´ee sur la base d’un seul ´echantillon seulement. Supposons que µ = E (Y ) = E (H(X)) o`u X ∼N(0, 1) et H une fonction monotone. Un estimateur pour µ avec la m´ethode de Monte-Carlo standard serait ˆµMC = 1 N N X i=1 H(Xi), (1.14) (1.14) o`u (X1, X2, . . . , XN) est un ´echantillon i.i.d. de loi N(0, 1). Les variables al´eatoires X et −X sont n´egativement corr´el´ees. On a que o`u (X1, X2, . . . , XN) est un ´echantillon i.i.d. de loi N(0, 1). Les variables al´eatoires X et −X sont n´egativement corr´el´ees. On a que ˆµAV = 1 2N N X i=1 (H(Xi) + H(−Xi)) , est un estimateur de µ avec la technique des variables antith´etiques. Il est important de noter que la variance de cette estimateur est r´eduite uniquement si on a, est un estimateur de µ avec la technique des variables antith´etiques. Pour plus de d´etails, voir [Rubinstein et Kroese, 2017, pp. 134-135]. La technique des variables antith´etiques Il est important de noter que la variance de cette estimateur est r´eduite uniquement si on a, Cov(H(X), H(−X)) < 0. (1.15) (1.15) Dans notre cas, la condition de r´eduction (1.15) est v´erifi´ee puisque la fonction H est monotone. 7 14 1.2. INSTANT DE PREMIER PASSAGE POUR UN PROCESSUS STOCHASTIQUE La technique de la variable de contrˆole Supposons que nous voulons estimer µ = E (Y ) o`u Y est une v.a. int´egrable. Soit Z une variable al´eatroire dont l’esp´erance E (Z) est connue. Si on a (Y1, Y2, . . . , YN) et (Z1, Z2, . . . , ZN) deux ´echantillons i.i.d. de mˆeme loi que Y et Z respectivement. Alors, pour toute constante α ∈R, nous avons que ˆµCV = 1 N N X i=1 Yi −α " 1 N N X i=1 Zi −E (Z) # , (1.16) (1.16) est un estimateur sans biais et convergent pour µ. La v.a. Z est appel´ee variable de contrˆole. L’estimateur (1.16) co¨ıncide avec l’estimateur de Monte-Carlo standard pour la valeur α = 0. Pour tout α ∈R, on a est un estimateur sans biais et convergent pour µ. La v.a. Z est appel´ee variable de contrˆole. L’estimateur (1.16) co¨ıncide avec l’estimateur de Monte-Carlo standard pour la valeur α = 0. Pour tout α ∈R, on a V ar(ˆµCV ) = 1 N h V ar(Y ) + α2V ar(Z) −2αCov(Y, Z) i . (1.17) (1.17) La r´eduction de la variance de ˆµCV d´epend de la valeur du coefficient α, elle est r´eduite uniquement si α2V ar(Z) < 2αCov(Y, Z). Le coefficient de contrˆole qui minimise la va- riance (1.17) est donn´e par C (Y Z) La r´eduction de la variance de ˆµCV d´epend de la valeur du coefficient α, elle est r´eduite uniquement si α2V ar(Z) < 2αCov(Y, Z). Le coefficient de contrˆole qui minimise la va- riance (1.17) est donn´e par α⋆= Cov(Y, Z) V ar(Z) . (1.18) (1.18) En rempla¸cant la valeur α⋆dans la formule (1.17), on obtient En rempla¸cant la valeur α⋆dans la formule (1.17), on obtient V ar(ˆµCV ) = (1 −ρ2 Y Z)V ar(ˆµMC). (1.19) (1.19) `A partir de la formule (1.19), nous pouvons remarquer que : (i) L’efficacit´e de la technique de la variable de contrˆole d´epend de l’intensit´e de la corr´elation ρY Z entre la variable d’int´erˆet Y et la variable de contrˆole Z. 8 Le signe de la corr´elation n’est pas important car il est absorb´e par le puissance carr´e. Afin d’avoir une forte corr´elation entre Y et Z, et donc r´eduire V ar(ˆµCV ), il convient de choisir la variable de contrˆole Z de mˆeme structure que Y . (ii) Le coefficient de contrˆole α⋆n’est g´en´eralement pas connu. 8. Dans le cas d’une forte corr´elation positive (ou n´egative), le coefficient ρY Z est compris entre +0.5 et +1 (ou entre −1 et −0.5). 9. Les deux variables al´eatoires Z et (1.25 exp (1.36X) −0.78)+ sont fortement corr´el´ees puisque elles ont des structures similaires (forme exponentielle) et d´ependent de la mˆeme variable al´etoire X qui suit une distribution N(0, 1). La technique de la variable de contrˆole En pratique, la quantit´e α⋆est approxim´ee `a partir de la variance et la covariance empirique des ´echantillons (Y1, Y2, . . . , YN) et (Z1, Z2, . . . , ZN). Un estimateur de α⋆est donc (ii) Le coefficient de contrˆole α⋆n’est g´en´eralement pas connu. En pratique, la quantit´e α⋆est approxim´ee `a partir de la variance et la covariance empirique des ´echantillons (Y1, Y2, . . . , YN) et (Z1, Z2, . . . , ZN). Un estimateur de α⋆est donc ˆα⋆= PN i=1  Yi −¯YN   Zi −¯ZN  PN i=1  Zi −¯ZN 2 , (1.20) (1.20) o`u ¯YN et ¯ZN des moyennes empiriques. La substitution de ˆα⋆dans la formule (1.16) g´en`ere un biais, ce dernier est g´en´eralement tr`es petit par rapport `a l’erreur standard d’estimation. Cependant, il existe des techniques statistiques [Glasserman, 2003, pp. 200-202] pour att´enuer l’erreur d’approximation de α⋆par ˆα⋆. o`u ¯YN et ¯ZN des moyennes empiriques. La substitution de ˆα⋆dans la formule (1.16) g´en`ere un biais, ce dernier est g´en´eralement tr`es petit par rapport `a l’erreur standard d’estimation. Cependant, il existe des techniques statistiques [Glasserman, 2003, pp. 200-202] pour att´enuer l’erreur d’approximation de α⋆par ˆα⋆. 15 1.2. INSTANT DE PREMIER PASSAGE POUR UN PROCESSUS STOCHASTIQUE Exemple 1. Soit α, β et k trois constantes strictement positives. Soit X une v.a. de loi N(0, 1). Un simple calcul int´egral permet d’avoir : Exemple 1. Soit α, β et k trois constantes strictement positives. Soit X une v.a. de loi N(0, 1). Un simple calcul int´egral permet d’avoir : µ = E h (α exp (βX) −k)+ i = α exp (0.5β2)Φ(β −d) −kΦ(−d), (1.21) (1.21) o`u d = 1 β log  k α  . β   Nous allons tester la formule (1.21) `a l’aide des deux techniques de r´eduction de la variance que nous venons de voir. Pour le faire, nous fixons les param`etres α = 1.25, β = 1.36 et k = 0.78 dans (1.21). La valeur th´eorique obtenue est µ = 2.517461, cette quantit´e peut ˆetre approch´ee par l’estimateur de Monte-Carlo standard suivant : ˆµMC = 1 N N X i=1 (1.25 exp (1.36Xi) −0.78)+ , (1.22) (1.22) o`u (X1, X2, . . . , XN) est un ´echantillon i.i.d. de loi N(0, 1). La technique de la variable de contrˆole On peut construire un nouveau estimateur de µ via la technique des variables antith´etiques, cet estimateur est donn´e par : o`u (X1, X2, . . . , XN) est un ´echantillon i.i.d. de loi N(0, 1). On peut construire un nouveau estimateur de µ via la technique des variables antith´etiques, cet estimateur est donn´e par : ˆµAV = 1 2N N X i=1 h (1.25 exp (1.36Xi) −0.78)+ + (1.25 exp (−1.36Xi) −0.78)+ i . (1.23) = 1 2N N X i=1 h (1.25 exp (1.36Xi) −0.78)+ + (1.25 exp (−1.36Xi) −0.78)+ i . (1.23) (1.23) Nous consid´erons maintenant la v.a. Z = exp (0.25 + 0.3X) comme variable de contrˆole dans la seconde technique. 9 La valeur th´eorique de E(Z) est connue puisque Z suit une loi log-normale, cette valeur vaut `a 1.343126. L’estimateur de µ avec la technique de la variable de contrˆole est donn´e par : ˆµCV = ˆµMC −ˆα⋆ " 1 N N X i=1 Zi −1.343126 # , (1.24) (1.24) o`u l’´echantillon (Z1, Z2, . . . , ZN) est obtenu `a partir des Xi, i ∈{1, 2, . . . , N}. Le coeffi- cient de contrˆole ˆα⋆est calcul´e par la formule suivante : o`u l’´echantillon (Z1, Z2, . . . , ZN) est obtenu `a partir des Xi, i ∈{1, 2, . . . , N}. Le coeffi- cient de contrˆole ˆα⋆est calcul´e par la formule suivante : α⋆= Cov((1.25 exp (1.36X) −0.78)+ , Z) V ar(Z) . (1.25) (1.25) La valeur (1.25) est approxim´ee comme dans (1.20). Nous illustrons dans la Figure 1.6 les r´esultats num´eriques obtenus avec les estimateurs (1.22), (1.23) et (1.24). Nous remarquons que l’estimateur de la technique des variables de contrˆole (CV) est stable et converge rapidement vers la vraie valeur contrairement aux deux autres estimateurs, `a savoir, l’estimateur de Monte-Carlo standard (MC) et l’estimateur de la technique des variables antith´etiques (AV). 16 1.3. DISTRIBUTION DES INSTANTS DE PREMIER PASSAGE POUR UN MOUVEMENT BROWNIEN STANDARD Figure 1.6 – Comparaison entre l’estimateur de Monte-Carlo standard et celui obtenu avec les techniques de r´eduction de la variance dans Exemple 1. Figure 1.6 – Comparaison entre l’estimateur de Monte-Carlo standard et celui obtenu avec techniques de r´eduction de la variance dans Exemple 1. Figure 1.6 – Comparaison entre l’estimateur de Monte-Carlo standard et celui obtenu avec les techniques de r´eduction de la variance dans Exemple 1. 10. La tribu FB s contient toute l’information g´en´er´ee par le mouvement Brownien B jusqu’`a la date s. 10. La tribu FB s contient toute l’information g´en´er´ee par le mouvement Brownien B jusqu’`a la date s. ii) Les v.a. Bt1 −Bt0,...,Btn −Btn−1 sont ind´ependantes pour toute discr´etisation du temps, 0 = t0 < t1 < t2 < · · · < tn < +∞. ii) Les v.a. Bt1 −Bt0,...,Btn −Btn−1 sont ind´ependantes pour toute discr´etisation du temps, 0 = t0 < t1 < t2 < · · · < tn < +∞. iii) Pour tout t ⩾0 et h > 0, la v.a. Bt+h−Bt suit une distribution normale de moyenne nulle et de variance h. iii) Pour tout t ⩾0 et h > 0, la v.a. Bt+h−Bt suit une distribution normale de moyenne nulle et de variance h. iv) Pour presque tout ω ∈Ω, la fonction t 7→Bt(ω) est continue sur l’intervalle [0, +∞[. Le processus (Bt)t⩾0 est dit mouvement Brownien standard quand x = 0. 1.3.1 Mouvement Brownien D´efinition 6. Un mouvement Brownien ou processus de Wiener issu de x ∈R, est un processus stochastique (Bt)t⩾0 index´e dans [0, +∞[ `a valeurs dans R et v´erifiant les conditions suivantes : i) B0 = x p.s. i) B0 = x p.s. iv) Pour presque tout ω ∈Ω, la fonction t 7→Bt(ω) est continue sur l’intervalle [0, +∞[. Le processus (Bt)t⩾0 est dit mouvement Brownien standard quand x = 0. iv) Pour presque tout ω ∈Ω, la fonction t 7→Bt(ω) est continue sur l’intervalle [0, +∞[. Le processus (Bt)t⩾0 est dit mouvement Brownien standard quand x = 0. D’apr`es la D´efinition 6, un mouvement Brownien standard est donc un processus sto- chastique issu de z´ero (propri´et´e i)) `a trajectoires continues (propri´et´e iv)) et `a accroisse- ments ind´ependants (propri´et´e ii)) et stationnaires (propri´et´e iii)). De fa¸con ´equivalente, on peut dire que la propri´et´e ii) signifie que pour tout 0 ⩽s ⩽t, la v.a. Bt −Bs est ind´ependante de la tribu FB s = σ{Bu, u ⩽s}. 10 Pour la propri´et´e de la stationnarit´e iii), elle signifie que la distribution de la v.a. Bt −Bs ne d´epend que de la dur´ee t −s : pour tout 0 ⩽s ⩽t, nous avons que, Bt −Bs d= Bt−s. 17 1.3. DISTRIBUTION DES INSTANTS DE PREMIER PASSAGE POUR UN MOUVEMENT BROWNIEN STANDARD Proposition 1. Si (Bt)t⩾0 est un mouvement Brownien standard, alors on a Proposition 1. Si (Bt)t⩾0 est un mouvement Brownien standard, alors on a Cov(Bs, Bt) = min{s, t}. (1.26) Cov(Bs, Bt) = min{s, t}. (1.26) (1.26) D´emonstration. Commen¸cons `a ´ecrire la covariance comme, D´emonstration. Commen¸cons `a ´ecrire la covariance comme, Cov(Bs, Bt) = E(BsBt) −E(Bs)E(Bt) = E(BsBt), (1.27) Cov(Bs, Bt) = E(BsBt) −E(Bs)E(Bt) = E(BsBt), (1.27) (1.27) car Bt suit une loi N(0, t). Pour s < t, on a car Bt suit une loi N(0, t). Pour s < t, on a E(BsBt) = E(Bs(Bt −Bs + Bs)) = E(Bs(Bt −Bs)) + E(B2 s) = E(Bs)E(Bt −Bs) + E(B2 s) = 0 + V ar(Bs) = s. E(BsBt) = E(Bs(Bt −Bs + Bs)) = E(Bs(Bt −Bs)) + E(B2 s) = E(Bs)E(Bt −Bs) + E(B2 s) = 0 + V ar(Bs) = s. E(BsBt) = E(Bs(Bt −Bs + Bs)) = E(Bs(Bt −Bs)) + E(B2 s) = E(Bs)E(Bt −Bs) + E(B2 s) Pour s > t, par sym´etrie, on obtient Pour s > t, par sym´etrie, on obtient E(BsBt) = t E(BsBt) = t Proposition 2. Soit (Bt)t⩾0 un mouvement Brownien standard. Alors, chacune des trans- formations suivantes est un mouvement Brownien standard. Proposition 2. Soit (Bt)t⩾0 un mouvement Brownien standard. Alors, chacune des trans- formations suivantes est un mouvement Brownien standard. 1) (Sym´etrie). (−Bt)t⩾0. 1) (Sym´etrie). (−Bt)t⩾0. 1) (Sym´etrie). (−Bt)t⩾0. 1) (Sym´etrie). (−Bt)t⩾0. 2) (Invariance par changement d’´echelle). (a−1/2Bat)t⩾0, pour tout a > 0. 3) (Translation du temps). iv) Pour presque tout ω ∈Ω, la fonction t 7→Bt(ω) est continue sur l’intervalle [0, +∞[. Le processus (Bt)t⩾0 est dit mouvement Brownien standard quand x = 0. (Bt+T −BT)t⩾0, pour tout T ⩾0. 4) (Inversion du temps). Le processus (Xt)t⩾0 d´efini par X0 = 0 et Xt = tB1/t pour t > 0. D´emonstration. Pour le faire, il suffit de montrer que les trajectoires sont continues en t = 0 puisque le mouvement Brownien standard Bt garantie une continuit´e des trajectoires pour t > 0. 11 D´emonstration. 1) Le processus stochastique (−Bt)t⩾0 est `a accroissements ind´ependants et stationnaires. Pour tout t ⩾0, nous avons que −Bt d= Bt car la loi normale centr´ee est sym´etrique. Donc, le processus (−Bt)t⩾0 est un mouvement Brownien standard, il s’agit d’un mouvement Brownien r´efl´echi par rapport `a l’axe du temps. 2) Les propri´et´es de continuit´e et d’ind´ependance des accroissements restent clairement v´erifi´ees pour le processus gaussien (a−1/2Bat)t⩾0. Ce processus est issu de z´ero car B0 = 0. Sa moyenne est Sa moyenne est E 1 √aBat ! = 1 √aE (Bat) = 0. (1.28) (1.28) La fonction de covariance est Cov( 1 √aBas, 1 √aBat) = 1 aCov(Bas, Bat) = 1 a min{as, at} = min{s, t}. 18 1.3. DISTRIBUTION DES INSTANTS DE PREMIER PASSAGE POUR UN MOUVEMENT BROWNIEN STANDARD De plus, le processus (a−1/2Bat)t⩾0 admet des trajectoires continues car la fonction t 7→ B(t) est continue sur [0, +∞[ (avec une probabilit´e ´egale `a 1). Le changement d’´echelle pr´eserve donc les propri´et´es th´eoriques du mouvement Brownien. 3) Pour tout T ⩾0 fix´e, le processus (Bt+T −BT)t⩾0 est Gaussien centr´e `a accroissements ind´ependants et stationnaires. La fonction de covariance de ce processus est donn´ee par Cov(Bt+T −BT, Bs+T −BT) = Cov(Bt+T, Bs+T) −Cov(Bt+T, BT) −Cov(BT, Bs+T) + Cov(BT, BT) = min{t + T, s + T} −min{t + T, T} −min{T, s + T} + min{T, T} = min{t + T, s + T} −T = min{s, t}. Les trajectoires de (Bt+T −BT)t⩾0 sont continues, il est donc un mouvement Brownien standard. 4) Soit 0 < t1 < t2 < · · · < tn. Pour les constantes r´eelles λ1, . . . , λn, on a 4) Soit 0 < t1 < t2 < · · · < tn. Pour les constantes r´eelles λ1, . . . , λn, on a λ1Xt1 + · · · + λnXtn = λ1t1B 1 t1 + · · · + λ1tnB 1 tn , est une variable normale et donc le processus Xt est un processus Gaussien. Il est centr´e car nous avons, E(Xt) = tE(B 1 t ) = 0, pour tout t > 0. Sa fonction de covariance est donn´ee par Cov(Xs, Xt) = E(XsXt) = stE h B 1 sB 1 t i = st min 1 s, 1 t  = min{t, s}. Il reste `a monter la continuit´e des trajectoires de Xt. 11. Le probl`eme est ´equivalent `a monter que limt→+∞t−1Bt = 0 (voir [M¨orters et Peres, 2010]). 12. Pour un certain nombre ∆t > 0 assez petit, nous avons que Bt+∆t −Bt ∼N(0, ∆t) ∼ √ ∆tN(0, 1). 13. Afin d’obtenir N trajectoires de Bt, il suffit de d´erouler N fois l’Algorithme 2. 12. Pour un certain nombre ∆t > 0 assez petit, nous avons que Bt+∆t −Bt ∼N(0, ∆t) ∼ √ ∆tN(0, 1). 13. Afin d’obtenir N trajectoires de Bt, il suffit de d´erouler N fois l’Algorithme 2. 11. Le probl`eme est ´equivalent `a monter que limt→+∞t−1Bt = 0 (voir [M¨orters et Peres, 2010]). 12 Pour un certain nombre ∆t > 0 assez petit nous avons que B ∆ B ∼N(0 ∆t) ∼ √ ∆tN(0 1) t+∆t ( ) 13. Afin d’obtenir N trajectoires de Bt, il suffit de d´erouler N fois l’Algorithme 2. 11. Le probl`eme est ´equivalent `a monter que limt→+∞t−1Bt = 0 (voir [M¨orters et Peres, 2010]). 12. Pour un certain nombre ∆t > 0 assez petit, nous avons que Bt+∆t −Bt ∼N(0, ∆t) ∼ √ Construction du mouvement Brownien par un processus gaussien Soit Bt un mouvement Brownien standard. Comme nous venons de le voir, le processus Bt suit une loi gaussienne de moyenne nulle et de variance t. On peut donc facilement simuler une trajectoire d’un mouvement Brownien `a partir de la loi gaussienne puisque les accroissements sont ind´ependants et gaussiens par construction. 12 Afin de simuler une trajectoire de Bt, nous commen¸cons par cr´eer une subdivision de l’intervalle du temps [0, T] en n + 1 instants, 0 = t0 < t1 < · · · < tn = T, o`u ti = i∆t avec un pas de discr´etisation ∆t = T/n. L’Algorithme 2 g´en`ere une trajectoire d’un mouvement Brownien standard construite `a partir de n r´ealisations. 13 19 1.3. DISTRIBUTION DES INSTANTS DE PREMIER PASSAGE POUR UN MOUVEMENT BROWNIEN STANDARD Algorithm 2 Simulation du mouvement Brownien standard 1: G´en´erer un ´echantillon (Zt0, Zt1, . . . , Ztn) de n variables al´eatoires i.i.d. de loi N(0, 1). 2: Poser ∆t := T/n et B(t0) := 0. 3: Pour i de 1 `a n faire B(ti) := B(ti−1) + √ ∆tZ(ti−1). 4: Retourner les valeurs Bt0, Bt1, . . . , Btn. Algorithm 2 Simulation du mouvement Brownien standard 0.0 0.2 0.4 0.6 0.8 1.0 −3 −2 −1 0 1 2 3 Temps B(t) Figure 1.8 – Flux de N = 100 trajec- toires Browniennes sur l’intervalle [0, 1] avec n = 100 points simuler par trajec- toire. 0.0 0.2 0.4 0.6 0.8 1.0 −1.0 −0.5 0.0 0.5 1.0 Temps B(t) Figure 1.7 – Trajectoire d’un mouvement Brownien standard sur l’intervalle [0, 1] si- muler `a partir de n = 100 points. 0.0 0.2 0.4 0.6 0.8 1.0 −3 −2 −1 0 1 2 3 Temps B(t) Figure 1.8 – Flux de N = 100 trajec- toires Browniennes sur l’intervalle [0, 1] avec n = 100 points simuler par trajec- toire. 0.0 0.2 0.4 0.6 0.8 1.0 −1.0 −0.5 0.0 0.5 1.0 Temps B(t) 0.0 0.2 0.4 0.6 0.8 1.0 −3 −2 −1 0 1 2 3 Temps B(t) Figure 1.8 – Flux de N = 100 trajec- toires Browniennes sur l’intervalle [0, 1] avec n = 100 points simuler par trajec- toire. Figure 1.7 – Trajectoire d’un mouvement Brownien standard sur l’intervalle [0, 1] si- muler `a partir de n = 100 points. Temps d’arrˆets D´efinition 7. Soit (Ω, F, (Ft)t⩾0, P) un espace de probabilit´e filtr´e. Une v.a. T qui est F- mesurable `a valeurs dans R+ ∪{+∞} est appel´ee temps d’arrˆet de la filtration (Ft)t⩾0 si pour tout t ⩾0, on a D´efinition 7. Soit (Ω, F, (Ft)t⩾0, P) un espace de probabilit´e filtr´e. Une v.a. T qui est F- mesurable `a valeurs dans R+ ∪{+∞} est appel´ee temps d’arrˆet de la filtration (Ft)t⩾0 si pour tout t ⩾0, on a D´efinition 7. Soit (Ω, F, (Ft)t⩾0, P) un espace de probabilit´e filtr´e. Une v.a. T qui est F- mesurable `a valeurs dans R+ ∪{+∞} est appel´ee temps d’arrˆet de la filtration (Ft)t⩾0 si pour tout t ⩾0, on a {T ⩽t} = {ω ∈Ω, T(ω) ⩽t} ∈Ft. Les tribus sont stables par passage au compl´ementaire, par ce fait on a que {T > t} ∈Ft pour tout t ⩾0. Or en temps continue l’´ev´enement {T = t} est de mesure de probabilit´e nulle, donc on ´etend la d´efinition du temps d’arrˆet en utilisant les ´ev´enement {T ⩽t}. Un exemple de temps d’arrˆet est le temps d’atteinte. Remarquons que si (Xt)t⩾0 est un processus `a trajectoires continues adapt´e `a une filtration (Ft)t⩾0 et `a valeurs dans Rd, alors pour tout bor´elien A de Rd, la v.a. TA = inf{t ⩾0 : Xt ∈A} est un Ft-temps d’arrˆet. a) (Xt)t⩾0 est adapt´e `a la filtration Ft. a) (Xt)t⩾0 est adapt´e `a la filtration Ft. D´efinition 8. Soit (Ω, F, (Ft)t⩾0, P) un espace de probabilit´e filtr´e. Un processus stochas- tique (Xt)t⩾0 est appel´e une martingale par rapport `a la filtration Ft si a) (Xt)t⩾0 est adapt´e `a la filtration Ft. Mouvement Brownien et martingales D´efinition 8. Soit (Ω, F, (Ft)t⩾0, P) un espace de probabilit´e filtr´e. Un processus stochas- tique (Xt)t⩾0 est appel´e une martingale par rapport `a la filtration Ft si a) (Xt)t⩾0 est adapt´e `a la filtration Ft. 20 1.3. DISTRIBUTION DES INSTANTS DE PREMIER PASSAGE POUR UN MOUVEMENT BROWNIEN STANDARD b) Pour tout t ⩾0, Xt est int´egrable. c) Pour tout 0 ⩽s < t, E(Xt|Fs) = Xs. c) Pour tout 0 ⩽s < t, E(Xt|Fs) = Xs. De plus, le processus (Xt)t⩾0 est une Ft-sous-martingale si c) Pour tout 0 ⩽s < t, E(Xt|Fs) = Xs. De plus, le processus (Xt)t⩾0 est une Ft-sous-martingale si ) ⩽ , ( t| s) s De plus, le processus (Xt)t⩾0 est une Ft-sous-martingale si ∀0 ⩽s < t, E(Xt|Fs) ⩾Xs, et une Ft-sur-martingale si On a que Bt−s d= √t −sY o`u Y est une v.a. de loi N(0, 1). Ainsi, On a que Bt−s d= √t −sY o`u Y est une v.a. de loi N(0, 1). Ainsi, E(Zt|Fs) = e−λ2 2 teλBsE  eλ√t−sY  = e−λ2 2 teλBse λ2 2 (t−s) = Zs. Le processus martingale (1.31) est tr`es important en finance, nous l’utiliserons par la suite dans le th´eor`eme de Girsanov. Processus de Markov D´efinition 9. Soit (Xt)t⩾0 un processus stochastique `a temps continue et adapt´e `a une filtration (Ft)t⩾0. On dit que X est un processus de Markov s’il v´erifie la propri´et´e de Markov, `a savoir, pour toute fonction H born´ee et pour tout s ⩽t, on a E [H(Xt)|Fs] = E [H(Xt)|Xs] . (1.36) (1.36) En d’autres termes, un processus de Markov est un processus dont le comportement dans le futur d´epend uniquement de l’´etat actuel du processus. Le r´esultat suivant est fondamental pour la th´eorie du mouvement Brownien. et une Ft-sur-martingale si ∀0 ⩽s < t, E(Xt|Fs) ⩽Xs. ∀0 ⩽s < t, E(Xt|Fs) ⩽Xs. Proposition 3. Si (Bt)t⩾0 est un mouvement Brownien standard. Alors, les processus ci-dessous sont des Ft-martingales continues, o`u (Ft)t⩾0 est la filtration naturelle de Bt. (1.29) Xt = Bt (1.29) Yt = B2 t −t (1.30) Zt = exp λBt −λ2 2 t ! , λ ∈R. (1.31) Bt (1.29) (1.30) (1.31) D´emonstration. Le processus (1.29) est adapt´e `a Ft. Il est aussi int´egrable puisque pour tout t ⩾0, on a E(B2) t D´emonstration. Le processus (1.29) est adapt´e `a Ft. Il est aussi int´egrable puisque pour tout t ⩾0, on a E(B2 t ) = t < ∞. Il suffit donc de v´erifier la condition c). Pour tout 0 ⩽s < t, on a E(Xt|Fs) = E(Bt −Bs + Bs|Fs) (1.32) = E(Bt −Bs|Fs) + E(Bs|Fs) (1.33) = E(Bt −Bs) + Bs (1.34) = Bs. (1.35) (1.32) E(Bt Bs|Fs) + E(Bs|Fs) (1.33) = E(Bt −Bs) + Bs (1.34) = Bs. (1.35) (1.35) L’´eglit´e (1.33) provient de la lin´earit´e de l’esp´erance conditionnelle, quand `a (1.34) elle vient du fait que la v.a. Bt −Bs est gaussienne ind´ependante de Ft et que Bs soit Fs- mesurable. mˆeme pour le processus (1.30). Pour tout 0 ⩽s < t, on a De mˆeme pour le processus (1.30). Pour tout 0 ⩽s < t, on a E(B2 t −t|Fs) = E((Bt −Bs + Bs)2 −t|Fs) = E((Bt −Bs)2|Fs) + 2E(Bs(Bt −Bs)|Fs) + E(B2 s −t|Fs) = E((Bt −Bs)2) + 2BsE(Bt −Bs) + B2 s −t = t −s + B2 s −t = B2 s −s. Le processus Yt est donc une Ft-martingale. Le processus Yt est donc une Ft-martingale. Pour le processus (1.31), on a Le processus Yt est donc une Ft-martingale. Pour le processus (1.31), on a p t t Pour le processus (1.31), on a E(Zt|Fs) = E  eλBt−λ2 2 t+λBs−λBs|Fs  = e−λ2 2 tE  eλ(Bt−Bs)+λBs|Fs  = e−λ2 2 teλBsE  eλ(Bt−Bs)|Fs  = e−λ2 2 teλBsE  eλBt−s . 21 1.3. DISTRIBUTION DES INSTANTS DE PREMIER PASSAGE POUR UN MOUVEMENT BROWNIEN STANDARD Th´eor`eme 1. Le mouvement Brownien standard est un processus de Markov. D´emonstration. Soit H une fonction born´ee. Pour tout s ⩽t, la v.a. Bt −Bs est ind´e- pendante de Fs, et par cons´equent aussi de Bs. Cette propri´et´e du mouvement Brownien permet d’´ecrire : E [H(Bt)|Fs] = E [H(Bs + Bt −Bs)|Fs] (1.37) = f(t −s, Bs), (1.38) (1.37) (1.38) (1.37) (1.38) avec f(t−s, x) = E [H(x + Bt −Bs)] = E [H(x + Z)], o`u Z est une v.a. de loi N(0, t−s). De mˆeme, on a E [H(Bt)|Bs] = f(t −s, Bs). Apr`es calcul de l’esp´erance, on obtient avec f(t−s, x) = E [H(x + Bt −Bs)] = E [H(x + Z)], o`u Z est une v.a. de loi N(0, t−s). De mˆeme, on a E [H(Bt)|Bs] = f(t −s, Bs). Apr`es calcul de l’esp´erance, on obtient avec f(t−s, x) = E [H(x + Bt −Bs)] = E [H(x + Z)], o`u Z est une v.a. de loi N(0, t−s). De mˆeme, on a E [H(Bt)|Bs] = f(t −s, Bs). Apr`es calcul de l’esp´erance, on obtient f(t, x) = 1 √ 2πt Z R H(y) exp −(y −x)2 2t ! dy, t ⩾0. (1.39) (1.39) D´efinition 10 (Diffusion). Un processus stochastique `a trajectoires continues et v´erifiant la propri´et´e de Markov (1.36) est appel´e processus de diffusion. D´efinition 10 (Diffusion). Un processus stochastique `a trajectoires continues et v´erifiant la propri´et´e de Markov (1.36) est appel´e processus de diffusion. `A partir de la D´efinition 10, il est claire que le mouvement Brownien est un processus de diffusion. En finance, les processus de diffusion sont tr`es importants pour la mod´elisation des actifs financiers. Nous allons voir par la suite un des principaux processus de diffusion qui est le mouvement Brownien g´eom´etrique. 22 1.3. DISTRIBUTION DES INSTANTS DE PREMIER PASSAGE POUR UN MOUVEMENT BROWNIEN STANDARD Th´eor`eme d’arrˆet Le th´er`eme d’arrˆet permet dans certain cas d’avoir la distribution de l’instant de premier passage associ´e `a un mouvement Brownien. Il est fondamentale dans la th´eorie des processus stochastiques et notamment celle des martingales. Ce th´eor`eme permet ´egalement d’avoir la distribution des instants de premier passage pour d’autres classes du processus de Wiener, comme dans [Srivastava et al., 2017]. Nous allons pr´esenter une version simple du th´eor`eme d’arrˆet. Th´eor`eme 2. Si Mt est une martingale et τ un temps d’arrˆet. Alors, le processus arrˆet´e Mmin(τ,t) est aussi une martingale. De plus, si Mt est uniform´ement int´egrable. Alors, E(Mmin(τ,t)) = E(M0) (1.40) E(Mmin(τ,t)) = E(M0) (1.40) D´emonstration. Voir [Gall, 2012, pp. 50-51]. D´emonstration. Voir [Gall, 2012, pp. 50-51]. D´emonstration. Voir [Gall, 2012, pp. 50-51]. Exemple 2 (Premier instant de sortie d’un intervalle par un mouvement Brownien). Soit Bt un mouvement Brownien issu de x, a < x < b o`u a et b deux nombres r´eels. Soit τ(a,b) le premier instant o`u le processus Bt quitte l’intervalle ]a, b[, cette v.a. est un temps d’arrˆet d´efinie par τ(a,b) = inf{t ⩾0 : Bt /∈]a, b[}. (1.41) (1.41) (1.49) (1.49) Il suffit donc d’inverser la transform´ee de Laplace (1.49) pour avoir la densit´e de probabilit´e de la v.a. Ta. La fonction de densit´e de Ta est donn´ee pour tout t > 0 par Il suffit donc d’inverser la transform´ee de Laplace (1.49) pour avoir la densit´e de probabilit´e de la v.a. Ta. La fonction de densit´e de Ta est donn´ee pour tout t > 0 par fTa(t) = L −1 h e−a √ 2si = a √ 2πt3e−a2 2t . (1.50) (1.50) Propri´et´e de Markov forte Th´eor`eme 3. Soit (Bt)t⩾0 un mouvement Brownien standard par rapport `a sa filtration naturelle (Ft)t⩾0. Alors, pour tout Ft-temps d’arrˆet τ fini p.s., le processus (Bτ t )t⩾0 d´efini par Bτ t = (Bτ+t −Bτ), est un mouvement Brownien standard ind´ependant de Fτ. D´emonstration. Voir [M¨orters et Peres, 2010, pp. 43-44]. D´emonstration. Voir [M¨orters et Peres, 2010, pp. 43-44]. (1.41) D’apr`es la d´efinition de τ(a,b), le processus Bt est arrˆet´e juste avant d’atteindre les barri`eres a et b. Ainsi, on a |Bmin(τ(a,b),t)| ⩽max(|a|, |b|). (1.42) (1.42) Avec le r´esultat (1.40), on obtient E(Bmin(τ(a,b),t)) = E(B0) = x. (1.43) (1.43) La limite de (1.43) lorsque t tend vers +∞donne La limite de (1.43) lorsque t tend vers +∞donne E(Bτ(a,b)) = x. (1.44) (1.44) On note p la probabilit´e que le mouvement Brownien Bt atteint b avant d’atteindre a. Autrement dit, On note p la probabilit´e que le mouvement Brownien Bt atteint b avant d’atteindre a. Autrement dit, p = P(Tb < Ta), o`u Ta = inf{t ⩾0 : Bt = a} et Tb = inf{t ⩾0 : Bt = b}. Avec ces nouvelles notations, on ´ecrit que E(Bτ(a,b)) = bp + a(1 −p). (1.45) Grˆace au deux formules (1 43) et (1 45) on obtient q E(Bτ(a,b)) = bp + a(1 −p). (1.45 E(Bτ(a,b)) = bp + a(1 −p). (1.45) formules (1.43) et (1.45), on obtient (1.45) E(Bτ(a,b)) = bp + a(1 −p). (1.45) Grˆace au deux formules (1.43) et (1.45), on obtient P(Tb < Ta) = x −a b −a et P(Ta < Tb) = b −x b −a. (1.46) (1.46) Exemple 3 (Transform´ee de Laplace des instants de premier passage pour un mouvement Brownien). Exemple 3 (Transform´ee de Laplace des instants de premier passage pour un mouvement Brownien). ) Soit Bt un mouvement Brownien standard. Soit Ta = inf{t ⩾0 : Bt = a} avec a > 0. Nous consid´erons la martingale (1.31) avec λ > 0, arrˆet´e `a Ta. Comme BTa = a p.s. et λ > 0. Alors, 2 0 < eλBmin(Ta,t)−λ2 2 min(Ta,t) ⩽eλa. 0 < eλBmin(Ta,t)−λ2 2 min(Ta,t) ⩽eλa. 23 1.3. DISTRIBUTION DES INSTANTS DE PREMIER PASSAGE POUR UN MOUVEMENT BROWNIEN STANDARD La formule (1.40) donne La formule (1.40) donne E  eλBmin(Ta,t)−λ2 2 min(Ta,t)  = 1. (1.47) (1.47) Comme le temps d’arrˆet Ta est fini, E(Ta < ∞) = 1 (voir la formule (1.80)). Alors, la limite de (1.47) lorsque t tend vers +∞donne Comme le temps d’arrˆet Ta est fini, E(Ta < ∞) = 1 (voir la formule (1.80)). Alors, la limite de (1.47) lorsque t tend vers +∞donne E  eλa−λ2 2 Ta  = 1. (1.48) (1.48) En rempla¸cant λ par √ 2s, on aura, pour tout s > 0, E  e−sTb  = e−a √ 2s. Principe de r´eflexion du mouvement Brownien Le principe de r´eflexion du mouvement Brownien est une cons´equence importante du Th´or`eme 3. Il affirme qu’un mouvement Brownien r´efl´echi `a partir d’un temps d’arrˆet reste un mouvement Brownien. Grˆace `a ce principe, nous allons pouvoir d´eterminer la distribu- tion des instants de premier passage d’un mouvement Brownien, ainsi que la distribution de son maximum. Th´eor`eme 4. [Principe de r´eflexion] Soit (Bt)t⩾0 un mouvement Brownien standard. Soit τ un temps d’arrˆet. Alors, le processus (Bτ t )t⩾0 d´efini par t⩾0 (Bτ t )t⩾0 d´efini par Bτ t =    Bt t ⩽τ 2Bτ −Bt t ⩾τ, est aussi un mouvement Brownien standard sur le mˆeme espace de probabilit´e de Bt. st aussi un mouvement Brownien standard sur le mˆeme espace de probabilit´e de Bt D´emonstration. Voir [Freedman, 1983, pp. 23-24]. D´emonstration. Voir [Freedman, 1983, pp. 23-24]. onstration. Voir [Freedman, 1983, pp. 23-24]. 24 1.3. DISTRIBUTION DES INSTANTS DE PREMIER PASSAGE POUR UN MOUVEMENT BROWNIEN STANDARD Figure 1.9 – Mouvement Brownien standard r´efl´echi `a partir de l’instant de premier passage au seuil a. Figure 1.9 – Mouvement Brownien standard r´efl´echi `a partir de l’instant de premier passage au seuil a. istribution jointe d’un mouvement Brownien standard et son maximum Distribution jointe d’un mouvement Brownien standard et son maximum Soit le processus maximum (Mt)t⩾0 d´efini par Soit le processus maximum (Mt)t⩾0 d´efini par Soit le processus maximum (Mt)t⩾0 d´efini par Mt = max 0⩽s⩽t Bs, o`u B est un mouvement Brownien standard. o`u B est un mouvement Brownien standard. o`u B est un mouvement Brownien standard. o`u B est un mouvement Brownien standard. Remarque 3. Si Tx est l’instant de premier passage au seuil x > 0 par le mouvement Brownien standard Bt. Alors, {Mt ⩾x} = {Tx ⩽t}. (1.51) (1.51) Th´eor`eme 5. Pour tout (t, x) ∈R2 + et pour tout y ⩽x, on a P [Mt ⩾x, Bt ⩽y] = P (Bt ⩾2x −y) . (1.52) P [Mt ⩾x, Bt ⩽y] = P (Bt ⩾2x −y) . (1.52) (1.52) D´emonstration. Soit le processus BTx t = BTx+t−BTx o`u Tx = inf{t ⩾0 : Bt = x}. D’apr`es le Th´eor`eme 3, le processus BTx t est un mouvement Brownien standard ind´ependant de la filtration FTx, et donc ind´ependant aussi de la v.a. Tx. Comme BTx = x p.s., on a D´emonstration. Soit le processus BTx t = BTx+t−BTx o`u Tx = inf{t ⩾0 : Bt = x}. D’apr`es le Th´eor`eme 3, le processus BTx t est un mouvement Brownien standard ind´ependant de la filtration FTx, et donc ind´ependant aussi de la v.a. Tx. Comme BTx = x p.s., on a P [Mt ⩾x, Bt ⩽y] = P [Tx ⩽t, Bt −x ⩽y −x] (1.53) = P [Tx ⩽t, Bt −BTx ⩽y −x] (1.54) = P h Tx ⩽t, BTx t−Tx ⩽y −x i (1.55) = P h Tx ⩽t, BTx t−Tx ⩾x −y i (1.56) = P [Tx ⩽t, Bt ⩾2x −y] (1.57) = P (Bt ⩾2x −y) . (1.58) (1.58) L’´egalit´e (1.56) vient de la sym´etrie du processus gaussien BTx sachant Tx, quant `a l’´egalit´e (1.58) elle provient du fait que l’´ev´enement {Bt ⩾2x −y} soit inclus dans l’´ev´enement {Tx ⩽t} car 2x −y ⩾x. L’´egalit´e (1.56) vient de la sym´etrie du processus gaussien BTx sachant Tx, quant `a l’´egalit´e (1.58) elle provient du fait que l’´ev´enement {Bt ⩾2x −y} soit inclus dans l’´ev´enement {Tx ⩽t} car 2x −y ⩾x. 25 1.3. DISTRIBUTION DES INSTANTS DE PREMIER PASSAGE POUR UN MOUVEMENT BROWNIEN STANDARD `A partir de (1.58), on peut ´ecrire `A partir de (1.58), on peut ´ecrire P [Mt ⩾x, Bt ⩽y] = Φ y −2x √ t ! , (1.59) (1.59) pour tout (t, x) ∈R2 + et pour tout y ⩽x. La densit´e jointe du couple al´eatoire (Mt, Bt) est obtenu par diff´erentiabilit´e puisque nous avons pour tout (t, x) ∈R2 + et pour tout y ⩽x. o`u B est un mouvement Brownien standard. La densit´e jointe du couple al´eatoire (Mt, Bt) est obtenu par diff´erentiabilit´e puisque nous avons f(M,B)(x, y) = ∂2 ∂x∂yP [Mt ⩾x, Bt ⩽y] . (1.60) (1.60) Apr`es calcul, on trouve f(M,B)(x, y) = s 2 π (2x −y) t3/2 exp −(2x −y)2 2t ! , (1.61) (1.61) pour tout (t, x) ∈R2 + et pour tout y ⩽x. pour tout (t, x) ∈R2 + et pour tout y ⩽x. Distribution du maximum d’un mouvement Brownien standard Distribution du maximum d’un mouvement Brownien standard Corollaire 1. Pour tout t ⩾0, on a que Mt d= |Bt|. ´emonstration. Pour tout x ⩾0, on a D´emonstration. Pour tout x ⩾0, on a D´emonstration. Pour tout x ⩾0, on a P(Mt ⩾x) = P(Mt ⩾x, Bt ⩾x) + P(Mt ⩾x, Bt ⩽x) (1.62) = P(Bt ⩾x) + P(Bt ⩾2x −x) (1.63) = P(−Bt ⩾x) + P(Bt ⩾x) (1.64) = 2P(Bt ⩾x) (1.65) = P(|Bt| ⩾x). (1.66) L’´egalit´e (1.63) est dˆu au r´esultat (1.52) et l’´egalit´e (1.65) vient de la sym´etrie du mou- vement Brownien Bt. L’´egalit´e (1.63) est dˆu au r´esultat (1.52) et l’´egalit´e (1.65) vient de la sym´etrie du mou- vement Brownien Bt. Distribution des instants de premier passage `a une barri`ere fixe par un mou- vement Brownien standard Distribution des instants de premier passage `a une barri`ere fixe par un mou- vement Brownien standard Corollaire 2. Pour tout a > 0, nous avons que Ta d= a2 B2 1 . D´emonstration. Pour tout a > 0 et t ⩾0, on peut ´ecrire D´emonstration. Pour tout a > 0 et t ⩾0, on peut ´ecrire P(Ta ⩽t) = P(Mt ⩾a) = P(|Bt| ⩾a) = P(B2 t ⩾a2) = P(tB2 1 ⩾a2) = P a2 B2 1 ⩽t ! . P(Ta ⩽t) = P(Mt ⩾a) = P(|Bt| ⩾a) = P(B2 t ⩾a2) = P(tB2 1 ⩾a2) = P a2 B2 1 ⩽t ! . 26 1.3. DISTRIBUTION DES INSTANTS DE PREMIER PASSAGE POUR UN MOUVEMENT BROWNIEN STANDARD Afin de calculer la fonction densit´e fTa de la v.a. Ta, il suffit de remarquer que pour tout t ⩾0, on a !! P(Ta ≤t) = P(|Bt| ≥a) = 2 1 −Φ a √ t !! . (1.67) (1.67) En d´erivant la formule (1.67) par rapport `a t, on obtient fTa(t) = ∂ ∂tP(Ta ≤t) = a √ 2πt3 exp −a2 2t ! . (1.68) (1.68) Remarque 4. Pour le cas o`u a < 0, la sym´etrie du mouvement Brownien standard Bt donne Remarque 4. Pour le cas o`u a < 0, la sym´etrie du mouvement Brownien standard Bt donne Ta = inf{t ⩾0 : Bt = a} = inf{t ⩾0 : −Bt = −a} d Ainsi, la densit´e de la v.a. Ta est donn´ee pour tout a ̸= 0 et t ⩾0, par Ainsi, la densit´e de la v.a. Distribution du maximum d’un mouvement Brownien standard Ta est donn´ee pour tout a ̸= 0 et t ⩾0, par fTa(t) = |a| √ 2πt3 exp −a2 2t ! . (1.69) (1.69) Proposition 4. Pour tout x ∈R et A un bor´elien de R, on a P(Bx t ∈A) = P((Bt + x) ∈A), (1.70) Proposition 4. Pour tout x ∈R et A un bor´elien de R, on a P(Bx t ∈A) = P((Bt + x) ∈A), (1.70) Proposition 4. Pour tout x ∈R et A un bor´elien de R, on a P(Bx t ∈A) = P((Bt + x) ∈A), (1.70) (1.70) 14. Nos simulations num´eriques sont tous effectu´ees sur logiciel R, ce dernier consid`ere les valeurs infinies comme ´etant des valeurs manquantes lors de la construction de l’histogramme avec la fonction hist. Dans l’environnement R, les valeurs manquantes sont repr´esent´ees par le symbole NA(Not Available). o`u Bx t est un mouvement Brownien issu de x. La formule (1.70) permet d’avoir la distribution de Ta pour un mouvement Brownien qui n’est pas issu de l’origine. Pour avoir cette distribution, nous commen¸cons par intro- duire la notation Px qui est la mesure de Wiener associ´ee au mouvement Brownien issus de x ∈R⋆. Nous avons que, Px (Bx t ∈[y, y + dy]) = e−(y−x)2 2t √ 2πt dy, (1.71) (1.71) o`u dy est une quantit´e infinit´esimale. o`u dy est une quantit´e infinit´esimale. Proposition 5. Pour tout a ∈R, et sous la mesure Px, la v.a. Ta admet pour densit´e la fonction suivante Proposition 5. Pour tout a ∈R, et sous la mesure Px, la v.a. Ta admet pour densit´e la fonction suivante fTa(t) = |a −x| √ 2πt3 exp −(a −x)2 2t ! , x ̸= a, t ⩾0. (1.72) (1.72) D´emonstration. Soit x ∈R. Pour tout a ̸= x et t > 0, on a ´emonstration. Soit x ∈R. Pour tout a ̸= x et t > 0, on a R. Pour tout a ̸= x et t > 0, on a Px(Ta ⩽t) = Px  max 0≤s≤t(Bx s ) ⩾a  (1.73) = P0  max 0≤s≤t(Bs + x) ⩾a  (1.74) = P0 (Mt + x ⩾a) (1.75) = P0 (Mt ⩾a −x) (1.76) = P0(Ta−x ⩽t) (1.77) = 2 1 −Φ |a −x| √ t !! . (1.78) (1.73) 27 1.3. DISTRIBUTION DES INSTANTS DE PREMIER PASSAGE POUR UN MOUVEMENT BROWNIEN STANDARD L’´egalit´e (1.74) est dˆu `a la propri´et´e (1.70), quant `a l’´egalit´e (1.78), elle d´ecoule directe- ment de la formule (1.69). Il reste `a calculer la d´eriv´ee (1.78) par rapport `a t pour obtenir le r´esultat souhait´e. Remarque 5. La fonction densit´e (1.72) de la v.a. Ta correspond `a une loi de L´evy [voir Annexe A en page 86] avec un param`etre de position nul et un param`etre d’´echelle ´egale `a (a −x)2. Ainsi, un simple calcul int´egrale permet de voir que EPx(Ta) = +∞, (1.79) (1.79) De plus, pour tout a ̸= x, la v.a. Ta est p.s. finie. En effet, on a que Px(Ta < +∞) = lim t→+∞2 1 −Φ |a −x| √ t !! = 1, (1.80) (1.80) car Φ(0) = 0.5. car Φ(0) = 0.5. 1.3.2 Simulation Monte-Carlo des instants de premier passage pour un mouvement Brownien standard La Figure 1.10 montre une simulation d’un flux de N = 1000 trajectoires du processus Bt simuler avec l’Algorithme 1, o`u le nombre de points simul´es dans chaque trajectoire est ´egale `a n = 1000. Une fois que l’´echantillon des Ta est obtenu, nous tra¸cons son histogramme et nous le comparons `a la densit´e th´eorique (1.68). Il est important de noter que, l’´echantillon des instants de premier passage comporte des valeurs infinies car le seuil a = 0.127 peut ne pas ˆetre atteint durant la dur´ee de l’observation [0, 1]. Ces valeurs infinies ne sont pas consid´er´ees lors de la construction de l’histogramme dans la Figure 1.11. De plus, nous rappelons que, la fonction de densit´e de Ta est celle d’une loi de L´evy avec un param`etre de position nul et un param`etre d’´echelle ´egale `a a2. 14 Figure 1.10 – Simulation d’un ´echantillon des instants de premier passage au seuil a = 0.127 par un mouvement Brownien standard. Figure 1.10 – Simulation d’un ´echantillon des instants de premier passage au seuil a = 0.127 par un mouvement Brownien standard. 28 1.4. DISTRIBUTION DES INSTANTS DE PREMIER PASSAGE POUR UN MOUVEMENT BROWNIEN ARITHM´ETIQUE Figure 1.11 – Comparaison entre la courbe de la densit´e et l’histogramme des instants de premier passage pour un mouvement Brownien standard Figure 1.11 – Comparaison entre la courbe de la densit´e et l’histogramme des instants de premier passage pour un mouvement Brownien standard 15. Nous notons parfois dans nos calculs par Xµ t , un mouvement Brownien arithm´etique avec d´erive µ. 1.4.1 Mouvement Brownien arithm´etique Soit (Bt)t⩾0 un mouvement Brownien standard d´efini sur l’espace probabilis´e filtr´e (Ω, F, (Ft)t⩾0, P). Soit (Xt)t⩾0 un processus stochastique d´efini par Xt = µt + Bt, o`u µ ∈R. 15 Le processus Xt est appel´e mouvement Brownien arithm´etique ou mˆeme parfois mouvement Brownien avec d´erive. ( µ) p Soit (M µ t )t⩾0, le processus maximum de Xt d´efini par , le processus maximum de Xt d´efini par M µ t = max 0⩽s⩽t Xs, (1.81) (1.81) et (mµ t )t⩾0, le processus minimum de Xt d´efini par et (mµ t )t⩾0, le processus minimum de Xt d´efini par mµ t = min 0⩽s⩽t Xs. (1.82) (1.82) Nous notons aussi par T X a l’instant de premier passage au seuil a ∈R⋆par le mouve- ment Brownien arithm´etique Xt : T X a = inf{t ⩾0 : Xt = a}. (1.83) (1.83) Le processus Xt est issu de z´ero par construction puisque B0 = 0. Or, ce processus n’est pas un mouvement Brownien standard sous P. En effet, la pr´esence du coefficient de la d´erive µ rend la moyenne d´ependante du temps (E(µt+Bt) = µt). Le th´eor`eme de Girsanov que nous allons voir permet d’´eliminer le coefficient µ en construisant une nouvelle mesure de probabilit´e ´equivalente sous laquelle Xt devient un mouvement Brownien standard. Le processus Xt est issu de z´ero par construction puisque B0 = 0. Or, ce processus n’est pas un mouvement Brownien standard sous P. En effet, la pr´esence du coefficient de la d´erive µ rend la moyenne d´ependante du temps (E(µt+Bt) = µt). Le th´eor`eme de Girsanov que nous allons voir permet d’´eliminer le coefficient µ en construisant une nouvelle mesure de probabilit´e ´equivalente sous laquelle Xt devient un mouvement Brownien standard. 15. Nous notons parfois dans nos calculs par Xµ t , un mouvement Brownien arithm´etique avec d´erive µ. 29 1.4. DISTRIBUTION DES INSTANTS DE PREMIER PASSAGE POUR UN MOUVEMENT BROWNIEN ARITHM´ETIQUE pour tout ensemble A ∈F. Th´eor`eme 6. [Radon-Nikodym] Soit deux mesures de probabilit´e ´equivalentes P et Q sur un espace probabilisable (Ω, F). Alors, il existe une v.a. positive Z telle que E(Z) = 1 et Q(A) = EP [Z1A] , (1.85) Theoreme 6. [Radon Nikodym] Soit deux mesures de probabilit´e ´equivalentes P et Q sur un espace probabilisable (Ω, F). Alors, il existe une v.a. positive Z telle que E(Z) = 1 et Q(A) = EP [Z1A] , (1.85) Q(A) = EP [Z1A] , (1.85) (1.85) 1.4.2 Th´eor`eme de Girsanov D´efinition 11 (Probabilit´es ´equivalentes). Soit (Ω, F) un espace probabilisable. Deux mesures de probabilit´es P et Q sur (Ω, F) sont dites ´equivalentes si elles ont le mˆeme ensemble d’´ev´enements impossibles, c’est-`a-dire que P(A) = 0 ⇐⇒Q(A) = 0, (1.84) (1.84) pour tout ensemble A ∈F. pour tout ensemble A ∈F. La v.a. Z est appel´ee la d´eriv´ee de Radon-Nikodym de Q par rapport `a P, elle est not´ee par La v.a. Z est appel´ee la d´eriv´ee de Radon-Nikodym de Q par rapport `a P, elle est not´ee par Z ≡dQ dP F . (1.86) (1.86) D´emonstration. Une d´emonstration rigoureuse de ce th´eor`eme est disponible dans le livre de [Bauer et Burckel, 2001]. Th´eor`eme 7. [Girsanov] Soit (Θt)0⩽t⩽T, o`u T > 0, un processus stochastique Ft-adapt´e v´erifiant la condition sui- vante " T !# [ ] t)0⩽t⩽T, o`u T > 0, un processus stochastique Ft-adapt´e v´erifiant la condition sui- EP " exp 1 2 Z T 0 Θ2 sds !# < ∞. (1.87) (1.87) Alors, il existe une mesure de probabilit´e Q ´equivalente `a la mesure P sur FT d´efinie par Alors, il existe une mesure de probabilit´e Q ´equivalente `a la mesure P sur FT d´efinie par dQ dP FT = exp " − Z T 0 ΘsdBs −1 2 Z T 0 Θ2 sds # . (1.88) (1.88) De plus, le processus stochastique (Xt)0⩽t⩽T d´efini par De plus, le processus stochastique (Xt)0⩽t⩽T d´efini par De plus, le processus stochastique (Xt)0⩽t⩽T d´efini par De plus, le processus stochastique (Xt)0⩽t⩽T d´efini par De plus, le processus stochastique (Xt)0⩽t⩽T d´efini par Xt = Z t 0 Θsds + Bt, (1.89) (1.89) est un mouvement Brownien standard sous la mesure Q. D´emonstration. Voir [Revuz et Yor, 2013]. mouvement Brownien standard sous la mesure Q. D´emonstration. Voir [Revuz et Yor, 2013]. stration. Voir [Revuz et Yor, 2013]. La condition (1.87) est appel´ee condition de Novikov, elle est suffisante mais pas n´ecessaire. Il est clair que cette condition est v´erifi´ee pour toute fonction born´ee voir mˆeme constante sur [0, T]. Corollaire 3. Soit les constantes µ ∈R et T > 0. Soit (Bt)0⩽t⩽T un mouvement Brownien standard sous la mesure P. Alors, le processus Xt = µt+Bt, t ∈[0, T], est un mouvement Brownien standard sous la mesure Q d´efinie par dQ dP FT = exp " −µ2 2 T −µBT # = exp "µ2 2 T −µXT # . (1.90) (1.90) D´emonstration. Ce r´esultat est une cons´equence directe du Th´eor`eme 7. D´emonstration. Ce r´esultat est une cons´equence directe du Th´eor`eme 7. D´emonstration. Ce r´esultat est une cons´equence directe du Th´eor`eme 30 1.4. DISTRIBUTION DES INSTANTS DE PREMIER PASSAGE POUR UN MOUVEMENT BROWNIEN ARITHM´ETIQUE 1.4.3 Distribution jointe du mouvement Brownien arithm´etique et son maximum position 6. Pour x ⩾0, y ⩽x et t > 0, on a Proposition 6. Pour x ⩾0, y ⩽x et t > 0, on a P (M µ t ⩽x, Xt ⩽y) = Φ y −µt √ t ! −e2µxΦ y −2x −µt √ t ! . (1.91) P (M µ t ⩽x, Xt ⩽y) = Φ y −µt √ t ! −e2µxΦ y −2x −µt √ t ! . (1.91) (1.91) D´emonstration. Soit x ⩾0, y ⩽x et t > 0. Grˆace au r´esultat obtenu dans le Corollaire 3, on peut ´ecrire que D´emonstration. Soit x ⩾0, y ⩽x et t > 0. Grˆace au r´esultat obtenu dans le Corollaire 3, on peut ´ecrire que 3, on peut ´ecrire que P (M µ t ⩾x, Xt ⩽y) = EP h 1{Mµ t ⩾x,Xt⩽y} i (1.92) = EQ " dP dQ Ft 1{T X x ⩽t,Xt⩽y} # (1.93) = EQ " exp µXt −µ2 2 t ! 1{T X x ⩽t,Xt⩽y} # , (1.94) (1.92) (1.93) (1.94) o`u Xt est un mouvement Brownien standard sous Q. Soit (f Xt)t⩾0 un processus stochastique d´efini par o`u Xt est un mouvement Brownien standard sous Q. Soit (f Xt)t⩾0 un processus stochastique d´efini par f Xt =    Xt t ⩽T X x 2x −Xt t ⩾T X x . En vertu du principe de r´eflexion [Th´eor`eme 4], le processus f Xt est un mouvement Brow- nien standard sous la mesure Q. Donc, En vertu du principe de r´eflexion [Th´eor`eme 4], le processus f Xt est un mouvement Brow- nien standard sous la mesure Q. Donc, EQ " exp µXt −µ2 2 t ! 1{T X x ⩽t,Xt⩽y} # = EQ  eµ(2x−e Xt)−µ2 2 t1{T e X x ⩽t, e Xt⩾2x−y}  (1.95) = e2xµEQ  e−µ2 2 t−µ e Xt1{ e Xt⩾2x−y}  . (1.96) (1.95) (1.96) L’´egalit´e (1.96) est justifi´ee par le fait que l’´ev´enement {f Xt ⩾2x −y} est inclus dans l’´ev´enement {T e X x ⩽t} puisque 2x −y ⩾x. Soit bQ une nouvelle mesure de probabilit´e ´equivalente `a Q d´efinie par L’´egalit´e (1.96) est justifi´ee par le fait que l’´ev´enement {f Xt ⩾2x −y} est inclus dans l’´ev´enement {T e X x ⩽t} puisque 2x −y ⩾x. Soit bQ une nouvelle mesure de probabilit´e ´equivalente `a Q d´efinie par d bQ dQ Ft = exp " −µ2 2 t −µf Xt # . 1.4.3 Distribution jointe du mouvement Brownien arithm´etique et son maximum (1.97) (1.97) D’apr`es le Corollaire 3, le processus c Xt = µt+ f Xt, t ⩾0, est aussi un mouvement Brownien standard sous la mesure bQ. Ainsi, l’esp´erance dans (1.96) peut s’´ecrire comme D’apr`es le Corollaire 3, le processus c Xt = µt+ f Xt, t ⩾0, est aussi un mouvement Brownien standard sous la mesure bQ. Ainsi, l’esp´erance dans (1.96) peut s’´ecrire comme EQ  e−µ2 2 t−µ e Xt1{ e Xt⩾2x−y}  = EQ " d bQ dQ Ft 1{ b Xt−µt⩾2x−y} # (1.98) = bQ c Xt ⩾2x −y + µt  (1.99) = Φ y −2x −µt √ t ! . (1.100) (1.98) (1.99) 31 1.4. DISTRIBUTION DES INSTANTS DE PREMIER PASSAGE POUR UN MOUVEMENT BROWNIEN ARITHM´ETIQUE En rempla¸cant (1.100) dans (1.96), on obtient P (M µ t ⩾x, Xt ⩽y) = e2xµΦ y −2x −µt √ t ! (1.101) En rempla¸cant (1.100) dans (1.96), on obtient P (M µ t ⩾x, Xt ⩽y) = e2xµΦ y −2x −µt √ t ! (1.101) (1.101) Pour avoir le r´esultat attendu, il suffit de voir que P (M µ t ⩽x, Xt ⩽y) = P (Xt ⩽y) −P (M µ t ⩾x, Xt ⩽y) . (1.102) Pour avoir le r´esultat attendu, il suffit de voir que P (M µ t ⩽x, Xt ⩽y) = P (Xt ⩽y) −P (M µ t ⩾x, Xt ⩽y) . (1.102) P (M µ t ⩽x, Xt ⩽y) = P (Xt ⩽y) −P (M µ t ⩾x, Xt ⩽y) . P (M µ t ⩽x, Xt ⩽y) = P (Xt ⩽y) −P (M µ t ⩾x, Xt ⩽y) . (1.102) De plus, le processus Xt suit une distribution normale sous P, on a donc De plus, le processus Xt suit une distribution normale sous P, on a donc ! P (Xt ⩽y) = Φ y −µt √ t ! . (1.103) (1.103) Finalement, la formule (1.91) est obtenue en substituant (1.103) et (1.101) dans (1.102). Finalement, la formule (1.91) est obtenue en substituant (1.103) et (1.101) dans (1.102). Finalement, la formule (1.91) est obtenue en substituant (1.103) et (1.101) dans (1.102). 1.4.4 Distribution du maximum d’un mouvement Brownien arith- m´etique Proposition 7. Pour tout x ⩾0, on a P (M µ t ⩾x) = e2µxΦ −µt −x √ t ! + Φ µt −x √ t ! . (1.104) Proposition 7. Pour tout x ⩾0, on a ur tout x ⩾0, on a P (M µ t ⩾x) = e2µxΦ −µt −x √ t ! + Φ µt −x √ t ! . (1.104) (1.104) D´emonstration. Soit x ⩾0. Nous commen¸cons par d´ecomposer la distribution de M µ t comme P (M µ t ⩾x) = P (M µ t ⩾x, Xt ⩽x) + P (M µ t ⩾x, Xt ⩾x) . (1.105) P (M µ t ⩾x) = P (M µ t ⩾x, Xt ⩽x) + P (M µ t ⩾x, Xt ⩾x) . (1.105) Le premier terme dans (1.105) est obtenu en rempla¸cant y par x dans (1.101), quand `a Le premier terme dans (1.105) est obtenu en rempla¸cant y par x dans (1.101), quand `a celui de droite, il suffit de voir que P (M µ t ⩾x, Xt ⩾x) = P (Xt ⩾x) = Φ µt −x √ t ! . (1.106) (1.106) La premi`ere ´egalit´e dans (1.106) est dˆu au fait que, pour tout x ⩾0, l’´ev´enement {Xt ⩾x} est inclus dans {M µ t ⩾x}. Pour la derni`ere, elle vient de la formule (1.103). La premi`ere ´egalit´e dans (1.106) est dˆu au fait que, pour tout x ⩾0, l’´ev´enement {Xt ⩾x} est inclus dans {M µ t ⩾x}. Pour la derni`ere, elle vient de la formule (1.103). Proposition 8. Pour tout x ⩽0 et y ⩾x, on a P (mµ t ⩾x, Xt ⩾y) = e2µxΦ 2x −y + µt √ t ! . (1.107) (1.107) D´emonstration. Soit x ⩽0 et y ⩾x. La sym´etrie du mouvement Brownien standard Bt donne D´emonstration. Soit x ⩽0 et y ⩾x. La sym´etrie du mouvement Brownien standard Bt donne P (mµ t ⩽x, Xt ⩾y) = P  min 0⩽s⩽t(µs + Bs) ⩽x, µt + Bt ⩾y  (1.108) = P  max 0⩽s⩽t(−µs −Bs) ⩾−x, −µt −Bt ⩽−y  (1.109) = P  max 0⩽s⩽t(−µs + Bs) ⩾−x, −µt + Bt ⩽−y  (1.110) = P  M −µ t ⩾−x, X−µ t ⩽−y  (1.111) = e2xµΦ 2x −y + µt √ t ! , (1.112) √ ! o`u la derni`ere ´egalit´e vient de la formule (1.101). 32 1.4. Proposition 9. Pour tout x ⩽0, on a P (mµ t ⩽x) = Φ −µt + x √ t ! + e2µxΦ µt + x √ t ! . (1.113) (1.113) D´emonstration. La formule (1.113) r´esulte directement de la Proposition 8. D´emonstration. La formule (1.113) r´esulte directement de la Proposition 8. La distribution de probabilit´e de la v.a. T X a pour a < 0 est d´eduite `a partir de la formule (1.113) puisque pour tout t > 0 et a < 0, on a n T X a ⩽t o = n mµ t ⩽a o . (1.114) (1.114) Proposition 10. Soit µ ∈R et a > 0. Soit Xt un mouvement Brownien arithm´etique issu de z´ero de coefficient de d´erive µ. Alors, la densit´e de probabilit´e de l’instant de premier passage T X a = inf{t ⩾0 : Xt = a} est donn´ee par fT X a (t) = a √ 2πt3 exp −(a −µt)2 2t ! 1{t>0}. (1.115) (1.115) D´emonstration. Soit µ ∈R et a > 0, on a P  T X a ⩽t  = P (M µ t ⩾a) (1.116) = e2µaΦ −µt −a √ t ! + Φ µt −a √ t ! . (1.117) oit µ ∈R et a > 0, on a P  T X a ⩽t  = P (M µ t ⩾a) (1.116) = e2µaΦ −µt −a √ t ! + Φ µt −a √ t ! . (1.117) (1.116) (1.117) Pour obtenir la formule (1.115), il suffit de calculer la d´eriv´e de (1.117) par rapport `a t. Pour obtenir la formule (1.115), il suffit de calculer la d´eriv´e de (1.117) par rapport `a t. Remarque 6. Pour µ > 0 et a > 0, la v.a. T X a suit une distribution inverse-gaussienne [voir Annexe A en page 87] d’esp´erance a/µ et de param`etre de forme a2. 0.0 0.2 0.4 0.6 0.8 1.0 −4 −2 0 2 4 t Xt MBA y=t 0.0 0.2 0.4 0.6 0.8 1.0 −4 −2 0 2 4 t Xt MBA y=−t Figure 1.12 – Impact du changement du signe de la d´erive sur l’instant de premier passage pour un mouvement Brownien arithm´etique. 1.4.4 Distribution du maximum d’un mouvement Brownien arith- m´etique DISTRIBUTION DES INSTANTS DE PREMIER PASSAGE POUR UN MOUVEMENT BROWNIEN ARITHM´ETIQUE Proposition 9. Pour tout x ⩽0, on a Proposition 9. Pour tout x ⩽0, on a 0.0 0.2 0.4 0.6 0.8 1.0 −4 −2 0 2 4 t Xt MBA y=−t 0.0 0.2 0.4 0.6 0.8 1.0 −4 −2 0 2 4 t Xt MBA y=t Figure 1.12 – Impact du changement du signe de la d´erive sur l’instant de premier passage pour un mouvement Brownien arithm´etique. 33 1.4. DISTRIBUTION DES INSTANTS DE PREMIER PASSAGE POUR UN MOUVEMENT BROWNIEN ARITHM´ETIQUE `A partir de (1.117) nous pouvons voir que, si µ < 0, on a P(T X a < ∞) = e2µa < 1. Autrement dit, si la d´erive du processus Xt est strictement n´egative on aura des trajec- toires descendantes et donc la probabilit´e d’atteindre un seuil positive n’est pas ´egale `a 1. Pour µ > 0, on obtient P(T X a < ∞) = 1. En effet, pour une d´erive strictement po- sitive les trajectoires seront ascendantes ce qui rend la v.a. T X a presque sˆurement finie. La Figure 1.12 illustre comment le signe du coefficient de d´erive agit sur l’orientation des trajectoires du mouvement Brownien arithm´etique et par cons´equent sur les instants de premier passage au seuil a. Dans la Figure 1.12, nous simulons avec l’Algorithme 3, un flux de N = 100 trajectoires d’un mouvement Brownien arithm´etique (MBA) avec n = 1000 points de r´ealisations par trajectoire. Sur le panel de gauche le coefficient de d´erive est ´egale `a µ = 1, sur celui de droite il vaut `a -1. Nous remarquons que les trajectoires du MBA ont plus de chance d’atteindre un certain niveau (en particulier a = +2 et a = −2) si ce dernier a le mˆeme signe que µ. Une fa¸con analogue pour obtenir la distribution de la v.a. T X a consiste `a utiliser la martingale (1.31). Pour tout a ∈R⋆, on ´ecrit Une fa¸con analogue pour obtenir la distribution de la v.a. T X a consiste `a utiliser la martingale (1.31). Pour tout a ∈R⋆, on ´ecrit P  T X a ⩽t  = EQ  eµXt−µ2 2 t1{Ta⩽t}  (1.118) = EQ  EQ  eµXt−µ2 2 t1{Ta⩽t}|FTa  (1.119) = EQ  1{Ta⩽t}EQ  eµXt−µ2 2 t|FTa  (1.120) = EQ  1{Ta⩽t}eµXTa−µ2 2 Ta  (1.121) = eµaEQ  1{Ta⩽t}e−µ2 2 Ta  (1.122) = eµa Z t 0 e−µ2 2 s |a| √ 2πs3 exp −a2 2s !! 16. Pour X et Y deux variables al´eatoires, on peut ´ecrire que E(X) = E(E(X|Y )). Proposition 9. Pour tout x ⩽0, on a ds (1.123) = Z t 0 |a| √ 2πt3 exp −(a −µs)2 2t ! ds. (1.124) (1.118) (1.124) L’´egalit´e (1.118) est dˆu au Corollaire 3, o`u Xt est un mouvement Brownien standard sous la mesure Q. Pour l’´egalit´e (1.119), elle vient de la propri´et´e de l’esp´erance condition- nelle. 16D’autre part, l’´egalit´e (1.120) est dˆu au fait que 1{Ta⩽t} est une v.a. FTa-mesurable, quand `a l’´egalit´e (1.121), elle est vraie sur {Ta ⩽t} car le processus (1.31) est une Ft- martingale. Il reste `a calculer l’esp´erance en faisant usage de la densit´e de v.a. Ta d´efinie par la formule (1.69). Finalement, on obtient la densit´e de T X a pour tout a ̸= 0 en d´erivant (1.124) par rapport `a t. Cette fonction de densit´e est donn´ee par fT X a (t) = |a| √ 2πt3 exp −(a −µt)2 2t ! 1{t>0}, a ̸= 0. (1.125) (1.125) 34 1.4. DISTRIBUTION DES INSTANTS DE PREMIER PASSAGE POUR UN MOUVEMENT BROWNIEN ARITHM´ETIQUE 1.4.5 Simulation Monte-Carlo des instants de premier passage pour un mouvement Brownien arithm´etique La simulation d’une trajectoire du processus Xt = µt + Bt sur un intervalle [0, T] se fait `a l’aide de l’algorithme suivant : Algorithm 3 Simulation du mouvement Brownien arithm´etique 1: G´en´erer un ´echantillon (Zt0, Zt1, . . . , Ztn) de n variables al´eatoires i.i.d. de loi N(0, 1 1: G´en´erer un ´echantillon (Zt0, Zt1, . . . , Ztn) de n variables al´eatoires i.i.d. de loi N(0, 1). 2: Poser ∆t := T/n, X(t0) := 0 et µ ∈R. 1: G´en´erer un ´echantillon (Zt0, Zt1, . . . , Ztn) de n variables al´eato ( 0 1 n) 2: Poser ∆t := T/n, X(t0) := 0 et µ ∈R. / ( ) µ 3: Pour i de 1 `a n faire X(ti) := X(ti−1) + µ∆t + √ ∆tZ(ti−1). / ( ) µ 3: Pour i de 1 `a n faire X(ti) := X(ti−1) + µ∆t + √ ∆tZ(ti−1). 4: Retourner les valeurs Xt0, Xt1, . . . , Xtn. Nous simulons avec l’Algorithme 3, un flux de N = 1000 trajectoires d’un mouvement Brownien arithm´etique sur l’intervalle de temps [0, 1] avec n = 1000 points de r´ealisations par trajectoire. Nous obtenons par la suite un ´echantillon de taille N des r´ealisations de la v.a. T X a sur l’intervalle de temps [0, 1]. L’histogramme de cet ´echantillon est trac´e dans la Figure 1.13 ainsi que la courbe de la densit´e de T X a qui est de loi inverse gaussienne. Figure 1.13 – Comparaison entre la courbe de la densit´e fT X a et l’histogramme de l’´echantillon des T X a Figure 1.13 – Comparaison entre la courbe de la densit´e fT X a et l’histogramme de l’´echantillon des T X a 35 1.5. DISTRIBUTION DES INSTANTS DE PREMIER PASSAGE POUR UN MOUVEMENT BROWNIEN G´EOM´ETRIQUE Int´egrale d’Itˆo Avant de d´efinir l’int´egrale d’Itˆo nous commen¸cons par rappeler l’int´egration classique dite de Riemann. Soit g une fonction int´egrable sur l’intervalle [a, b], a < b, `a valeurs dans R. Alors, on a Z b a g(t)dt = lim n→+∞ b −a n n−1 X i=0 g a + ib −a n ! . (1.126) (1.126) Comme nous allons le voir, l’int´egrale d’Itˆo sera d´efinie d’une mani`ere diff´erente de l’in- t´egrale de Riemann (1.126). La diff´erence fondamentale est que, l’int´egrale d’Itˆo est prise par rapport aux incr´ements infinit´esimaux dBt du mouvement Brownien standard Bt, qui sont des variables al´eatoires normale, tandis que dans Riemann on consid`ere l’int´egra- tion par rapport aux changements d´eterministes infinit´esimaux dt. Nous pouvons donc d´ej`a dire que, dans le cas d’une int´egrale d’Itˆo, le r´esultat est une v.a. contrairement `a l’int´egrale de Riemann qui est une constante r´eelle. Cependant, nous verrons qu’il existe plusieurs propri´et´es communes entre ces deux classes d’int´egrales. On consid`ere un mouvement Brownien standard Bt d´efini sur (Ω, F, (Ft)t≥0, P), ou Ft est sa filtration naturelle. Soit Xt = f(t, Bt) un processus stochastique de carr´e int´egrable, E "Z b a X2 t dt # < ∞. (1.127) (1.127) On appelle une int´egrale d’Itˆo du processus Xt par rapport au mouvement Brownien Bt, la v.a. suivante Z b On appelle une int´egrale d’Itˆo du processus Xt par rapport au mouvement Brownien Bt, la v.a. suivante b Z b a XtdBt. (1.128) (1.128) Afin de donner un sens `a (1.128), nous commen¸cons par construire une subdivisons de l’intervalle de temps [a, b] en n points temporels, a = t0 < t1 < · · · < tn−1 < tn = b. Soit Sn la somme partielle d´efinie par Soit Sn la somme partielle d´efinie par Sn = n−1 X i=0 Xti(Bti+1 −Bti). (1.129) (1.129) Il est important de noter que le choix de la partition n’influence pas la valeur de l’int´egrale d’Itˆo. C’est la raison pour laquelle, en pratique, il suffit de supposer que les intervalles sont ´equidistants, c’est-`a-dire que le pas de subdivision est constant et vaut `a Il est important de noter que le choix de la partition n’influence pas la valeur de l’int´egrale d’Itˆo. Int´egrale d’Itˆo C’est la raison pour laquelle, en pratique, il suffit de supposer que les intervalles sont ´equidistants, c’est-`a-dire que le pas de subdivision est constant et vaut `a ∆t = ti+1 −ti = b −a n , i = 0, 1, . . . , n −1. ∆t = ti+1 −ti = b −a n , i = 0, 1, . . . , n −1. 36 1.5. DISTRIBUTION DES INSTANTS DE PREMIER PASSAGE POUR UN MOUVEMENT BROWNIEN G´EOM´ETRIQUE Comme le processus Xt est Ft-adapt´e, les v.a.s Xti et Bti+1 −Bti sont toujours ind´e- pendantes. L’int´egrale (1.128) est d´efini comme ´etant la limite des somme partielles Sn lorsque n tend vers l’infinie, Z b a XtdBt = lim n→+∞Sn. (1.130) (1.130) La limite (1.130) existe si le processus Xt satisfait les conditions suivantes : (C1) Le processus Xt est Ft-adapt´e pour tout t ∈[a, b]. C2) E hR b a X2 t dt i < ∞. (C3) Les trajectoires t 7→Xt(ω) sont continues sur [a, b] pour tout ensemble ω ∈ (C3) Les trajectoires t 7→Xt(ω) sont continues sur [a, b] pour tout ensemble ω ∈Ω. (C3) Les trajectoires t 7→Xt(ω) sont continues sur [a, b] pour tout ensemble ω ∈Ω. Exemple 4. Soit α ∈R. On a Exemple 4. Soit α ∈R. On a Exemple 4. Soit α ∈R. On a Z b a αdBt = lim n→+∞Sn, (1.131) (1.131) o`u o`u o`u Sn = n−1 X i=0 α(Bti+1 −Bti) (1.132) = α n (Bt1 −Bt0) + (Bt2 −Bt1) + · · · + (Btn−1 −Btn−2) + (Btn −Btn−1) o (1.133) = α(Btn −Bt0) (1.134) = α(Bb −Ba). (1.135) −1 X =0 α(Bti+1 −Bti) (1.132) Donc, Z b Donc, Donc, Z b a αdBt = α(Bb −Ba). (1.136) En particulier, pour α = 1, a = 0, b = T, nous avons Z b a αdBt = α(Bb −Ba). (1.136) Z a ( ) ( ) En particulier, pour α = 1, a = 0, b = T, nous avons En particulier, pour α = 1, a = 0, b = T, nous avons Z T 0 dBt = BT, T < ∞. (1.137) (1.137) Il est facile de voir que la v.a. R T 0 αdBt est gaussienne de moyenne nulle et de variance ´egale `a T. Il est facile de voir que la v.a. Int´egrale d’Itˆo DISTRIBUTION DES INSTANTS DE PREMIER PASSAGE POUR UN MOUVEMENT BROWNIEN G´EOM´ETRIQUE Ainsi, on a Z T 0 BtdBt = 1 2(B2 T −T), T < ∞. (1.153) Ainsi, on a Z T 0 BtdBt = 1 2(B2 T −T), T < ∞. (1.153) (1.153) De fa¸con g´en´erale, le formule d’int´egration est donn´ee par Z b a BtdBt = 1 2(B2 b −B2 a) −1 2(b −a). (1.154) (1.154) Proposition 11. Soit Xt = f(t, Bt) et Yt = g(t, Bt) deux processus stochastiques v´erifiant les conditions (C1), (C2) et (C3). Alors, on a 1) (Lin´earit´e) R t 0 Xs + αYsdBs = R t 0 XsdBs + α R t 0 YsdBs, α ∈R. 1) (Lin´earit´e) R t 0 Xs + αYsdBs = R t 0 XsdBs + α R t 0 YsdBs, α ∈R. 2) (Additivit´e) R t 0 XsdBs = R u 0 XsdBs + R t u XsdBs, pour tout 0 < u < t. 3) (Processus centr´e) E R t 0 XsdBs  = 0. 4) (Isom´etrie d’Itˆo) E R t 0 XsdBs 2 = E hR t 0 X2 sds i . 5) (Covariance) E hR t 0 XsdBs R t 0 YsdBs i = E hR t 0 XsYsds i . stration. Voir [Calin, 2015] D´emonstration. Voir [Calin, 2015] D´emonstration. Voir [Calin, 2015] D´emonstration. Voir [Calin, 2015] D´emonstration. Voir [Calin, 2015] D´emonstration. Voir [Calin, 2015] Proposition 12. Soit Xt un processus v´erifiant les conditions (C1), (C2) et (C3). Alors, le processus stochastique Z t It = Z t 0 XsdBs, t ⩾0, (1.155) (1.155) D´emonstration. Le processus It est Ft-mesurable, il est aussi de carr´e int´egrable puisque, D´emonstration. Le processus It est Ft-mesurable, il est aussi de carr´e int´egrable puisque, E[I2 t ] = E "Z t 0 XsdBs 2# (1.156) = E Z t 0 X2 sds  (1.157) < ∞. (1.158) (1.156) (1.158) L’isom´etrie d’Itˆo 4) permet de justifier l’´egalit´e (1.157), quant `a l’in´egalit´e (1.158), elle est dˆu `a la condition (C2). Il reste donc `a v´erifier la propri´et´e c) de l’esp´erance conditionnelle. Pour tout s < t, on a L’isom´etrie d’Itˆo 4) permet de justifier l’´egalit´e (1.157), quant `a l’in´egalit´e (1.158), elle est dˆu `a la condition (C2). Il reste donc `a v´erifier la propri´et´e c) de l’esp´erance conditionnelle. Int´egrale d’Itˆo R T 0 αdBt est gaussienne de moyenne nulle et de variance ´egale `a T. Exemple 5. Soit l’int´egrale d’Itˆo suivante : Z T 0 BtdBt. (1.138) (1.138) Afin de calculer (1.138), nous commen¸cons par construire une subdivision de l’intervalle [0, T] en n points temporels, 0 = t0 < t1 < · · · < tn−1 < tn = T, ti = i∆t avec ∆= T/n. Les sommes partielles sont donn´ees par Sn = n−1 X i=0 Bti(Bti+1 −Bti). (1.139) (1.139) D’une part, on peut ´ecrire que Bti(Bti+1 −Bti) = 1 2(B2 ti+1 −B2 ti −(Bti+1 −Bti)2). 37 1.5. DISTRIBUTION DES INSTANTS DE PREMIER PASSAGE POUR UN MOUVEMENT BROWNIEN G´EOM´ETRIQUE Au passage `a la somme, on aura Au passage `a la somme, on aura Au passage `a la somme, on aura Sn = 1 2 n−1 X i=0 B2 ti+1 −1 2 n−1 X i=0 B2 ti −1 2 n−1 X i=0 (Bti+1 −Bti)2 (1.140) = 1 2B2 tn −1 2 n−1 X i=0 (Bti+1 −Bti)2 (1.141) = 1 2B2 T −1 2 n−1 X i=0 (Bti+1 −Bti)2. (1.142) (1.142) Pour calculer le terme de droite dans (1.142), nous proc´edons comme suit : Soit Xn une v.a. d´efinie par n 1 Pour calculer le terme de droite dans (1.142), nous proc´edons comme suit : Soit Xn une v.a. d´efinie par 1 Pour calculer le terme de droite dans (1.142), nous proc´edons comme suit : Soit Xn une v.a. d´efinie par n 1 Xn = n−1 X i=0 (Bti+1 −Bti)2. (1.143) (1.143) Comme les accroissement du mouvement Brownien standard Bt sont ind´ependants [Pro- pri´et´e ii)], on a E(Xn) = n−1 X i=0 E h (Bti+1 −Bti)2i (1.144) = n−1 X i=0 (ti+1 −ti) (1.145) = tn −t0 (1.146) = T, (1.147) (1.144) (1.145) et V ar(Xn) = n−1 X i=0 V ar h (Bti+1 −Bti)2i (1.148) = n−1 X i=0 2(ti+1 −ti)2 (1.149) = 2n∆t2 (1.150) = 2n T n 2 (1.151) = 2T 2 n . (1.152) Puisque on a Puisque on a lim n→+∞V ar(Xn) = 0, et E(Xn) = T. et E(Xn) = T. Donc, T est un estimateur sans biais et convergent de Xn. Autrement dit, Donc, T est un estimateur sans biais et convergent de Xn. Autrement dit, lim n→+∞Xn = T. lim n→+∞Xn = T. 38 1.5. Int´egrale d’Itˆo Pour tout s < t, on a E[It|Fs] = E Z t 0 XudBu|Fs  (1.159) = E Z s 0 XudBu + Z t s XudBu|Fs  (1.160) = E Z s 0 XudBu|Fs  + E Z t s XudBu|Fs  (1.161) = Z s 0 XudBu + E Z t s XudBu  (1.162) = Z s 0 XudBu (1.163) = Is. (1.164) (1.159) 39 1.5. DISTRIBUTION DES INSTANTS DE PREMIER PASSAGE POUR UN MOUVEMENT BROWNIEN G´EOM´ETRIQUE L’´egalit´e (1.160) provient de la propri´et´e d’additivit´e 2), quant `a (1.161), elle est dˆu `a la lin´earit´e de l’int´egrale stochastique. Par ailleurs, l’´egalit´e (1.162) est justifi´ee par le fait que, d’une part, la v.a. R s 0 XudBu est Fs-mesurable, et d’autre part, la v.a. R t s XudBu est ind´ependante de Fs. 17 Finalement, avec la propri´et´e 3), on a E hR t s XudBu i = 0. Int´egrale de Wiener Nous allons voir maintenant un cas particulier des int´egrales stochastiques qui est l’int´egrale de Wiener. Cette classe d’int´egrale s’´ecrit comme Z t 0 f(s)dBs, t ⩾0, (1.165) (1.165) o`u f est une fonction d´eterministe sur L2([0, t]) et Bt est un mouvement Brownien stan- dard. 18 Comme dans le cas des int´egrales d’Itˆo, l’int´egrale de Wiener (1.166) peut ˆetre repr´esent´e comme limite des sommes partielles, o`u f est une fonction d´eterministe sur L2([0, t]) et Bt est un mouvement Brownien stan- dard. 18 Comme dans le cas des int´egrales d’Itˆo, l’int´egrale de Wiener (1.166) peut ˆetre repr´esent´e comme limite des sommes partielles, Z t 0 f(s)dBs = lim n→+∞ n−1 X i=0 f(ti)(Bti+1 −Bti). (1.166) (1.166) Les propri´et´es des int´egrales stochastiques que nous venons de voir sont tous valable pour l’int´egrale de Wiener `a condition que la fonction f soit dans L2. En particulier, la formule d’int´egration par parties suivante qui est tr`es pratique, Les propri´et´es des int´egrales stochastiques que nous venons de voir sont tous valable pour l’int´egrale de Wiener `a condition que la fonction f soit dans L2. En particulier, la formule d’int´egration par parties suivante qui est tr`es pratique, Z t 0 f(s)dBs = f(t)Bt − Z t 0 Bsdf(s). (1.167) (1.167) Proposition 13. Soit le processus (It)t⩾0 d´efini par Proposition 13. Soit le processus (It)t⩾0 d´efini par It = Z t 0 f(s)dBs, (1.168) It = Z t 0 f(s)dBs, (1.168) (1.168) o`u f ∈L2([0, t]). Alors, on a It ∼N  0, Z t 0 f(s)2ds  (1.169) (1.169) D´emonstration. Les accroissements du mouvement Brownien Bt sont i.i.d. de loi gaus- sienne. Donc, pour tout i ∈{0, 1, . . . , n −1}, on a D´emonstration. Les accroissements du mouvement Brownien Bt sont i.i.d. de loi gaus- sienne. Donc, pour tout i ∈{0, 1, . . . , n −1}, on a f(ti)(Bti+1 −Bti) ∼N  0, f(ti)2(ti+1 −ti)  . (1.170) (1.170) De plus, la somme de variables al´eatoires ind´ependantes et normalement distribu´ee est une variable normale. Ainsi, Sn = n−1 X i=0 f(ti)(Bti+1 −Bti) ∼N 0, n−1 X i=0 f(ti)2(ti+1 −ti) ! . (1.171) (1.171) Il reste `a faire tendre n vers +∞pour obtenir le r´esultat attendu. Il reste `a faire tendre n vers +∞pour obtenir le r´esultat attendu. Il reste `a faire tendre n vers +∞pour obtenir le r´esultat attendu. 17. La filtration Fs contient toute l’information g´en´er´e par le mouvement Brownien Bt de 0 jusqu’`a s, quand `a l’int´egrale R t s XudBu, elle d´epend uniquement de l’information disponible de s `a t et non pas de celle g´en´er´e avant la date s. 2 18. Nous notons par L2([a, b]) l’espace des fonctions f qui sont d´efinie sur [a, b] `a valeurs dans R v´erifiant la condition qR b a |f(s)|2ds < ∞. Cette ensemble est appel´e ensemble des fonctions de carr´e int´egrable. 40 1.5. DISTRIBUTION DES INSTANTS DE PREMIER PASSAGE POUR UN MOUVEMENT BROWNIEN G´EOM´ETRIQUE Exemple 6 (Aire sous la courbe Brownienne). Soit le processus (At)t⩾0 d´efini par At = Z t 0 Bsds. (1.172) (1.172) Le processus gaussien At mesure l’aire sous la courbe d’un mouvement Brownien stan- dard Bt pendant l’intervalle de temps [0, t]. Pour t fix´e, la v.a. At est continue car elle d´epend des trajectoires continues de Bt. Par ailleurs, si l’int´egration se fait uniquement sur la partie positive du mouvement Brownien, c’est-`a-dire, sur le processus |Bt|. Alors, les trajectoires t 7→At(ω), ω ∈Ω, seront des fonctions croissantes par rapport au temps. Le processus (1.172) admet une moyenne nulle, E(At) = 0 par lin´earit´e de l’esp´erance. Pour calculer sa variance, il suffit de voir que At est une int´egrale de Wiener. En effet, avec la formule d’int´egration (1.167), on obtient At = tBt − Z t 0 sdBs (1.173) = t Z t 0 dBs − Z t 0 sdBs (1.174) = Z t 0 (t −s)dBs, (1.175) (1.175) o`u l’´egalit´e (1.174) est dˆu `a la formule (1.136). Il s’agit donc d’une int´egrale de Wiener dont la variance est calcul´ee par la propri´et´e de l’isom´etrie d’Itˆo 4), o`u l’´egalit´e (1.174) est dˆu `a la formule (1.136). Il s’agit donc d’une int´egrale de Wiener dont la variance est calcul´ee par la propri´et´e de l’isom´etrie d’Itˆo 4), V ar(A2 t) = E(A2 t) (1.176) = E "Z t 0 (t −s)dBs 2# (1.177) = E Z t 0 (t −s)2ds  (1.178) = Z t 0 (t −s)2ds (1.179) = t3 3 . (1.180) (1.176) En litt´erature, le processus (1.172) est souvent consid´er´e dans le cas g´en´eral o`u l’int´egra- tion se fait par rapport `a un mouvement Brownien arithm´etique Xt issu d’un point x > 0 avec une d´erive µ > 0, c’est-`a-dire, Xt = x + µt + Bt, t ⩾0. Processus d’Itˆo D´efinition 12. Un processus d’Itˆo est un processus stochastique Xt d´efini sur l’espace (Ω, F, (Ft)t⩾0, P) `a valeur dans R dont la structure peut ˆetre d´ecompos´ee ainsi D´efinition 12. Un processus d’Itˆo est un processus stochastique Xt d´efini sur l’espace (Ω, F, (Ft)t⩾0, P) `a valeur dans R dont la structure peut ˆetre d´ecompos´ee ainsi Xt = X0 + Z t 0 µsds + Z t 0 σsdBs, t ⩾0, (1.182) ll (1.182) ou sous forme diff´erentielle dXt = µtdt + σtdBt, (1.183) dXt = µtdt + σtdBt, (1.183) o`u X0 est F0-mesurable, µt et σt sont deux processus Ft-adapt´es v´erifiant les conditions de r´egularit´e suivantes  t  o`u X0 est F0-mesurable, µt et σt sont deux processus Ft-adapt´es v´erifiant les conditions de r´egularit´e suivantes  t  P Z t 0 |µs|ds < ∞  = 1, (1.184) P Z t 0 σ2 sds < ∞  = 1. (1.185) (1.184) et P Z t 0 σ2 sds < ∞  = 1. (1.185) (1.185) Le processus µt est appel´e la d´erive ou le drift, quand `a σt, il est connu sous le nom de coefficient de diffusion ou coefficient de volatilit´e. Un processus d’Itˆo est donc caract´eris´e par ces deux coefficients µt et σt. Il est important de noter que, les processus µt et σt sont des fonctions du temps t et de l’´etat du processus Xt. Formellement, pour (t, x) ∈R+ × R, on a µt ≡µ(t, x) = lim h→0 E(Xt+h −Xt|Xt = x) h , (1.186) σt ≡µ(t, x) = lim h→0 E((Xt+h −Xt)2|Xt = x) h . (1.187) µt ≡µ(t, x) = lim h→0 E(Xt+h −Xt|Xt = x) h , (1.186) (1.186) et σt ≡µ(t, x) = lim h→0 E((Xt+h −Xt)2|Xt = x) h . (1.187) (1.187) Dans (1.182), si µt et σt ne d´ependent pas du temps t, alors le processus Xt est dit homog`ene. De plus, si une solution de l’´equation (1.183) existe. Alors, il s’agit d’un processus de diffusion, d’o`u l’appellation ´equation de diffusion. Dans (1.182), si µt et σt ne d´ependent pas du temps t, alors le processus Xt est dit homog`ene. De plus, si une solution de l’´equation (1.183) existe. Alors, il s’agit d’un processus de diffusion, d’o`u l’appellation ´equation de diffusion. Exemple 7. Il reste `a faire tendre n vers +∞pour obtenir le r´esultat attendu. Nous appelons par instant de premi`ere surface pour le processus Xt, la v.a. d´efinie par AT X a = Z T X a 0 Xsds, (1.181) (1.181) o`u a ∈R et T X a est l’instant de premier passage au niveau a par le processus Xt. La Figure 1.14 illustre une r´ealisation de la variable AT X a `a partir d’une trajectoire du processus Xt avec x = 1, µ = 0.5 et a = 1.65. La distribution de probabilit´e de (1.181) est ´etudi´ee dans [Kearney et Majumdar, 2005], quant `a la distribution jointe du couple (AT X a , T X a ), elle est calcul´ee par Abundo et Vescovo [2017] dans le cas o`u µ < 0. o`u a ∈R et T X a est l’instant de premier passage au niveau a par le processus Xt. La Figure 1.14 illustre une r´ealisation de la variable AT X a `a partir d’une trajectoire du processus Xt avec x = 1, µ = 0.5 et a = 1.65. La distribution de probabilit´e de (1.181) est ´etudi´ee dans [Kearney et Majumdar, 2005], quant `a la distribution jointe du couple (AT X a , T X a ), elle est calcul´ee par Abundo et Vescovo [2017] dans le cas o`u µ < 0. 41 41 1.5. DISTRIBUTION DES INSTANTS DE PREMIER PASSAGE POUR UN MOUVEMENT BROWNIEN G´EOM´ETRIQUE Figure 1.14 – Instant de premi`ere surface d’un mouvement Brownien arithm´etique Figure 1.14 – Instant de premi`ere surface d’un mouvement Brownien arithm´etique Processus d’Itˆo Le mouvement Brownien arithm´etique de d´erive µ est un processus d’Itˆo dont l’´equation diff´erentielle stochastique est donn´ee par dXt = µdt + dBt, (1.188) (1.188) e coefficient d´erive de ce processus est ´egale `a µ et celui de la diffusion vaut `a 1. o`u le coefficient d´erive de ce processus est ´egale `a µ et celui de la diffusion vaut `a 1. 42 1.5. DISTRIBUTION DES INSTANTS DE PREMIER PASSAGE POUR UN MOUVEMENT BROWNIEN G´EOM´ETRIQUE Formule d’Itˆo Lemme 1.1 (Itˆo [1944]). Soit (Xt)t⩾0 un processus d’Itˆo v´erifiant (1.182). Alors, pour toute fonction f ∈C1,2(R+, R), le processus stochastique f(t, Xt) est aussi un processus d’Itˆo dont la dynamique est donn´ee par df(t, Xt) = ∂f(t, Xt) ∂t + µt ∂f(t, Xt) ∂x + 1 2σ2 t ∂2f(t, Xt) ∂x2 ! dt + σt ∂f(t, Xt) ∂x dBt. (1.189) D´emonstration. Voir le livre de Steele [2012]. D´emonstration. Voir le livre de Steele [2012]. D´emonstration. Voir le livre de Steele [2012]. Exemple 8 (Processus de Uhlenbeck et Ornstein [1930]). Soit l’´equation diff´erentielle stochastique suivante dXt = −θXtdt + σdBt, (1.190) (1.190) o`u θ > 0 et σ > 0 deux param`etres d´eterministes. Afin de r´esoudre l’´equation (1.190), nous appliquons la formule d’Itˆo (1.189) `a la fonction f qui est d´efinie par f(t, x) = xeθt, (1.191) f(t, x) = xeθt, (1.191) cette fonction admet des d´eriv´ees partielles. Pour tout (t, x) ∈(R+, R), on a cette fonction admet des d´eriv´ees partielles. Pour tout (t, x) ∈(R+, R), on a ∂f ∂t (t, x) = θxeθt, ∂f ∂x(t, x) = eθt, ∂2f ∂x2 (t, x) = 0. Avec la formule d’Itˆo, la diff´erentielle de f(t, Xt) s’´ecrit comme Avec la formule d’Itˆo, la diff´erentielle de f(t, Xt) s’´ecrit comme df( X ) θtdB Avec la formule d’Itˆo, la diff´erentielle de f(t, Xt) s’´ecrit comme df(t, Xt) = σeθtdBt. (1.192) Avec la formule d’Itˆo, la diff´erentielle de f(t, Xt) s’´ecrit comme df(t, Xt) = σeθtdBt. (1.192) df(t, Xt) = σeθtdBt. (1.192) (1.192) En int´egrant (1.192) de 0 `a t, on obtient En int´egrant (1.192) de 0 `a t, on obtient En int´egrant (1.192) de 0 `a t, on obtient Xteθt = X0 + σ Z t 0 eθsdBs, (1.193) (1.193) et donc, et donc, Xt = X0e−θt + σ Z t 0 eθ(s−t)dBs. (1.194) (1.194) Le processus (1.194) est connu sous le nom de processus de Ornstein-Uhlenbeck, ce dernier est tr`es appliqu´e en finance notamment pour ces propri´et´es th´eoriques. Le proces- sus (1.194) est un processus gaussien avec, Le processus (1.194) est connu sous le nom de processus de Ornstein-Uhlenbeck, ce dernier est tr`es appliqu´e en finance notamment pour ces propri´et´es th´eoriques. Le proces- sus (1.194) est un processus gaussien avec, E(Xt) = X0e−θt, (1.195) (1.195) et V ar(Xt) = σ2V ar Z t 0 eθ(s−t)dBs  (1.196) = σ2E Z t 0 e2θ(s−t)ds  (1.197) = σ2 Z t 0 e2θ(s−t)ds (1.198) = σ2 2θ  1 −e−2θt , (1.199) 43 1.5. DISTRIBUTION DES INSTANTS DE PREMIER PASSAGE POUR UN MOUVEMENT BROWNIEN G´EOM´ETRIQUE o`u l’´egalit´e (1.197) provient de la propri´et´e d’isom´etrie d’Itˆo 4). On peut observer que lorsque t devient grand (long-terme), la moyenne (1.195) converge vers z´ero. Cette caract´eristique classe le processus de Ornstein-Uhlenbeck parmi la cat´ego- rie de processus avec retour `a la moyenne ou mean-reverting process. D’autre part, la distribution des instants de premier passage pour le processus de Ornstein-Uhlenbeck n’est pas connue en g´en´erale. En particulier, pour le cas de l’instant de premier passage au niveau z´ero T OU 0 associ´e au processus (1.193) avec X0 > 0, θ > 0 et σ = 1, il existe une formule sous forme ferm´ee de la densit´e de T OU 0 (voir, Alili et al. [2005]). Exemple 9 (Pont de diffusion). Soit Xt un processus stochastique solution de l’EDS suivante p suivante dXt = b −Xt T −t dt + dBt avec X0 = a, 0 ⩽t < T, (1.200) (1.200) o`u (a, b) ∈R2. Afin de trouver une solution de (1.200), nous consid´erons une fonction f d´efinie par b f(t, x) = b −x T −t, (1.201) (1.201) et dont les d´eriv´ees partielles sont donn´ees par ∂f ∂t (t, x) = b −x (T −t)2, ∂f ∂x(t, x) = −1 T −t, ∂2f ∂x2 (t, x) = 0. En appliquant la formule d’Itˆo (1.189) `a la fonction f(t, Xt), on obtient uant la formule d’Itˆo (1.189) `a la fonction f(t, Xt), on obtient df(t, Xt) = ∂f ∂t (t, Xt) + b −Xt T −t ! ∂f ∂x(t, Xt) + 1 2 ∂2f ∂x2 (t, Xt) ! dt −dBt T −t (1.202) = b −Xt (T −t)2 + b −Xt T −t !  −1 T −t  + 0 ! dt −dBt T −t (1.203) = −dBt T −t. (1.204) = −dBt T −t. (1.204) Apr`es int´egration, on aura Apr`es int´egration, on aura Apr`es int´egration, on aura f(t, Xt) = f(0, X0) − Z t 0 dBs T −s, et donc b −Xt T −t = b −a T − Z t 0 dBs T −s, d’ ` et donc b −Xt T −t = b −a T − Z t 0 dBs T −s, d’o`u Xt = b −T −t T (b −a) + (T −t) Z t 0 dBs T −s. o`u l’´egalit´e (1.197) provient de la propri´et´e d’isom´etrie d’Itˆo 4). (1.205) et donc et donc b −Xt T −t = b −a T − Z t 0 dBs T −s, d’o`u Xt = b −T −t T (b −a) + (T −t) Z t 0 dBs T −s. (1.205) (1.205) Le processus (1.205) est appel´e pont Brownien ou pont de diffusion associ´e `a l’´equa- tion diff´erentielle stochastique (1.200). Il s’agit d’un mouvement Brownien qui est condi- tionn´e par X0 = a et XT = b (voir Figure 1.15). La distribution des instants de premier passage pour cette classe de processus est ´etudi´e dans [Kacef et Hanifi, 2014]. Le processus (1.205) est appel´e pont Brownien ou pont de diffusion associ´e `a l’´equa- tion diff´erentielle stochastique (1.200). Il s’agit d’un mouvement Brownien qui est condi- tionn´e par X0 = a et XT = b (voir Figure 1.15). La distribution des instants de premier passage pour cette classe de processus est ´etudi´e dans [Kacef et Hanifi, 2014]. 44 1.5. DISTRIBUTION DES INSTANTS DE PREMIER PASSAGE POUR UN MOUVEMENT BROWNIEN G´EOM´ETRIQUE 0.0 0.2 0.4 0.6 0.8 1.0 −2 −1 0 1 2 Temps Xt Figure 1.15 – Flux de 10 trajectoires d’un pont Brownien Xt avec X0 = −1 et X1 = 1. Notes : Le nombre de r´ealisations par trajectoires est n = 100. 0.0 0.2 0.4 0.6 0.8 1.0 −2 −1 0 1 2 Temps Xt Figure 1.15 – Flux de 10 trajectoires d’un pont Brownien Xt avec X0 = −1 et X1 = 1. Notes : Le nombre de r´ealisations par trajectoires est n = 100. Proposition 14 (Formule d’int´egration par parties). Soient Xt et Yt deux processus d’Itˆo dont les formes int´egrales sont donn´ees par Proposition 14 (Formule d’int´egration par parties). Soient Xt et Yt deux processus d’Itˆo dont les formes int´egrales sont donn´ees par Xt = X0 + Z t 0 µsds + Z t 0 σsdBs, (1.206) (1.206) et et Yt = Y0 + Z t 0 ¯µsds + Z t 0 ¯σsdBs. (1.207) Yt = Y0 + Z t 0 ¯µsds + Z t 0 ¯σsdBs. Th´eor`eme de Repr´esentation des Martingales Th´eor`eme 8. Soit (Mt)0⩽t⩽T une martingale par rapport `a la filtration Ft du mouvement Brownien Bt. Il existe un processus (Xt)0⩽t⩽T adapt´e `a Ft tel que E R T 0 X2 sds  < +∞et Mt = M0 + Z t 0 XsdBs, (1.214) (1.214) D´emonstration. Voir [Karatzas et Shreve, 2014]. D´emonstration. Voir [Karatzas et Shreve, 2014]. Nous allons utiliser le Th´eor`eme 8 dans le Chapitre 2 lors de la tarification d’une option europ´eenne. o`u l’´egalit´e (1.197) provient de la propri´et´e d’isom´etrie d’Itˆo 4). (1.213) (1.213) Il reste `a substituer les formules (1.211), (1.212) et (1.213) dans (1.210) pour obtenir le r´esultat attendu. Il reste `a substituer les formules (1.211), (1.212) et (1.213) dans (1.210) pour obtenir le r´esultat attendu. o`u l’´egalit´e (1.197) provient de la propri´et´e d’isom´etrie d’Itˆo 4). (1.207) Alors, XtYt = X0Y0 + Z t 0 XsdYs + Z t 0 YsdXs + ⟨X, Y ⟩t, (1.208) , XtYt = X0Y0 + Z t 0 XsdYs + Z t 0 YsdXs + ⟨X, Y ⟩t, (1.208) XtYt = X0Y0 + Z t 0 XsdYs + Z t 0 YsdXs + ⟨X, Y ⟩t, (1.208) `u la variation quadratique entre les processus X et Y est d´efinie par o`u la variation quadratique entre les processus X et Y est d´efinie par ⟨X, Y ⟩t = Z t 0 σs¯σsds. (1.209) D´emonstration. Nous avons l’identit´e suivante D´emonstration. Nous avons l’identit´e suivante XtYt = 1 2 (Xt + Yt)2 −1 2(X2 t + Y 2 t ). (1.210) (1.210) ormule d’Itˆo (1.189) est appliqu´ee aux processus (Xt + Yt)2, X2 t et Y 2 t pour avoir La formule d’Itˆo (1.189) est appliqu´ee aux processus (Xt + Yt)2, X2 t et Y 2 t pour avoir (Xt + Yt)2 = (X0 + Y0)2 + 2 Z t 0 (Xs + Ys)d(Xs + Ys) + Z t 0 (σs + ¯σs)2ds, (1.211) formule d Ito (1.189) est appliquee aux processus (Xt + Yt) , Xt et Yt pour avoir (Xt + Yt)2 = (X0 + Y0)2 + 2 Z t 0 (Xs + Ys)d(Xs + Ys) + Z t 0 (σs + ¯σs)2ds, (1.211) X2 t = X2 0 + 2 Z t 0 XsdXs + Z t 0 σ2 sds, (1.212) (Xt + Yt)2 = (X0 + Y0)2 + 2 Z t 0 (Xs + Ys)d(Xs + Ys) + Z t 0 (σs + ¯σs)2ds, (1.211) 2 2 Z t Z t 2 Xt + Yt)2 = (X0 + Y0)2 + 2 Z t 0 (Xs + Ys)d(Xs + Ys) + Z t 0 (σs + ¯σs)2ds, (1.211) X2 t = X2 0 + 2 Z t 0 XsdXs + Z t 0 σ2 sds, (1.212) X2 t = X2 0 + 2 Z t 0 XsdXs + Z t 0 σ2 sds, (1.212) X2 t = X2 0 + 2 Z t 0 XsdXs + Z t 0 σ2 sds, (1.212) (1.212) 45 1.5. DISTRIBUTION DES INSTANTS DE PREMIER PASSAGE POUR UN MOUVEMENT BROWNIEN G´EOM´ETRIQUE et et Y 2 t = Y 2 0 + 2 Z t 0 YsdYs + Z t 0 ¯σ2 sds. 1.5.2 Mouvement Brownien g´eom´etrique D´efinition 13. On appelle mouvement Brownien g´eom´etrique, le processus sto- chastique (St)t⩾0 dont l’´evolution est d’´ecrite par l’´equation suivante dSt = St(λdt + σdBt), S0 = x0, (1.215) (1.215) o`u λ ∈R, σ > 0, x0 ∈R⋆ + et Bt est un mouvement Brownien standard. roposition 15. L’unique solution de (1.215) est un processus d’Itˆo d´efini par Proposition 15. L’unique solution de (1.215) est un processus d’Itˆo d´efini pa Proposition 15. L’unique solution de (1.215) est un processus d’Itˆo d´efini par St = S0 exp (µt + σBt) , t ⩾0, (1.216) (1.216) o`u µ = λ −σ2/2. D´emonstration. Afin de v´erifier que le processus (1.216) est bien une solution de l’´equation diff´erentielle stochastique (1.215), nous appliquons la formule d’Itˆo `a la fonction f(t, x) = log(x). Par ailleurs, pour monter l’unicit´e de cette solution, nous supposons qu’il existe une autre solution Xt de (1.215) et montrons qu’elle co¨ıncide avec la premi`ere. Tout d’abord, on va exprimer la diff´erentielle de XtS−1 t `a l’aide de la formule d’Itˆo. On a Zt = S0 St = exp  (σ2/2 −λ)t −σBt  , (1.217) (1.217) on peut ´ecrire aussi que on peut ´ecrire aussi que Zt = 1 + Z t 0 Zs[(σ2 −λ)ds −σdBs]. (1.218) (1.218) Avec la Proposition 14, nous calculons la diff´erentielle de XtZt, (1.219) d(XtZt) = XtdZt + ZtdXt + d⟨X, Y ⟩t, (1.219) d(XtZt) = XtdZt + ZtdXt + d⟨X, Y ⟩ 46 46 1.5. DISTRIBUTION DES INSTANTS DE PREMIER PASSAGE POUR UN MOUVEMENT BROWNIEN G´EOM´ETRIQUE o`u o`u ⟨X, Y ⟩t = ⟨ Z t 0 XsσdBs, − Z t 0 ZsσdBs⟩ t = − Z t 0 XsZsσ2ds. (1.220) (1.220) Z 0 Z 0 t Z 0 En rempla¸cant (1.220) dans (1.219), on obtient d(XtZt) = XtZt[(σ2 −λ)dt −σdBt] + ZtXt(λdt + σdBt) −XtZtσ2dt (1.221) = 0. (1.222) En rempla¸cant (1.220) dans (1.219), on obtient En rempla¸cant (1.220) dans (1.219), on obtient d(XtZt) = XtZt[(σ2 −λ)dt −σdBt] + ZtXt(λdt + σdBt) −XtZtσ2dt (1.221) = 0. (1.222) d(XtZt) = XtZt[(σ2 −λ)dt −σdBt] + ZtXt(λdt + σdBt) −XtZtσ2dt (1.2 0 (1 2 d(XtZt) = XtZt[(σ2 −λ)dt −σdBt] + ZtXt(λdt + σdBt) −XtZtσ2dt (1.221) = 0. (1.222) (1.221) (1.222) (1.221) (1.222) Donc, XtZt = S0Z0, ce qui donne, Xt = S0Z−1 t = St. Par cons´equent, l’unique solution de l’´equation (1.215) est le mouvement Brownien g´eom´etrique (1.216). 1.5.2 Mouvement Brownien g´eom´etrique Comme nous allons le voir dans le chapitre suivant, le processus St est tr`es important en finance car il est souvent adopt´e pour la mod´elisation du prix de diff´erents actifs finan- cier. Nous pouvons observer aussi qu’il s’agit d’une simple transformation du mouvement Brownien arithm´etique puisque on a St = x0 exp (σXt) , t ⩾0, (1.223) (1.223) o`u Xt = µ σt + Bt. t σ + t Il est important de noter que, le mouvement Brownien g´eom´etrique St admet une distri- bution Log-normale [voir Annexe A en page 86]. Pour tout t > 0, on a σ Il est important de noter que, le mouvement Brownien g´eom´etrique St admet une distri- bution Log-normale [voir Annexe A en page 86]. Pour tout t > 0, on a St ∼Log-normale  log(x0) + µt, σ2t  . (1.224) St ∼Log-normale  log(x0) + µt, σ2t  . (1.224) (1.224) La moyenne du processus St illustr´ee dans la Figure 1.16 est donc une fonction du temps t d´efinie par La moyenne du processus St illustr´ee dans la Figure 1.16 est donc une fonction du temps t d´efinie par ( 2) E(St) = x0e(µ+0.5σ2)t, t ⩾0. (1.225) (1.225) Soit T S a l’instant de premier passage au seuil a > 0 par le processus St et T X α l’instant de premier passage au seuil α ∈R⋆par le processus Xt. Nous avons Soit T S a l’instant de premier passage au seuil a > 0 par le processus St et T X α l’instant de premier passage au seuil α ∈R⋆par le processus Xt. Nous avons T S a = inf{t ⩾0 : St = a} = inf  t ⩾0 : Xt = 1 σ log  a x0   . (1.226) (1.226) ux instants de passage co¨ıncidents pour des seuils diff´erents, c’est-`a-dire, T S a = T X α , (1.227) T S a = T X α , (1.227) (1.227) avec α = log (a/x0) /σ. Pour d´eterminer la distribution de probabilit´e de T S a , il suffit donc d’appliquer les r´esultats obtenues dans le cas d’un mouvement Brownien arithm´etique. avec α = log (a/x0) /σ. Pour d´eterminer la distribution de probabilit´e de T S a , il suffit donc d’appliquer les r´esultats obtenues dans le cas d’un mouvement Brownien arithm´etique. 1.5.3 Distribution de l’instant de premier passage `a un seuil fixe par d’un mouvement Brownien g´eom´etrique 1.5.3 Distribution de l’instant de premier passage `a un seuil fixe par d’un mouvement Brownien g´eom´etrique Proposition 16. Pour a > x0, on a Pour a > x0, on a P  T S a ⩽t  = e2ναΦ −νt −α √ t ! + Φ νt −α √ t ! , (1.228) P  T S a ⩽t  = e2ναΦ νt + α √ t ! + Φ −νt + α √ t ! , (1.229) P  T S a ⩽t  = e2ναΦ −νt −α √ t ! + Φ νt −α √ t ! , (1.228) P  T S a ⩽t  = e2ναΦ −νt −α √ t ! + Φ νt −α √ t ! , (1.228) P  T S ⩽t  2ναΦ νt + α ! Φ −νt + α ! (1 229) (1.228) et, pour a < x0, P  T S a ⩽t  = e2ναΦ νt + α √ t ! + Φ −νt + α √ t ! , (1.229) (1.229) o`u ν = µ/σ et α = log (a/x0) /σ. o`u ν = µ/σ et α = log (a/x0) /σ. o`u ν = µ/σ et α = log (a/x0) /σ. ! ! o`u ν = µ/σ et α = log (a/x0) /σ. 47 1.5. DISTRIBUTION DES INSTANTS DE PREMIER PASSAGE POUR UN MOUVEMENT BROWNIEN G´EOM´ETRIQUE D´emonstration. Les formules (1.228) et (1.229) r´esultent des Propositions 7 et 9 avec l’usage de l’´egalit´e (1.227). D´emonstration. Les formules (1.228) et (1.229) r´esultent des Propositions 7 et 9 avec l’usage de l’´egalit´e (1.227). Il reste `a calculer la d´eriv´ee par rapport `a t pour trouver la fonction de densit´e de la v.a. T S a , ou directement, l’avoir `a partir de la Proposition 10 et l’´egalit´e (1.227). Ainsi, fT S a (t) = α √ 2πt3 exp −(α −νt)2 2t ! 1{t>0}. (1.230) (1.230) 1.5.4 Simulation Monte-Carlo des instants de premier passage pour un mouvement Brownien g´eom´etrique 1.5.4 Simulation Monte-Carlo des instants de premier passage pour un mouvement Brownien g´eom´etrique DISTRIBUTION DES INSTANTS DE PREMIER PASSAGE POUR UN MOUVEMENT BROWNIEN G´EOM´ETRIQUE Figure 1.17 – Comparaison entre la courbe de la densit´e fT S a et l’histogramme de l’´echantillon des T S a Figure 1.17 – Comparaison entre la courbe de la densit´e fT S a et l’histogramme de l’´echantillon des T S a 49 Chapitre 2 Gestion des risques financiers par des options Sommaire 2.1 La notion de risque en finance . . . . . . . . . . . . . . . . . . . 51 2.2 Les options . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 52 2.3 Tarification des options dans le mod`ele Black-Scholes . . . . 53 2.4 Options dont le payoffd´epend de l’instant de premier passage 63 1.5.4 Simulation Monte-Carlo des instants de premier passage pour un mouvement Brownien g´eom´etrique La simulation d’une trajectoire du processus (1.216) sur un intervalle [0, T] se fait `a l’aide de l’algorithme suivant : Algorithm 4 Simulation du mouvement Brownien g´eom´etrique G´en´erer un ´echantillon (Zt0, Zt1, . . . , Ztn) de n variables al´eatoires i.i.d. de loi N(0, 1 1: G´en´erer un ´echantillon (Zt0, Zt1, . . . , Ztn) de n variables al´eato G´en´erer un ´echantillon (Zt0, Zt1, . . . , Ztn) de n variables al´eatoires i.i.d. de loi N(0, 1 Poser ∆t := T/n, X(t0) := 0, µ ∈R, σ > 0 et ν := µ/σ. ( 0 1 n) 2: Poser ∆t := T/n, X(t0) := 0, µ ∈R, σ > 0 et ν := µ/σ. / , ( 0) , µ , µ/ 3: Pour i de 1 `a n faire X(ti) := X(ti−1) + ν∆t + √ ∆tZ(ti−1). / , ( ) , µ , µ/ 3: Pour i de 1 `a n faire X(ti) := X(ti−1) + ν∆t + √ ∆tZ(ti−1). 3: Pour i de 1 `a n faire X(ti) := X(ti−1) + ν∆t + √ ∆tZ(ti−1). 4: Soit S0 ∈R. Pour i de 1 `a n faire S(ti) = S0 exp (σX(ti)). ( i) ( i 1) ( i 1) 4: Soit S0 ∈R. Pour i de 1 `a n faire S(ti) = S0 exp (σX(ti)). 5: Retourner les valeurs St0, St1, . . . , Stn. Avec l’Algorithme 4, nous simulons un flux de N = 1000 trajectoires d’un mouvement Brownien g´eom´etrique issu de S0 = 1 et cela sur l’intervalle de temps [0, 1] avec n = 1000 points de r´ealisations par trajectoire. Nous obtenons par la suite un ´echantillon de taille N des r´ealisations de la v.a. T S a sur l’intervalle de temps [0, 1]. L’histogramme de cet ´echantillon est trac´e dans la Figure 1.17 ainsi que la courbe de la densit´e de T S a . Figure 1.16 – Flux de trajectoires d’un mouvement Brownien g´eom´etrique sur l’intervalle [0, 1] Figure 1.16 – Flux de trajectoires d’un mouvement Brownien g´eom´etrique sur l’intervalle [0, 1] 48 1.5. 2.1.1 Types de risques financiers Le risque financier est souvent li´e `a des ´ev`enements al´eatoires d’o`u l’int´erˆet d’identi- fier, en premier lieu, la nature du risque que peut comporter une quelconque op´eration financi`ere. Les principaux types 1 de risques financiers sont les suivants : — Le risque de contrepartie, c’est le risque que la partie avec laquelle un contrat financier a ´et´e conclu ne tienne pas ses engagements (livraison, paiement, rembour- sement, etc.). Pour une banque, par exemple, c’est le risque que ses clients soient dans l’incapacit´e de rembourser leurs emprunts, on parle dans ce cas, d’´etat d’insol- vabilit´e. — Le risque de taux d’int´erˆet, c’est le risque li´e `a l’´evolution non appr´eci´ee des taux de cr´edit durant la dur´ee du contrat. Ainsi un emprunteur `a taux variable, subit un risque de taux quand les taux augmentent car il doit payer plus cher `a l’´ech´eance. `A l’inverse, un prˆeteur subit un risque quand les taux baissent car il perd des revenus. — Le risque de change, c’est le risque li´e aux fluctuations des taux de change des monnaies (Euro, Dollars, etc.). En effet, pour de nombreuses activit´es, le cours de change d’une monnaie intervient, par exemple, dans le calcul d’un prix de revient (coˆut de la mati`ere premi`ere), d’un prix de vente (exportation), du remboursement d’int´erˆets (emprunt en devise), etc. Ainsi, toute variation d´efavorable du cours de change peut avoir une incidence significative sur diff´erents contrats financiers. — Le risque de liquidit´e : Pour un investisseur, c’est le risque de ne pas pouvoir vendre ses actifs ou l’obligation pour s’en d´ebarrasser de les vendre `a un prix tr`es inf´erieurs `a leur valeur intrins`eque. Cette baisse des prix afin de conclure une vente sur un march´e peu liquide est appel´ee d´ecote d’illiquidit´e. Pour une banque, le risque de liquidit´e survient quand un grand nombre d’´epargnants souhaite retirer des es- p`eces sur leur compte, alors qu’elle a plac´e leurs d´epˆots `a moyen et long terme. — Le risque op´erationnel, est le risque de pertes potentielles d’argent `a cause de la- cunes ou de d´efauts attribuables aux ressources humaines et mat´erielles : proc´edures des syst`emes internes d´efaillants (pannes informatiques), ´ev`enements d´eclencheurs externes, fraudes, gr`eve du personnel, risques de catastrophes (pand´emies), etc. — Le risque de cr´edit, est le risque pour un cr´eancier que l’un ou plusieurs de ses d´ebiteurs soient dans l’incapacit´e de rembourser tout (ou une partie) de la dette qu’ils ont contract´ee. Chapitre 2 Sommaire 2.1 La notion de risque en finance . . . . . . . . . . . . . . . . . . . 51 2.2 Les options . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 52 2.3 Tarification des options dans le mod`ele Black-Scholes . . . . 53 2.4 Options dont le payoffd´epend de l’instant de premier passage 63 Sommaire 2.1 La notion de risque en finance . . . . . . . . . . . . . . . . . . . 51 2.2 Les options . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 52 2.3 Tarification des options dans le mod`ele Black-Scholes . . . . 53 2.4 Options dont le payoffd´epend de l’instant de premier passage 63 50 2.1. LA NOTION DE RISQUE EN FINANCE 2.1 La notion de risque en finance D´efinition 14. Un risque financier est un risque de perte d’argent suite `a une op´eration financi`ere (par exemple, un placement de capitaux en vue d’un gain mon´etaire ou un emprunt bancaire) ou `a une op´eration ´economique ayant une incidence financi`ere (par exemple, une vente `a cr´edit ou en devises ´etrang`eres). 1. Une discussion plus approfondie sur les diff´erents risques en finance peut ˆetre trouv´e dans le livre de Allen [2012]. 2.1.1 Types de risques financiers — Le risque climatique, est un risque li´e `a la vuln´erabilit´e accrue des entreprises par rapport aux variations des indices climatiques (temp´erature, pr´ecipitations, vent, neige, etc.). — Le risque climatique, est un risque li´e `a la vuln´erabilit´e accrue des entreprises par rapport aux variations des indices climatiques (temp´erature, pr´ecipitations, vent, neige, etc.). 51 2.2. LES OPTIONS 2.1.2 Gestion des risques financiers avec des options La gestion d’un risques financier consiste `a identifier ce dernier puis `a adopter des strat´egies afin d’att´enuer la probabilit´e de pertes associ´ee `a des sc´enarios d´efavorables se produisant sur les march´es financiers. Certains instruments financiers, tels les produits d´eriv´es, sont des outils de gestion essentiels pour faire face aux multiples risques finan- ciers auxquels sont confront´es les entreprises et institutions. En particulier, parmi les principaux produits d´erives, on a les options. Ces derni`eres permettent de prot´eger les entreprises contre plusieurs risques financiers, en particulier, le risque de change. Dans la mesure ou les options sont des actifs asym´etrique, il permettent `a ceux qui les utilisent d’ˆetre prot´eger contre le risque de change sans les priver pour autant d’une ´evolution qui leur serait favorable et qu’il auraient mal anticip´ee. En g´en´erale, il existe plusieurs fa¸cons d’utiliser les options pour couvrir un risque financier, les trois principales cat´egories ´etant de couvrir d’autres investissements, de couvrir les int´erˆets commerciaux et de couvrir d’autres positions sur options. Dans tous les cas, on cherche soit `a acheter ou `a vendre une option pour prot´eger une autre position, o`u l’intention de la strat´egie de couverture avec des options est de ne pas prendre plus de risque mais de r´eduire le risque financier d´ej`a pr´esent. Les options utilis´ees de cette mani`ere consistent une police d’assurance, o`u si un r´esultat inattendu venait `a se produire, une perte dans un portefeuille d’actions par exemple, les pertes encourues seront compens´ees dans une certaine mesure par les b´en´efices r´ealis´es grˆace `a la n´egociation (achat ou vente) d’options. Dans la section suivante, nous allons d´etailler le concept des options ainsi que les approches probabiliste utilis´ees dans la tarification des options n´egoci´ee sur march´es fi- nanciers. y, ] 4. Parfois appel´e aussi prix de lev´ee ou strike. ( ) ( ) 3. Afin de comprendre le fonctionnement des diff´erents types de produits d´eriv´es, voir [Eales et Choudhry, 2003]. 2. Un actif sous-jacent est un actif servant de r´ef´erence `a un produit d´eriv´e. Il peut s’agir d’un instru- ment financier (action, indice, obligation, devise, option, etc.) ou physique (mati`ere premi`ere). 2.2 Les options D´efinition 15 (Derivative). Un produit d´eriv´e est un instrument financier dont le prix d´epend d’un ou plusieurs actifs sous-jacents. 2 Il existe diff´erents types de contrats d´eriv´es, `a savoir, les futures, les forwards, les options, les warrants et les swaps. 3 D´efinition 16 (Option). Une option est un contrat qui donne `a son titulaire le droit et non l’obligation d’acheter ou de vendre un actif sous-jacent `a un prix appel´e prix d’exercice 4 et `a une date d´etermin´ee `a l’avance appel´ee ´ech´eance. Il existe deux types d’options : — Le Call ou option d’achat. — Le Call ou option d’achat. — Le Put ou option de vente. 2. Un actif sous-jacent est un actif servant de r´ef´erence `a un produit d´eriv´e. Il peut s’agir d’un instru- ment financier (action, indice, obligation, devise, option, etc.) ou physique (mati`ere premi`ere). 3. Afin de comprendre le fonctionnement des diff´erents types de produits d´eriv´es, voir [Eales et Choudhry, 2003]. 4 P f i l´ i i d l ´ t ik y, ] rfois appel´e aussi prix de lev´ee ou strike. — Le Put ou option de vente. L’octroi d’options Call ou Put n’est pas gratuit. En effet, toute option a un prix appel´e prime. Lorsque l’option est cot´ee sur le march´e, la valeur num´erique de sa prime est donn´ee par ce dernier. En l’absence de cotation, le probl`eme du calcul de la prime se 52 2.3. TARIFICATION DES OPTIONS DANS LE MOD`ELE BLACK-SCHOLES pose. Et, mˆeme dans le cas d’une option cot´ee, il peut ˆetre int´eressant dans certain cas de disposer d’une formule (th´eorique) ou d’un mod`ele permettant de d´etecter d’´eventuelles anomalies li´es aux fluctuations de cours de l’actif sous-jacent sur lequel est n´egoci´e l’option. D’autre part, si le droit que donne une option peut ˆetre exerc´ee `a n’importe quel instant durant la dur´ee de vie de l’option, on parle alors d’option am´ericaine. Or, si l’option ne peut ˆetre exerc´ee qu’`a l’´ech´eance du contrat, on parle d’option europ´eenne. 7. Une vente `a d´ecouvert est une pratique qui consiste `a vendre des titres que l’on ne poss`ede pas encore, dans l’espoir de les racheter ult´erieurement `a un prix inf´erieur. Cette op´eration reste tr`es surveill´ee par l’Autorit´e des march´es financiers (AMF). 2.3 Tarification des options dans le mod`ele Black- Scholes Le mod`ele propos´e par Black et Scholes [1973] pour d´ecrire la dynamique des cours d’un actif sous-jacent est un mod`ele `a temps continu avec un actif risqu´e dont la valeur `a l’instant t est not´e St et un autre actif sans risque not´e S0 t `a l’instant t. On suppose que l’´evolution de S0 est r´egie par l’´equation diff´erentielle ordinaire suivante dS0 t = rS0 t dt, (2.1) (2.1) o`u r > 0 est le taux d’int´erˆet sur le march´e. Si on suppose que S0 0 = 1, alors l’unique solution de l’´equation (2.1) est donn´ee par o`u r > 0 est le taux d’int´erˆet sur le march´e. Si on suppose que S0 0 = 1, alors l’unique solution de l’´equation (2.1) est donn´ee par S0 t = ert. (2.2) (2.2) Dans le mod`ele Black-Scholes, les hypoth`eses sur le march´e sont : Dans le mod`ele Black-Scholes, les hypoth`eses sur le march´e sont : — Absence d’opportunit´e d’arbitrage (A.O.A.). 5 — Le taux d’int´erˆet `a court terme r est connu et est constant dans le temps. — L’actif risqu´e St est un mouvement brownien g´eom´etrique. — L’action ne verse pas de dividendes. 6 — L’action ne verse pas de dividendes. 6 — L’option est de type europ´eenne. — L’option est de type europ´eenne. — L’achat ou la vente de l’action ou de l’option est sans frais de transaction. — Il est possible d’emprunter n’importe quelle fraction du prix d’un titre pour l’acheter ou le d´etenir, au taux r. — Il est possible d’emprunter n’importe quelle fraction du prix d’un titre pour l’acheter ou le d´etenir, au taux r. — Il est possible de vendre `a d´ecouvert. 7 Dans le mod`ele Black-Scholes, l’´evolution du cours de l’actif risqu´e St est donc d´ecrite par l’´equation diff´erentielle stochastique dSt = St(λdt + σdBt), S0 > 0, t ∈[0, T], (2.3) (2.3) 5. Cette hypoth`ese est cruciale dans les march´es financiers, elle affirme qu’il n’existe aucune strat´egie financi`ere permettant avec z´ero investissement, d’acqu´erir une richesse certaine dans une date future. 6. Les dividendes sont les sommes vers´ees `a titre de revenus par une entreprise `a ses actionnaires. Or, sous certaines conditions, il est possible aussi de payer les dividendes en actions. 7. Une vente `a d´ecouvert est une pratique qui consiste `a vendre des titres que l’on ne poss`ede pas encore, dans l’espoir de les racheter ult´erieurement `a un prix inf´erieur. 5. Cette hypoth`ese est cruciale dans les march´es financiers, elle affirme qu’il n’existe aucune strat´egie financi`ere permettant avec z´ero investissement, d’acqu´erir une richesse certaine dans une date future. 6. Les dividendes sont les sommes vers´ees `a titre de revenus par une entreprise `a ses actionnaires. Or, sous certaines conditions, il est possible aussi de payer les dividendes en actions. 2.3 Tarification des options dans le mod`ele Black- Scholes Cette op´eration reste tr`es surveill´ee par l’Autorit´e des march´es financiers (AMF). 53 2.3. TARIFICATION DES OPTIONS DANS LE MOD`ELE BLACK-SCHOLES o`u λ ∈R, σ > 0 est la volatilit´e, S0 est le cours initiale, T est la date d’´ech´eance de l’option et Bt est un mouvement brownien standard sous la mesure de probabilit´e P. 8 Comme dans le Chapitre 1, Section 1.5.2, l’unique solution de l’´equation (2.3) est donn´ee par o`u λ ∈R, σ > 0 est la volatilit´e, S0 est le cours initiale, T est la date d’´ech´eance de l’option et Bt est un mouvement brownien standard sous la mesure de probabilit´e P. 8 Comme dans le Chapitre 1, Section 1.5.2, l’unique solution de l’´equation (2.3) est donn´ee par St = S0 exp (µt + σBt) , (2.4) (2.4) St = S0 exp (µt + σBt) , o`u µ = λ −σ2/2 et S0 est observ´e directement sur le march´e. o`u µ = λ −σ2/2 et S0 est observ´e directement sur le march´e. o`u µ = λ −σ2/2 et S0 est observ´e directement sur le march´e. D´efinition 17. Une strat´egie de gestion est un processus stochastique ϑ = (ϑt 0, ϑt)0⩽t⩽T `a valeurs dans R2, o`u ϑ est adapt´e `a la filtration naturelle Ft du mouvement brownien standard Bt. Les processus ϑ0 t et ϑt repr´esentent les quantit´es respectives d’actif sans risque et d’actif risqu´e d´etenues en portefeuille `a l’instant t. Ainsi, la valeur d’un portefeuille `a l’instant t associ´e `a une strat´egie ϑ est donn´ee par D´efinition 17. Une strat´egie de gestion est un processus stochastique ϑ = (ϑt 0, ϑt)0⩽t⩽T `a valeurs dans R2, o`u ϑ est adapt´e `a la filtration naturelle Ft du mouvement brownien standard Bt. Les processus ϑ0 t et ϑt repr´esentent les quantit´es respectives d’actif sans risque et d’actif risqu´e d´etenues en portefeuille `a l’instant t. Ainsi, la valeur d’un portefeuille `a l’instant t associ´e `a une strat´egie ϑ est donn´ee par Vt(ϑ) = ϑ0 tS0 t + ϑtSt. (2.5) Vt(ϑ) = ϑ0 tS0 t + ϑtSt. (2.5) 8. La mesure P est appel´ee mesure de probabilit´e historique. 6 9. Par exemple, on prend que ϵ = 10−6. 9. Par exemple, on prend que ϵ = 10−6. pour tout t ∈[0, T]. pour tout t ∈[0, T]. D´emonstration. Soit ϑ une strat´egie autofinanc´ee. Nous commen¸cons par calculer la dif- f´erentielle de eVt(ϑ) grˆace `a la formule (2.8) d eVt(ϑ) = d  e−rtVt(ϑ)  (2.10) = Vt(ϑ)d(e−rt) + e−rtdVt(ϑ) + ⟨e−rt, Vt(ϑ)⟩t (2.11) = −re−rtVt(ϑ)dt + e−rt(ϑ0 tdS0 t + ϑtdSt) + 0 (2.12) = −re−rt(ϑ0 tert + ϑtSt)dt + e−rtϑ0 td(ert) + e−rtϑtdSt (2.13) = ϑt(−re−rtStdt + e−rtdSt) (2.14) = ϑtd eSt. (2.15) (2.10) (2.15) L’int´egration de la formule (2.15) sur l’intervalle [0, t] donne le r´esultat attendu. Nous notons que, l’´egalit´e (2.11) est dˆu `a la Proposition 14, o`u la variation quadratique est nulle car le processus e−rt est d´eterministe, quand `a l’´egalit´e (2.12), elle provient du fait que ϑ est autofinanc´e, et donc, elle v´erifie la formule (2.8). La d´emonstration inverse, c’est-`a-dire, en supposant que la formule (2.9) est v´erifi´ee, repose sur un raisonnement similaire. D´efinition 19. Une opportunit´e d’arbitrage sur une p´eriode [0, T], est une strat´egie autofinanc´ee ϑ dont la valeur du portefeuille associ´ee v´erifie : 1. V0(ϑ) = 0. 1. V0(ϑ) = 0. 2. VT(ϑ) ⩾0 et E(VT(ϑ)) > 0. 2. VT(ϑ) ⩾0 et E(VT(ϑ)) > 0. D´efinition 20. Un march´e est dit viable s’il n’existe pas de strat´egie d’arbitrage. 2.3.1 Le principe de l’autofinancement en finance D´efinition 18. Une strat´egie ϑ est dite autofinanc´ee si, une fois adopt´ee, elle ne change pas la valeur du portefeuille. Ainsi, un portefeuille autofinanc´e est un portefeuille auquel les fonds ne sont ni inject´es ni retir´es. Th´eoriquement, une strat´egie ϑ est autofinanc´ee si, pour tout t ⩾0 et ϵ > 0, on a ϑ0 tS0 t + ϑtSt = ϑ0 t+ϵS0 t + ϑt+ϵSt. (2.6) (2.6) La formule (2.6) est int´erpr´et´e comme suit : un investisseur poss`ede un portefeuille dont la valeur `a l’instant t est Vt(ϑ) = ϑ0 tS0 t +ϑtSt. Le march´e, quant `a lui, permet d’obser- ver les cours des actifs S0 t et St `a la date t. Sur la base de cette information, l’investisseur r´eajuste son portefeuille en adoptant une nouvelle strat´egie ϑt+ϵ pour la date future t + ϵ et cela en r´einvestissant la valeur totale du portefeuille et rien de plus. Il n’y a donc ni apports, ni retraits de fonds. L’´evolution des cours des actifs sur les march´es financiers (bourse) se fait dans des laps de temps relativement cours, voir mˆeme en microseconde. Soit ϵ > 0, une quantit´e assez petite. 9 Il est int´eressant de voir que la formule (2.6) s’´ecrit aussi comme Vt+ϵ(ϑ) −Vt(ϑ) = ϑ0 t+ϵ(S0 t+ϵ −S0 t ) + ϑt+ϵ(St+ϵ −St). (2.7) (2.7) Donc, avec une strat´egie autofinanc´ee, l’´evolution du portefeuille d´epend uniquement des variations des cours des actifs. De plus, puisque ϵ est tr`es petit, nous pouvons ´ecrire que Donc, avec une strat´egie autofinanc´ee, l’´evolution du portefeuille d´epend uniquement des variations des cours des actifs. De plus, puisque ϵ est tr`es petit, nous pouvons ´ecrire que dVt(ϑ) = ϑ0 tdS0 t + ϑtdSt. (2.8) (2.8) Pour que la formule diff´erentielle (2.8) ait un sens sur l’intervalle [0, T], il faut que Pour que la formule diff´erentielle (2.8) ait un sens sur l’intervalle [0, T], il faut que Z T 0 |ϑ0 t|dt < +∞, p.s. et Z T 0 ϑ2 tdt < +∞, p.s. Nous notons par eSt = St/S0 t = e−rtSt et par eVt(ϑ) = Vt(ϑ)/S0 t = e−rtVt(ϑ), le cours de l’actif risqu´e actualis´e et la valeur du portefeuille actualis´e `a l’instant t, respectivement. Nous notons par eSt = St/S0 t = e−rtSt et par eVt(ϑ) = Vt(ϑ)/S0 t = e−rtVt(ϑ), le cours de l’actif risqu´e actualis´e et la valeur du portefeuille actualis´e `a l’instant t, respectivement. 54 2.3. 2.3.1 Le principe de l’autofinancement en finance TARIFICATION DES OPTIONS DANS LE MOD`ELE BLACK-SCHOLES Proposition 17. Soit ϑ = (ϑt 0, ϑt)0⩽t⩽T une strat´egie v´erifiant R T 0 |ϑ0 t| + ϑ2 tdt < +∞p.s.. Alors, ϑ est une strat´egie autofinanc´ee si, et seulement si, eVt(ϑ) = eV0(ϑ) + Z t 0 ϑud eSu, (2.9) (2.9) 10. Sous la mesure de risque-neutre Q, pour une ´ech´eance T fix´ee, la v.a. ST suit une distribution log N  log S0 + (r −σ2/2)T; σ √ T  . D´efinition 21. Une strat´egie ϑ est dite admissible si D´efinition 21. Une strat´egie ϑ est dite admissible si 1. ϑ est autofinanc´ee. 2. Pour tout t, on a eVt(ϑ) ⩾0. 2. Pour tout t, on a eVt(ϑ) ⩾0. 2. Pour tout t, on a eVt(ϑ) ⩾0. 3. La v.a. maxt∈[0,T] eVt(ϑ) est de carr´e int´egrable sous Q. 3. La v.a. maxt∈[0,T] Vt(ϑ) est de carre integrable sous Q. D´efinition 22. Une option europ´eennes est caract´eris´ee par sa fonction de paiement `a l’´ech´eance appel´ee payoffou fonction de paiement not´ee hT, qui d´epend de la date d’´ech´eance T, du prix d’exercice K et de la valeur du cours de l’actif sous-jacent `a l’´ech´eance ST. La v.a. hT est positive et FT-mesurable. Formellement, le payoffvaut `a hT = (ST −K)+, (2.23) (2.23) pour un Call, et hT = (K −ST)+, (2.24) (2.24) 2.3.2 Mesure de risque-neutre Th´eor`eme 9 (The Fundamental Theorem of Asset Pricing). Un march´e est viable si, et seulement si, il existe une mesure de probabilit´e Q ´equivalente `a la mesure de probabilit´e historique P sous laquelle les prix actualis´es des actifs sont des martingales. D´emonstration. Voir [Harrison et Pliska, 1981]. La dynamique du prix actualis´e est donn´ee par La dynamique du prix actualis´e est donn´ee par d eSt = d  e−rtSt  (2.16) = St(ϑ)d(e−rt) + e−rtdSt + ⟨e−rt, St⟩t (2.17) = −re−rtStdt + e−rtSt(λdt + σdBt) + 0 (2.18) = eSt((λ −r)dt + σdBt). (2.19) 55 2.3. TARIFICATION DES OPTIONS DANS LE MOD`ELE BLACK-SCHOLES Soit Q une mesure de probabilit´e ´equivalente `a P, d´efinie par dQ dP FT = exp " − ¯λ2 2 T −¯λBT # , (2.20) (2.20) o`u ¯λ = (λ −r)/σ. D’apr`es le th´eor`eme de Girsanov, le processus Wt = ¯λt + Bt, t ∈[0, T], est un mouvement brownien standard sous la mesure Q. Ainsi, la diff´erentielle de eSt s’´ecrit comme o`u ¯λ = (λ −r)/σ. D’apr`es le th´eor`eme de Girsanov, le processus Wt = ¯λt + Bt, t ∈[0, T], est un mouvement brownien standard sous la mesure Q. Ainsi, la diff´erentielle de eSt s’´ecrit comme (2.21) d eSt = eStσdWt. (2.21) d eSt = eStσdWt. La solution de l’´equation diff´erentielle stochastique (2.21) est donn´ee par eSt = eS0 exp σWt −σ2 2 t ! , (2.22) (2.22) o`u eS0 = S0. o`u eS0 = S0. Le processus eSt suit une loi log-normale, et donc, on a E( R T 0 eS2 t ds) < +∞. `A partir de la formule (2.21) et d’apr`es le th´eor`eme de repr´esentation des martingales, le processus eSt est une martingale sous la mesure de probabilit´e Q. En finance, la mesure Q est appel´ee mesure de risque-neutre ou mesure martingale ´equivalente. D´efinition 24. On dit que le march´e financier est complet si toute option europ´eenne d’´ech´eance T est simulable. Th´eor`eme 10. Un march´e viable est complet si, et seulement si, il existe une unique probabilit´e martingale ´equivalente. Th´eor`eme 10. Un march´e viable est complet si, et seulement si, il existe une unique probabilit´e martingale ´equivalente. D´emonstration. Voir [Lamberton et Lapeyre, 2012, pp. 24-25]. Il est possible de montrer que le mod`ele de Black-Scholes d´ecrit un march´e complet. 11 Dans la section suivante, nous allons voir un r´esultat fondamentale en th´eorie de la ta- rification des options puisque ce dernier permet, en particulier, d’obtenir une formule th´eorique de la prime de couverture pour l’option europ´eenne strandard. pour un Put. Une option d´efinie par les payoffs (2.23) et (2.24) est dite option eurp´eenne stan- dard ou option vanilla. Une option d´efinie par les payoffs (2.23) et (2.24) est dite option eurp´eenne stan- dard ou option vanilla. D´efinition 23. Une option est dite simulable (ou r´eplicable) si sa valeur `a l’´ech´eance est ´egale `a la valeur finale d’une strat´egie admissible ϑ. Autrement dit, hT = VT(ϑ). Remarque 7. `A partir des D´efinitions 22 et 23, nous pouvons dire que, pour qu’une option europ´eenne soit simulable, il est n´ecessaire que hT soit de carr´e int´egrable sous Q. Dans la cas d’une option de type Call, cette condition est bien v´erifi´ee puisque la formule (3.33) donne que, EQ(S2 T) = S2 0e(2r+σ2)T < +∞. 10 De plus, dans le cas d’une option Put, nous pouvons remarqu´e que hT est born´ee, et donc, de carr´e int´egrable. 56 2.3. TARIFICATION DES OPTIONS DANS LE MOD`ELE BLACK-SCHOLES D´efinition 24. On dit que le march´e financier est complet si toute option europ´eenne d’´ech´eance T est simulable. 11. Une discussion approfondie sur la compl´etude du mod`ele Black-Scholes est disponible dans [Harrison et Pliska, 1981]. et donc, et donc, Vt = EQ  e−r(T−t)hT|Ft  . (2.31) (2.31) Nous avons donc montr´e que la formule (2.31) donne la valeur `a l’instant t d’un portefeuille r´epliquant une option de payoffhT. D’autre part, il reste `a v´erifier qu’il existe bien une strat´egie admissible qui simule l’option. Autrement dit, on cherche deux processus ϑt 0 et ϑt qui soient Ft-adapt´es, et v´erifiant ϑt 0S0 t + ϑtSt = EQ  e−r(T−t)hT|Ft  . (2.32) (2.32) Soit Mt un processus d´efini par Soit Mt un processus d´efini par Mt = EQ  e−rThT|Ft  , t ∈[0, T], (2.33) (2.33) est une martingale sous Q. 12 D’apr`es le Th´eor`eme de Repr´esentation des Martingales, il existe un processus (Xt)0⩽t⩽T v´erifiant que EQ R T 0 X2 sds  < +∞et Mt = M0 + Z t 0 XsdWs, (2.34) (2.34) pour tout t ∈[0, T]. Soit ϑ = (ϑt 0, ϑt) une strat´egie d´efinie par pour tout t ∈[0, T]. Soit ϑ = (ϑt 0, ϑt) une strat´egie d´efinie par ϑt = Xt/(σ eSt) et ϑt 0 = Mt −ϑt eSt. ϑt = Xt/(σ eSt) et ϑt 0 = Mt −ϑt eSt. Cette strat´egie est autofinanc´ee, pour le voir, il suffit de prendre Mt = eVt dans la formule (2.29), et donc, on obtient Cette strat´egie est autofinanc´ee, pour le voir, il suffit de prendre Mt = eVt dans la formule (2.29), et donc, on obtient Vt = ertMt = EQ  e−r(T−t)hT|Ft  . (2.35) (2.35) Puisque Mt est une martingale positive (car hT est positive) sous Q, alors, la v.a. Vt est positive, de carr´e int´egrable sous Q et v´erifiant que VT = hT. Donc, ϑ est bien une strat´egie admissible simulant l’option de payoffhT. 12. Le processus Mt existe car la v.a. hT est de carr´e int´egrable sous Q (Remarque 7). 2.3.3 Formule de tarification sous la mesure de risque-neutre Th´eor`eme 11 (Risk-Neutral Pricing Formula). Dans le mod`ele de Black-Sholes, toute option dont le payoffhT est une v.a. positive, FT-mesurable et de carr´e int´egrable sous la mesure de risque-neutre Q, est simulable et dont la valeur `a l’instant t du portefeuille simulant cette option est donn´ee par Vt = EQ  e−r(T−t)hT|Ft  . (2.25) (2.25) Ainsi, le prix `a l’instant z´ero (`a l’´etablissement du contrat) d’une option dans le mod`ele de Black-Sholes est donn´e par Ainsi, le prix `a l’instant z´ero (`a l’´etablissement du contrat) d’une option dans le mod`ele de Black-Sholes est donn´e par Prime = V0 = EQ  e−rThT  . (2.26) (2.26) D´emonstration. Soit ϑ = (ϑt 0, ϑt)0⩽t⩽T une strat´egie admissible simulant l’option. La valeur `a l’instant t du portefeuille simulant est donn´ee par Vt = ϑ0 tS0 t + ϑtSt, (2.27) (2.27) o`u VT(ϑ) = hT puisque, par hypoth`ese, l’option est simulable. De plus, comme ϑ est autofinanc´ee, la Proposition 17 donne eVt = eV0(ϑ) + Z t 0 ϑud eSu. (2.28) (2.28) Sous la mesure de risque-neutre Q, et grˆace `a la formule (2.21), l’´egalit´e (2.28) s’´ecrit encore comme t eVt = eV0(ϑ) + Z t 0 ϑu eSuσdWu, t ∈[0, T]. (2.29) (2.29) Vu que ϑ est admissible, par d´efinition, maxt∈[0,T] eVt(ϑ) est de carr´e int´egrable sous Q. Ainsi, avec la formule (2.29) et d’apr`es le Th´eor`eme de Repr´esentation des Martingales, le processus eVt est une martingale sous Q. En particulier, pour tout t ⩽T, on a ble, pa (2.29) eVt = EQ  eVT|Ft  , (2.30) (2.30) 11. Une discussion approfondie sur la compl´etude du mod`ele Black-Scholes est disponible dans [Harrison et Pliska, 1981]. 11. Une discussion approfondie sur la compl´etude du mod`ele Black-Scholes est disponible dans [Harrison et Pliska, 1981]. 57 2.3. TARIFICATION DES OPTIONS DANS LE MOD`ELE BLACK-SCHOLES et donc, 2.3.4 Prix d’une option d’achat europ´eenne Comme nous l’avons vu dans la D´efinition 22, une option europ´eenne de type Call d’´ech´eance T et de prix d’exercice K, est un contrat entre deux parties (acheteur et ven- deur) dont les termes sont les suivants : `a la date de l’´etablissement du contrat, l’acheteur d’un Call doit verser une somme d’argent (prime) au vendeur pour s’octroyer l’option. Ce dernier s’engage `a vendre un actif sous-jacent au prix fixe K `a la date T si le prix du sous-jacent est au-dessus de K `a l’´ech´eance, ST > K. Sinon, dans le cas o`u, ST ⩽T, le contrat est perdu et l’acheteur perdra la somme investie au d´ebut pour l’achat de l’option. Toutefois, mˆeme si ST > K, le d´etenteur de l’option peut ne pas exercer le contrat car il s’agit d’un droit et non d’une obligation. Par ailleurs, pour une option de type Put de prix d’exercice K et d’´ech´eance T, une fois que la prime est vers´ee par l’acheteur. Le vendeur s’engage `a acheter un actif sous-jacent au prix K `a la date T si le prix de l’actif sous-jacent est en-dessous de K `a l’´ech´eance, ST < K. Sinon, le contrat est perdu et l’acheteur perdra 58 2.3. TARIFICATION DES OPTIONS DANS LE MOD`ELE BLACK-SCHOLES la prime. Ainsi, la valeur d’une option d´epend directement de son payoff, en particulier, pour un Call, il s’agit du maximum entre 0 et ST −K, cette valeur est appel´ee la valeur intrins`eque de l’option. La prime d’une option d´epend aussi de la valeur temps qui est d´efinie comme ´etant la probabilit´e que l’option aura une valeur intrins`eque non nulle `a l’´ech´eance. De fa¸con g´en´erale, le prix d’une option est donn´e par la formule suivante Prime = Valeur Intrins`eque + Valeur Temps (2.36) (2.36) Prime = Valeur Intrins`eque + Valeur Temps (2.36) Dans le jargon de la Bourse, pour une option d’achat Call, lorsque St < K, on dit que l’option est Out-Of-The-Money (OTM). Clairement, les options d’achats OTM n’ont pas de valeur intrins`eque. Dans le cas o`u, St = K, on dit que l’option est At-The-Money (ATM). Une option d’achat ATM n’a pas de valeur intrins`eque, mais elle peut toujours avoir une valeur temporelle avant l’expiration du contrat. La derni`ere situation est quand St > K, on dit dans ce cas que l’option est In-The-Money (ITM). Dans cette der- ni`ere situation l’option aura `a la fois une valeur intrins`eque et temporelle, c’est aussi le seul sc´enario o`u l’option d’achat peut ˆetre exerc´ee par son d´etenteur. Comme le montre la Figure 2.1, la valeur temps est absorb´ee `a mesure que le prix de l’actif sous-jacent s’´eloigne du prix d’exercice, elle est maximale, lorsque l’option est ATM. Nous pouvons dire que la valeur temps d´epend principalement de deux facteurs, `a savoir, l’´ech´eance T et la volatilit´e σ de l’actif sous-jacent. En effet, si l’´ech´eance de l’option est ´eloign´ee, il y a une plus forte probabilit´e que l’option termine en ITM. Donc, plus la dur´ee de vie du contrat est grande, plus la valeur temps est grande et par cons´equent, plus la prime de l’option est importante. De mˆeme pour la volatilit´e, plus le march´e est volatile, plus la probabilit´e d’un accroissement de la valeur intrins`eque est forte, et donc, plus la valeur temps est grande ce qui augmente la prime. Figure 2.1 – ´Evolution de la valeur intrins`eque et de la valeur temps d’une option d’achat europ´eenne par rapport au prix de l’actif sous-jacent pour diff´erentes ´ech´eances. Notes : Le prix du Call est calcul´e avec la formule de tarification (2.37). Figure 2.1 – ´Evolution de la valeur intrins`eque et de la valeur temps d’une option d’achat europ´eenne par rapport au prix de l’actif sous-jacent pour diff´erentes ´ech´eances. Notes : Le prix du Call est calcul´e avec la formule de tarification (2.37). 59 2.3. TARIFICATION DES OPTIONS DANS LE MOD`ELE BLACK-SCHOLES Le r´esultat suivant est appliqu´e dans les march´es financiers, il est connu sous l’appel- lation de Black-Scholes formula. Proposition 18. Prime = Valeur Intrins`eque + Valeur Temps (2.36) Dans le mod`ele de Black-Scholes, le prix `a l’instant z´ero d’un Call europ´een de prix d’exercice K et d’´ech´eance T est donn´e par CBS 0 = S0Φ(d1) −Ke−rTΦ(d2), (2.37) (2.37) o`u o`u d1 = log(S0/K) + (r + σ2/2)T σ √ T et d2 = d1 −σ √ T. D´emonstration. `A partir de la formule (2.22), le prix de l’actif sous-jacent sous la mesure de risque-neutre Q est donn´e par D´emonstration. `A partir de la formule (2.22), le prix de l’actif sous-jacent sous la mesure de risque-neutre Q est donn´e par St = S0 exp (µt + σWt) , t ∈[0, T], (2.38) (2.38) o`u µ = r −σ2/2. D’apr`es le Th´eor`eme 11, le prix `a l’instant z´ero d’un Call europ´een de prix d’exercice K et d’´ech´eance T est donn´e par o`u µ = r −σ2/2. D’apr`es le Th´eor`eme 11, le prix `a l’instant z´ero d’un Call europ´een de prix d’exercice K et d’´ech´eance T est donn´e par CBS 0 = EQ h e−rT(ST −K)+ i . (2.39) (2.39) Soit Xt = µ σt + Wt, t ∈[0, T]. D’apr`es le th´eor`eme de Girsanov, le processus Xt est un mouvement brownien standard sous la mesure de probabilit´e eQ ´equivalente `a Q qui est d´efinie par d eQ dQ FT = exp "1 2 µ σ 2 T − µ σ  XT # . (2.40) (2.40) Afin de simplifier le calcul de la formule de tarification (2.39), nous ´ecrivons Afin de simplifier le calcul de la formule de tarification (2.39), nous ´ecrivons CBS 0 = EQ h e−rT(ST −K)1{ST >K} i (2.41) = EQ h e−rTST1{ST >K} i −Ke−rTQ (ST > K) (2.42) = S0e−rTEQ h eσXT 1{XT >k} i −Ke−rTQ (XT > k) , (2.43) (2.41) (2.42) (2.43) o`u k = log (K/S0)/σ. Le processus Xt n’est pas un mouvement brownien sous Q, il faut donc ´ecrire la formule (2.43) sous la mesure eQ. On a Q (XT > k) = EQ h 1{XT >k} i (2.44) = EeQ  dQ d eQ FT 1{XT >k}   (2.45) = EeQ  e µ σ XT −1 2( µ σ) 2T1{XT >k}  (2.46) = e−1 2( µ σ) 2TEeQ  e µ σ √ TZ1n Z> k √ T o  , (2.47) (2.44) (2.45) o`u Z est une v.a. de loi N(0, 1). Prime = Valeur Intrins`eque + Valeur Temps (2.36) Avec la formule (3.27), on obtient EeQ  e µ σ √ TZ1n Z> k √ T o  = e 1 2( µ σ) 2TΦ µ σ √ T − k √ T ! . (2.48) (2.48) 60 60 2.3. TARIFICATION DES OPTIONS DANS LE MOD`ELE BLACK-SCHOLES Q (XT > k) = Φ µ σ √ T − k √ T ! . (2.49) (2.49) De fa¸con analogue, on a EQ h eσXT 1{XT >k} i = EeQ  e(σ+ µ σ )XT −1 2( µ σ) 2T1{XT >k}  = erTΦ eµ σ √ T − k √ T ! , (2.50) (2.50) o`u eµ = r + σ2/2. µ / Finalement, il suffit de remplacer les formules (2.49) et (2.50) dans (2.43) pour obtenir le r´esultat attendu. 2.3.5 Formule de parit´e Call-Put La tarification d’une option de vente europ´eenne dans le mod`ele de Black-Scholes est aussi possible grˆace `a l’hypoth`ese d’absence d’opportunit´e d’arbitrage sur le march´e. Le prix `a l’instant z´ero d’un Put de prix d’exercice K et d’´ech´eance T est donn´e avec la formule suivante P BS 0 = EQ h e−rT(K −ST)+ i . (2.51) (2.51) Le calcul de la formule (2.51) est analogue au calcul que nous avons effectu´e dans la section pr´ec´edente pour le cas d’une option de type Call. Cependant, il existe une relation analytique entre les options Call et Put appel´ee formule de parit´e Call-Put. Cette formule `a ´et´e introduite pour la premi`ere fois par Stoll [1969], elle est donn´ee ainsi CBS 0 −P BS 0 = S0 −Ke−rT. (2.52) (2.52) 2.3.6 Exemples de tarification d’autres types d’options : Les Op- tions Asiatiques Dans cette section, nous allons voir une autre classe d’options appel´ee options asia- tiques. Ces derni`eres ont une valeur qui d´epend de la moyenne du cours de l’actif sous- jacent sur la dur´ee de vie du contrat. Cette caract´eristique des options asiatiques permet de capter toutes les fluctuations du cours (basse, hausse ou stabilisation) contrairement aux options europ´eennes dont la valeur d´epend uniquement de l’´etat du march´e `a l’´ech´eance. 13. Aussi appel´ee option g´eom´etrique asiatique. Option asiatique `a moyenne g´eom´etrique D´efinition 25. Une option asiatique `a moyenne g´eom´etrique 13 de prix d’exercice K fixe 14 et d’´ech´eance T est une option dont le payoffhT s’´ecrit comme hT = exp 1 T Z T 0 log Sudu ! −K ! + , (2.53) (2.53) 14. Il existe des options asiatiques `a prix d’exercice al´eatoire. Dans ce type d’options, on consid`ere que le prix d’exercice est ´egale au prix de l’actif sous-jacent `a l’´ech´eance. 61 2.3. TARIFICATION DES OPTIONS DANS LE MOD`ELE BLACK-SCHOLES pour un Call, et pour un Call, et pour un Call, et hT = K −exp 1 T Z T 0 log Sudu !! + , (2.54) (2.54) pour un Put. Proposition 19. Dans le mod`ele de Black-Scholes, le prix `a l’instant z´ero d’une option d’achat asiatique `a moyenne g´eom´etrique de prix d’exercice K et d’´ech´eance T est donn´e par GAC = S0e−r+σ2/6 2 TΦ(d1) −Ke−rTΦ(d2), (2.55) (2.55) o`u d1 = √ 3 σ √ T log S0 K  + r + σ2/6 2 T ! et d2 = d1 −σ √ T √ 3 . D´emonstration. Voir [Angus, 1999]. D´emonstration. Voir [Angus, 1999]. D´emonstration. Voir [Angus, 1999]. Option asiatique `a moyenne arithm´etique D´efinition 26. Une option asiatique `a moyenne arithm´etique de prix d’exercice K fixe et d’´ech´eance T est une option dont le payoffhT s’´ecrit comme hT = 1 T Z T 0 Sudu −K ! + , (2.56) (2.56) pour un Call, et pour un Call, et hT = K −1 T Z T 0 Sudu ! + , (2.57) (2.57) pour un Put. Les options asiatique `a moyenne arithm´etique ou options arithm´etiques asiatiques n’ont pas de formule de tarification sous forme-ferm´ee 15 comme dans le cas g´eom´etrique la raison est que la distribution de somme de v.a. de loi log-normale n’est pas connue analytiquement. 16 En pratique, le prix des options asiatiques `a moyenne arithm´etique est approxim´e par des m´ethodes num´eriques. q 16. La distribution de somme log-normale est approch´ee analytiquement par une distribution log- normale avec les deux premier moment identique, cette technique est connue en litt´erature sous l’ap- pellation de Moment-Matching Approximation (pour plus de d´etails, voir [Lo et al., 2014]). 15. Une expression est dite de forme-ferm´ee si elle s’exprime `a l’aide d’un nombre fini d’op´erations math´ematiques standard. pproximation Log-normale du prix des options arithm´etiques asiatiques de distribution log N(µ; σ) et K une constante positive. Alors, on a Proposition 20. Soit X une v.a. de distribution log N(µ; σ) et K une constante positive. Alors, on a Alors, on a Υ(µ, σ; K) = EQ [(X −K)+] = eµ+σ2/2Φ σ2 + µ −log K σ ! −KΦ µ −log K σ ! . (2.65) (2.65) Avec l’approximation (2.62), le prix `a l’instant z´ero d’une options d’achat arithm´etique asiatique peux ˆetre approxim´e comme suit Avec l’approximation (2.62), le prix `a l’instant z´ero d’une options d’achat arithm´etique asiatique peux ˆetre approxim´e comme suit AAC = EQ " e−rT 1 T Z T 0 Sudu −K ! + # ≈EQ h e−rT (log N(µT; σT) −K)+ i . (2.66) AAC = EQ " e−rT 1 T Z T 0 Sudu −K ! + # ≈EQ h e−rT (log N(µT; σT) −K)+ i . (2.66) (2.66) De plus, avec la fonction Υ de la Proposition 20, on a De plus, avec la fonction Υ de la Proposition 20, on a AAC ≈e−rTΥ(µT, σT; K). (2.67) (2.67) Remarque 8. Il existe d’autres approches pour approximer le prix AAC, nous citons `a titre d’exemple la technique de conditionnement par une moyenne g´eom´etrique propos´ee pour la premi`ere fois par Curran [1994]. pproximation Log-normale du prix des options arithm´etiques asiatiques Nous rappelons que dans le mod`ele de Black-Scholes et sous la mesure de risque-neutre Q, le prix St `a l’instant t de l’actif sous-jacent suit une distribution log-normale. On a St ∼log N  log S0 + (r −σ2/2)t; σ √ t  . (2.58) (2.58) Soit At un processus d´efini par At = 1 t Z t 0 Sudu, t ∈[0, T]. (2.59) (2.59) 15. Une expression est dite de forme-ferm´ee si elle s’exprime `a l’aide d’un nombre fini d’op´erations math´ematiques standard. 15. Une expression est dite de forme-ferm´ee si elle s’exprime `a l’aide d’un nombre fini d’op´erations math´ematiques standard. 16. La distribution de somme log-normale est approch´ee analytiquement par une distribution log- normale avec les deux premier moment identique, cette technique est connue en litt´erature sous l’ap- pellation de Moment-Matching Approximation (pour plus de d´etails, voir [Lo et al., 2014]). 62 2.4. OPTIONS DONT LE PAYOFF D´EPEND DE L’INSTANT DE PREMIER PASSAGE La distribution de la v.a. AT n’est pas connue analytiquement. Cependant, il est possible de calculer, sous la mesure Q, les deux premiers moments de AT comme dans [Milevsky et Posner, 1998]. On a La distribution de la v.a. AT n’est pas connue analytiquement. Cependant, il est possible de calculer, sous la mesure Q, les deux premiers moments de AT comme dans [Milevsky et Posner, 1998]. On a m1(T) = EQ [AT] = S0 erT −1 rT (2.60) m1(T) = EQ [AT] = S0 erT −1 rT m1(T) = EQ [AT] = S0 erT −1 rT (2.60) (2.60) et et m2(T) = EQ h A2 T i = 2S2 0 T 2 " e(2r+σ2)T (r + σ2)(2r + σ2) + 1 r(2r + σ2) − erT r(r + σ2) # . (2.61) Grˆace aux relations (3.34) et (3.35), on obtient aux relations (3.34) et (3.35), on obtient Grˆace aux relations (3.34) et (3.35), on obtient AT d≈log N(µT; σT), (2.62) AT d≈log N(µT; σT), (2 (2.62) o`u o`u o`u µT = log  m1(T)2 q m2(T)  , (2.63) σT = v u u tlog m2(T) m1(T)2 ! . (2.64) µT = log  m1(T)2 q m2(T)  , (2.63) σT = v u u tlog m2(T) m1(T)2 ! . (2.64) µT = log  m1(T)2 q m2(T)  , (2.63) v u m2(T) ! (2.63) σT = v u u tlog m2(T) m1(T)2 ! . (2.64) (2.64) Proposition 20. Soit X une v.a. 2.4.1 Option `a barri`ere Une option `a barri`ere est une option dont la gain, `a l’´ech´eance, d´epend du fait que le cours de l’actif sous-jacent a atteint ou non un certain seuil pr´ed´etermin´e appel´e barri`ere. 63 2.4. OPTIONS DONT LE PAYOFF D´EPEND DE L’INSTANT DE PREMIER PASSAGE Une option `a barri`ere appartient `a la cat´egorie d’options appel´ees path-dependent op- tion, il s’agit d’options dont le prix d´epend de la trajectoire que va prendre le cours de l’actif sous-jacent pendant la dur´ee de vie du contrat. D’autres types d’options d´e- pendantes de la trajectoire sont n´egoci´es sur les march´es financiers, `a savoir, les options asiatiques, les options Binaires, etc. Il existe deux classes d’options `a barri`eres, la premi`ere est dite knock-in option, cette option s’active si la barri`ere est atteinte avant l’´ech´eance. Le deuxi`eme type d’option `a barri`ere est appel´e knock-out option, cette option, quand `a elle, se d´esactive si la barri`ere est atteinte avant l’´ech´eance. Dans les options `a barri`eres, nous distinguons aussi deux positions pour la barri`ere, soit que la barri`ere est sup´erieur au prix initiale du march´e, on dira que c’est une barri`ere haute (ou Up-barrier) ou que la barri`ere est inf´erieur au prix initiale du march´e, on dira que c’est une barri`ere basse (ou Down-barrier). Dans le tableau ci-dessous, nous regroupons les diff´erentes classes d’options `a barri`eres selon que l’option est d’achat (Call) ou de vente (Put). Nous consid´erons un prix d’exercice K, une ´ech´eance T et une barri`ere B. Type d’option Classes Payoff Notations Call Down-and-Out (ST −K)+1{mint∈[0;T ] St>B} DOCB Down-and-In (ST −K)+1{mint∈[0;T ] St<B} DICB Up-and-Out (ST −K)+1{maxt∈[0;T ] St<B} UOCB Up-and-In (ST −K)+1{maxt∈[0;T ] St>B} UICB Put Down-and-Out (K −ST)+1{mint∈[0;T ] St>B} DOPB Down-and-In (K −ST)+1{mint∈[0;T ] St<B} DIPB Up-and-Out (K −ST)+1{maxt∈[0;T ] St<B} UOPB Up-and-In (K −ST)+1{maxt∈[0;T ] St>B} UIPB Remarque 9. 2.4.1 Option `a barri`ere Le payoffdes options `a barri`eres d´epend donc du maximum du prix de l’actif sous-jacent pendant la dure de vie du contrat, comme nous l’avons vu dans le Chapitre 1, ce maximum est en relation direct avec l’instant de premier passage `a barri`ere B par le processus de prix St puisque on a n T S B < T o = n max t∈[0;T] St > B o , S0 < B (2.68) n T S B < T o = n max t∈[0;T] St > B o , S0 < B (2.68) et n T S B < T o = n min t∈[0;T] St < B o , S0 > B (2.69) (2.68) et n T S B < T o = n min t∈[0;T] St < B o , S0 > B (2.69) (2.69) o`u T S B = inf{t ⩾0 : St = B}. o`u T S B = inf{t ⩾0 : St = B}. L’une des raisons d’introduire les options `a barri`eres dans les march´es financiers est que leur prix est beaucoup plus attractif que celui des options europ´eennes standard. Cette diff´erence de prix est principalement due `a l’ajout de la condition que la barri`ere soit atteinte ou non. De plus, la formule de tarification sous le mod`ele de Black-Scholes est connue pour les huit options `a barri`eres [Zhang, 1998, pp. 220-238]. Cependant, il n’existe 64 2.4. OPTIONS DONT LE PAYOFF D´EPEND DE L’INSTANT DE PREMIER PASSAGE pas de formule sous forme-ferm´ee pour le cas d’un mod`ele de Black-Scholes avec volatilit´e stochastique [Chiarella et al., 2012]. De mˆeme, pour le mod`ele avec taux d’int´erˆet stochas- tique ´etudi´e par Bernard et al. [2008]. Par ailleurs, pour une option `a barri`ere mobile, il existe en litt´erature plusieurs approches, nous citons en exemple, les travaux de Rogers et Zane [1997]. Il est possible de consid´erer des options `a double barri`eres, autrement dit, une situation dans laquelle une option `a barri`eres s’active `a partir du moment o`u le cours atteint une autre barri`ere, cette id´ee est d´evelopp´ee dans [Kunitomo et Ikeda, 1992] et [Geman et Yor, 1996]. Comme dans [Carr, 1995], un montant de remboursement fixe est parfois ajout´e `a une options `a barri`ere, ce montant repr´esente une portion de la prime vers´e. Formule de tarification d’une option Up-and-Out Call Proposition 21. Dans le mod`ele de Black-Scholes, le prix `a l’instant z´ero d’une option d’achat de type Up-and-Out de prix d’exercice K, d’´ech´eance T et de barri`ere B > K est donn´e par UOCB = S0  Φ  δ+  T, S0 K  −Φ  δ+  T, S0 B  −e−rTK  Φ  δ−  T, S0 K  −Φ  δ−  T, S0 B  −B S0 B −2r/σ2 " Φ δ+ T, B2 KS0 !! −Φ  δ+  T, B S0 # + e−rTK S0 B 1−2r/σ2 " Φ δ− T, B2 KS0 !! −Φ  δ−  T, B S0 # , (2.70) (2.70) o`u S0 ⩽B et δ±(τ, s) = 1 σ√τ [log s + (r ± σ2/2)τ]. D´emonstration. Voir [Shreve, 2008, pp. 300-307]. o`u S0 ⩽B et δ±(τ, s) = 1 σ√τ [log s + (r ± σ2/2)τ]. D´emonstration. Voir [Shreve, 2008, pp. 300-307]. Remarque 10. Les options `a barri`eres de type Knock-Out sont automatiquement ´elimin´es lorsque maxt∈[0;T] St > B ou mint∈[0;T] St < B. De mˆeme, pour les options UOCB et DIPB qui sont sans valeur dans les cas B ⩽K et B ⩾K, respectivement. Formule de parit´e Call-Put pour les options `a barri`eres Par construction nous avons les relations suivante entre les options `a barri`eres et les options europ´eenne standard : UICB + UOCB = DICB + DOCB = CBS 0 (2.71) (2.71) et UIPB + UOPB = DIPB + DOPB = P BS 0 . (2.72) (2.72) (2.72) d t Il suffit d’appliquer les relations (2.71) et (2.72) avec les formules (2.37) et (2.52) pour d´eduire les formules de tarification des options de type Knock-In `a partir des Knock-Out options. 65 2.4. OPTIONS DONT LE PAYOFF D´EPEND DE L’INSTANT DE PREMIER PASSAGE Proposition 22. Dans le mod`ele de Black-Scholes, le prix `a l’instant z´ero d’une option de vente de type Up-and-Out de prix d’exercice K, d’´ech´eance T et de barri`ere B est donn´e par UOPB = S0    B S0 2r/σ2+1 Φ  ψ+  T, KS0 B2  −Φ  ψ+  T, K S0   −e−rTK   S0 B 1−2r/σ2 Φ  ψ−  T, KS0 B2  −Φ  ψ−  T, K S0   (2.73) (2.73) our K ⩽B, et pour K ⩽B, et UOPB = S0    B S0 2r/σ2+1 Φ  ψ+  T, S0 B  −Φ  ψ+  T, B S0   −e−rTK   S0 B 1−2r/σ2 Φ  ψ−  T, S0 B  −Φ  ψ−  T, B S0   (2.74) ur K ⩾B, o`u ψ±(τ, s) = 1 σ√τ [log s −(r ± σ2/2)τ]. (2.74) pour K ⩾B, o`u ψ±(τ, s) = 1 σ√τ [log s −(r ± σ2/2)τ]. 2.4.2 Option Asiatique `a barri`ere Comme nous l’avons vu dans la Section 2.3.6, les options asiatiques sont des options dont la valeur d´epend de la moyenne du cours de l’actif sous-jacent pendant la dur´ee de vie du contrat. Une barri`ere peut ˆetre ajouter `a un contrat asiatique afin de r´eduire son coˆut. L’id´ee est, si le cours de l’actif sous-jacent n’atteint pas un seuil favorable pour un investisseur, alors il n’est pas int´eressant d’acheter une option asiatique, et donc, la barri`ere fix´ee au d´ebut du contrat asiatique servira `a activ´e ou non le calcul de la moyenne. Les options asiatiques `a barri`eres sont donc consid´er´es comme ´etant des produits financiers hybride entre option `a barri`ere standard et option asiatique. En litt´erature, il n’existe pas de formules analytiques pour les options asiatiques `a barri`eres. Parmi les travaux scientifiques traitant le probl`eme de tarification de ces options, nous citons, Kazantzaki [2009], Hsu et al. [2012], Aimi et al. [2019] et Yang et al. [2019]. Pour le cas d’un prix d’exercice K fixe, il existe seize classes d’options asiatiques `a barri`eres selon le type de moyenne (g´eom´etrique / arithm´etique) : Type d’option Classes Payoff Notations Call Down-and-Out (GAsian T −K)+1{mint∈[0;T ] St>B} DOGACB Down-and-In (GAsian T −K)+1{mint∈[0;T ] St<B} DIGACB Up-and-Out (GAsian T −K)+1{maxt∈[0;T ] St<B} UOGACB Up-and-In (GAsian T −K)+1{maxt∈[0;T ] St>B} UIGACB Put Down-and-Out (K −GAsian T )+1{mint∈[0;T ] St>B} DOGAPB Down-and-In (K −GAsian T )+1{mint∈[0;T ] St<B} DIGAPB Up-and-Out (K −GAsian T )+1{maxt∈[0;T ] St<B} UOGAPB Up-and-In (K −GAsian T )+1{maxt∈[0;T ] St>B} UIGAPB 66 2.4. OPTIONS DONT LE PAYOFF D´EPEND DE L’INSTANT DE PREMIER PASSAGE Type d’option Classes Payoff Notations Call Down-and-Out (AAsian T −K)+1{mint∈[0;T ] St>B} DOAACB Down-and-In (AAsian T −K)+1{mint∈[0;T ] St<B} DIAACB Up-and-Out (AAsian T −K)+1{maxt∈[0;T ] St<B} UOAACB Up-and-In (AAsian T −K)+1{maxt∈[0;T ] St>B} UIAACB Put Down-and-Out (K −AAsian T )+1{mint∈[0;T ] St>B} DOAAPB Down-and-In (K −AAsian T )+1{mint∈[0;T ] St<B} DIAAPB Up-and-Out (K −AAsian T )+1{maxt∈[0;T ] St<B} UOAAPB Up-and-In (K −AAsian T )+1{maxt∈[0;T ] St>B} UIAAPB Avec GAsian T = exp 1 T Z T 0 log Sudu ! et AAsian T = 1 T Z T 0 Sudu. Type d’option Classes Payoff Notations Call Down-and-Out (AAsian T −K)+1{mint∈[0;T ] St>B} DOAACB Down-and-In (AAsian T −K)+1{mint∈[0;T ] St<B} DIAACB Up-and-Out (AAsian T −K)+1{maxt∈[0;T ] St<B} UOAACB Up-and-In (AAsian T −K)+1{maxt∈[0;T ] St>B} UIAACB Put Down-and-Out (K −AAsian T )+1{mint∈[0;T ] St>B} DOAAPB Down-and-In (K −AAsian T )+1{mint∈[0;T ] St<B} DIAAPB Up-and-Out (K −AAsian T )+1{maxt∈[0;T ] St<B} UOAAPB Up-and-In (K −AAsian T )+1{maxt∈[0;T ] St>B} UIAAPB Avec GAsian T = exp 1 T Z T 0 log Sudu ! et AAsian T = 1 T Z T 0 Sudu. Avec Avec GAsian T = exp 1 T Z T 0 log Sudu ! et et AAsian T = 1 T Z T 0 Sudu. 67 3.1 Options d’Istanbul Le concept des options d’Istanbul a ´et´e introduit pour la premi`ere fois par Michel Jacques en 1997. Ces produits d´eriv´es sont consid´er´es comme une extension des options asiatiques. Une option d’Istanbul est une option exotique 1 dont le gain d´epend du fait que le prix de l’actif sous-jacent a atteint ou non une certaine barri`ere pr´ealablement fix´e. Si cette barri`ere est atteinte avant l’´ech´eance, une option asiatique est activ´ee et la moyenne est calcul´ee `a partir du premier moment o`u le prix de l’actif sous-jacent atteint la bar- ri`ere jusqu’`a l’´ech´eance. Toutefois, si la barri`ere n’est pas atteinte, une option europ´eenne standard est activ´ee `a l’´ech´eance. Une option d’Istanbul peut donc ˆetre consid´er´ee comme une option hybride qui pr´esente les caract´eristiques d’une option asiatique et d’une op- tion europ´eenne standard. 2 Cette option est similaire au options asiatiques avec barri´ere ´etudi´ee par Zvan et al. [1999] et Hsu et al. [2012], la principale diff´erence ´etant que dans les cas d’option d’Istanbul, le calcul de la moyenne est activ´e `a partir du premier moment o`u la barri`ere est atteinte et non `a partir de la date d’acquisition du contrat. Si on consid`ere le mod`ele de Black et Scholes [1973], l’´evaluation de produits tels que les options arithm´etiques asiatiques devient tr`es difficile car l’hypoth`ese de prendre le prix de l’actif sous-jacent comme un mouvement g´eom´etrique Brownien ne permet pas d’obtenir une formule d’´evaluation de forme ferm´ee car la distribution de la somme des variables al´eatoires log-normales n’est pas connue en th´eorie. Cependant, le prix d’une option arithm´etique asiatique peut ˆetre approxim´e en pratique par des simulations de Monte-Carlo (MC) avec des techniques de r´eduction de la variance de l’estimateur obtenu (voir, [Zhang, 2009], [Mehrdoust, 2015] et [Lu et al., 2019]). Il est ´egalement possible d’approcher le prix de ces options avec une expansion de Taylor comme dans [Ju, 2002] ou en r´esolvant num´eriquement l’´equation diff´erentielle partielle qui caract´erise le prix de l’option comme dans [Vacer, 2001]. Les m´ethodes bas´ees sur la transformation rapide de Fourier (FFT) sont ´egalement tr`es efficaces, comme le montrent les r´esultats obtenus dans [Kirkby, 2016]. Le probl`eme de la tarification des options arithm´etiques asiatiques est ´egalement largement ´etudi´e dans le cadre de mod`eles ´economiques plus complexes tels que le mod`ele L´evy [Fusai et Meucci, 2008] et le mod`ele de volatilit´e stochastique ´etudi´e dans [Kirkby et Nguyen, 2020]. Une approximation de forme ferm´ee du prix d’une option d’Istanbul `a moyenne g´eom´etrique Sommaire 3.1 Options d’Istanbul . . . . . . . . . . . . . . . . . . . . . . . . . . 69 3.2 Tarification des options d’Istanbul `a moyenne g´eom´etrique . 70 3.3 Approximation Log-normale pour le prix d’une option d’Is- tanbul `a moyenne arithm´etique . . . . . . . . . . . . . . . . . . 77 3.4 Analyse num´erique . . . . . . . . . . . . . . . . . . . . . . . . . 78 68 3.1. OPTIONS D’ISTANBUL 3. Historiquement, les options GAOs ont ´et´e introduites pour la premi`ere fois par Kemna et Vorst [1990] comme variable de contrˆole afin de r´eduire la variance de l’estimateur de Monte-Carlo du prix d’une option arithm´etique asiatique. 2. L’appellation par options d’Istanbul vient du fait que Istanbul est une importante ville commerciale en Turquie, `a cheval sur l’Europe et l’Asie par le d´etroit du Bosphore. 1. Une option exotique est une option dont le payoffest plus complexe que celui d’une option euro- p´eenne standard. 2. L’appellation par options d’Istanbul vient du fait que Istanbul est une importante ville commerciale en Turquie, `a cheval sur l’Europe et l’Asie par le d´etroit du Bosphore. 3. Historiquement, les options GAOs ont ´et´e introduites pour la premi`ere fois par Kemna et Vorst [1990] comme variable de contrˆole afin de r´eduire la variance de l’estimateur de Monte-Carlo du prix d’une option arithm´etique asiatique. 3.1 Options d’Istanbul Pour le cas d’une option g´eom´etrique asiatique (GAO) 3, la formule de tarification est connue sous forme ferm´ee [Section 2.3.6, formule (2.55)]. Le prix d’une option de vente asiatique g´eom´etrique est obtenu avec la formule de parit´e Call-Put comme dans une op- tion europ´eenne standard. R´ecemment, les options g´eom´etriques asiatiques avec barri`ere ont ´et´e ´etudi´ees par Aimi et Guardasoni [2017] et Aimi et al. [2018], la formule de tarifi- cation de ce type d’options n’a pas de forme ferm´ee. Les options impliquant une moyenne g´eom´etrique sont ´egalement ´etudi´ees dans le contexte d’une volatilit´e stochastique comme dans [Wong et Cheung, 2004] et [Hubalek et Sgarra, 2011]. (AIC) est ´etudi´ee en Dans [Jacques, 1997], l’option d’achat arithm´etique d’Istanbul (AIC) est ´etu 1. Une option exotique est une option dont le payoffest plus complexe que celui d’une option euro- p´eenne standard. 69 3.2. TARIFICATION DES OPTIONS D’ISTANBUL `A MOYENNE G´EOM´ETRIQUE temps continu et discret. Le prix de cette option est obtenu par une approximation log- normale (plus de d´etails sur cette approche pouvant ˆetre trouv´e dans [L´evy, 1992]). Dans ce chapitre, nous nous concentrons sur le probl`eme du prix de l’option g´eom´e- trique d’Istanbul (GIO) dans les transactions en temps continu. Nous ne consid´erons que le cas d’une option d’achat avec une barri`ere haute et un prix d’exercice fixe. Nous sup- posons ´egalement que les termes du contrat ne garantissent aucun paiement de dividende ou de rabais `a l’´ech´eance. Actuellement, les options d’Istanbul ne font pas partie des produits propos´es sur les march´es d’options. Toutefois, il est possible d’int´egrer ces produits d´eriv´es comme alter- native aux options asiatiques et aussi aux options parisiennes [Chesney et al., 1997]. Une autre id´ee pour l’application des options d’Istanbul serait de les injecter comme partie de remboursement dans des produits d´ej`a connus et n´egoci´es tels que les options ˜A bar- ri`ere europ´eenne. Le rabais pour les options `a barri`ere est g´en´eralement fix´e au d´ebut du contrat. Ce montant, qui repr´esente une partie de la prime investie, ne d´epend pas des fluctuations du prix de l’actif sous-jacent pendant la dur´ee de vie de l’option. Le prix d’une option d’Istanbul peut etre ajout´e pour garantir le remboursement d’une somme d’argent si les sc´enarios attendus par le d´etenteur de l’option ne se r´ealisent pas `a l’´ech´eance. 3.2 Tarification des options d’Istanbul `a moyenne g´eo- m´etrique `A partir des d´efinitions (3.2) et (3.3), on peut voir que le prix des options d’achat g´eo- m´etriques d’Istanbul et des options d’achat g´eom´etriques asiatiques co¨ıncident lorsque S0 ⩾B. Comme nous le verrons dans la Section 3.2.1, notre m´ethode d’approximation analytique peut ˆetre appliqu´ee dans le cas d’une option de type Put. Avec la formule de tarification sous risque-neutre [Th´eor`eme 11], le prix `a l’instant z´ero d’une option g´eom´etrique d’Istanbul correspond `a la valeur attendue de son gain actualis´e `a l’´ech´eance, ce prix sera d´esign´e pour une option d’achat par GICB. Ainsi, nous avons GICB = EP h e−rT (GT −K)+ i , (3.4) (3.4) La distribution de probabilit´e de GT est essentielle pour obtenir une formule analytique de GICB. On remarque que cette distribution est connue lorsque B n’est pas atteint avant T, elle correspond `a la distribution conjointe du mouvement Brownien g´eom´etrique et de son instant de premier passage `a B. Ainsi, seule la distribution lorsque B est atteinte avant T est inconnue et doit ˆetre calcul´ee. Pour x > 0, nous avons P  GT ⩽x, τ S B < T  = Z T 0 P  GT ⩽x, τ S B = t  dt = Z T 0 P exp 1 T −τ S B Z T τ S B log Sudu ! ⩽x, τ S B = t ! dt. (3.5) (3.5) Soit un processus Zt, t ⩾0, d´efini par Zt = Wτ S B+t −Wτ S B. En vertu de la propri´et´e forte de Markov [Th´eor`eme 3], et conditionnellement `a {τ S B < T}, le processus Zt est un P-mouvement Brownien standard issu de z´ero. Ce processus est aussi ind´ependant du temps d’arrˆet τ S B puisque il est ind´ependant de la tribu Fτ S B. Soit un processus Zt, t ⩾0, d´efini par Zt = Wτ S B+t −Wτ S B. En vertu de la propri´et´e forte de Markov [Th´eor`eme 3], et conditionnellement `a {τ S B < T}, le processus Zt est un P-mouvement Brownien standard issu de z´ero. Ce processus est aussi ind´ependant du temps d’arrˆet τ S B puisque il est ind´ependant de la tribu Fτ S B. Par ailleurs, pour t ∈[τ S B, T], nous avons log St = log B + µ  t −τ S B  + σZt−τ S B. 3.2 Tarification des options d’Istanbul `a moyenne g´eo- m´etrique Nous consid´erons le mod`ele standard Black-Scholes [Section 2.3] de march´e sans fric- tion o`u il n’y a pas d’opportunit´e d’arbitrage, le taux d’int´erˆet sans risque r > 0 et la volatilit´e σ > 0 sont constants. Le cours `a l’instant t de l’actif sous-jacente St suit un mouvement g´eom´etrique Brownien St = S0 exp (µt + σWt) , t ∈[0, T], (3.1) (3.1) o`u [0, T] est la p´eriode de n´egociation, S0 > 0 est le prix initial du march´e, µ = r −σ2/2 est le taux de d´erive et Wt un mouvement Brownien standard unidimensionnel sous la probabilit´e de risque-neutre not´ee P. o`u [0, T] est la p´eriode de n´egociation, S0 > 0 est le prix initial du march´e, µ = r −σ2/2 est le taux de d´erive et Wt un mouvement Brownien standard unidimensionnel sous la probabilit´e de risque-neutre not´ee P. Dans tout ce qui va suivre, la constante B (> S0) est une barri`ere haute pr´ealablement fix´ee dans les termes du contrat. Le premier instant de passage de la barri`ere B par le processus St est une v.a. not´ee τ S B et d´efinie comme τ S B ≡inf n t ∈[0, T] : St ⩾B o . (3.2) (3.2) Remarque 11. Si le processus de prix St n’atteint pas la barri`ere B pendant la p´eriode [0, T], nous prenons par convention que τ S B = +∞. Nous adoptons ´egalement les notations suivantes : • µ = µ/σ Nous adoptons ´egalement les notations suivantes : / • µ = µ/σ • b = log (B/S0)/σ. • b = log (B/S0)/σ. g ( / )/ Le payoffd’une option d’achat g´eom´etrique d’Istanbul (GIC) `a l’´ech´eance T et de prix d’exercice K peut s’´ecrire comme (GT −K)+, o`u K est le prix d’exercice et GT est une 70 3.2. TARIFICATION DES OPTIONS D’ISTANBUL `A MOYENNE G´EOM´ETRIQUE v.a. d´efinie par GT ≡exp 1 T −τ S B Z T τ S B log Sudu ! 1{τ S B<T} + ST1{τ S B⩾T}. (3.3) (3.3) (3.3), d `A partir des d´efinitions (3.2) et (3.3), on peut voir que le prix des options d’achat g´eo- m´etriques d’Istanbul et des options d’achat g´eom´etriques asiatiques co¨ıncident lorsque S0 ⩾B. Comme nous le verrons dans la Section 3.2.1, notre m´ethode d’approximation analytique peut ˆetre appliqu´ee dans le cas d’une option de type Put. 3.2 Tarification des options d’Istanbul `a moyenne g´eo- m´etrique (3.6) (3.6) Avec la formule (3.6), on peut ´ecrire Avec la formule (3.6), on peut ´ecrire P exp 1 T −τ S B Z T τ S B log Sudu ! ⩽x, τ S B = t ! = P µ 2σ T −τ S B  + 1 T −τ S B Z T −τ S B 0 Zudu ⩽1 σ log  x B  , τ S B = t ! = P 1 T −t Z T −t 0 Zudu ⩽1 σ log  x B  −µ 2σ (T −t) ! h(t) = Φ   √ 3  log(x/B) −µ 2 (T −t)  σ √ T −t  h(t), (3.7) ! ! = P µ 2σ T −τ S B  + 1 T −τ S B Z T −τ S B 0 Zudu ⩽1 σ log  x B  , τ S B = t ! = P 1 T −t Z T −t 0 Zudu ⩽1 σ log  x B  −µ 2σ (T −t) ! h(t) = Φ   √ 3  log(x/B) −µ 2 (T −t)  σ √ T −t  h(t), (3 (3.7) 71 3.2. TARIFICATION DES OPTIONS D’ISTANBUL `A MOYENNE G´EOM´ETRIQUE o`u h(t) = b √ 2πt3 exp −(b −µt)2 2t ! , (3.8) (3.8) est la densit´e de probabilit´e de l’instant de premier passage `a B par le processus St [Section 1.5.3, formule (1.230)]. Notons que l’´egalit´e (3.7) d´ecoule du fait que la v.a. R T−t 0 Zudu est gaus- sienne pour 0 ⩽t < T avec une moyenne nulle et une variance ´egale `a (T −t)3/3 [Section 1.5.1, Exemple 6]. p (3.7) ll Donc, la distribution de GT lorsque B est atteint avant T, est donn´ee par P  GT ⩽x, τ S B < T  = Z T 0 Φ   √ 3  log(x/B) −µ 2(T −t)  σ √ T −t  h(t)dt. (3.9) (3.9) Le d´eriv´e de la formule (3.9) par rapport `a x donne P  GT ∈(x, x + dx), τ S B < T  = √ 3b 2πσx exp 3µ log (x/B) 2σ −3µ2T 8 + bµ ! × Z T 0 1 p (T −t)t3 exp −3 log2 (x/B) 2(T −t)σ2 −µ2 8 t −b2 2t ! dtdx. (3 10) (3.10) Remarque 12. D´emonstration. Voir Annexe B en page 89. Th´eor`eme 12. Supposons que K ⩾B. Nous avons GICB ≈ √ 3b 2σ exp  −3µ2T 8 + bµ −rT  × ( B  exp(z3) n z4(1 −Φ(z2)) + z6φ(z2) + z7(1 −Φ(z2)) o + z5(1 −Φ(z1))  −K  exp(z9) n z10(1 −Φ(z8)) + z12 + w/a2 φ(z8) + z13(1 −Φ(z8)) o + z11(1 −Φ(z1)) ) , ) (3.11) o`u o`u o`u a = √ 3 σ √ T , h = |b| √ T , e = c −1, c = 3µ 2σ + 1, k = (T−b2)µ4 128 −µ2 4 , w = −µ4√ 3T 128σ , d = 3µ4 128σ2 , l = 2 Th + Tµ4h 128 , z1 = a log  K B  + h, z2 = z1 −c a, z4 = −2dh a3 −d(1−h2) ca2 + 2d c3 + 2dh ac2 + dc a4 + k c , z6 = d log(K/B) ac −2d ac2 −dh ca2 + d a3 + w a2 , z8 = z1 −e a, z10 = −2dh a3 −d(1−h2) ea2 + 2d e3 + 2dh ae2 + de a4 + k e, z12 = d log(K/B) ae −2d ae2 −dh ea2 + d a3 , z3 = c2 2a2 −hc a , z5 =  K B c  −d log2(K/B) c + 2d log(K/B) c2 −2d c3 −k c  , z7 = wc a3 −wh a2 + l a, z9 = e2 2a2 −he a , z11 =  K B e  −d log2(K/B) e + 2d log(K/B) e2 −2d e3 −k e  , z13 = we a3 −wh a2 + l a. 3.2 Tarification des options d’Istanbul `a moyenne g´eo- m´etrique L’int´egrale dans (3.10) n’admet pas une expression de forme ferm´ee ; cepen- dant, il est possible de l’approcher num´eriquement avec les m´ethodes de quadrature gaussiennes (voir Brass et Petras [2011]). Comme l’illustre la Figure 3.1, la quantit´e µ2/8 est tr`es faible pour un large ´eventail de param`etres r et σ. Cette observation nous permettra d’obtenir une approximation analytique de (3.10) en utilisant une expansion de la s´erie de Taylor au voisinage de z´ero. Remarque 12. L’int´egrale dans (3.10) n’admet pas une expression de forme ferm´ee ; cepen- dant, il est possible de l’approcher num´eriquement avec les m´ethodes de quadrature gaussiennes (voir Brass et Petras [2011]). Comme l’illustre la Figure 3.1, la quantit´e µ2/8 est tr`es faible pour un large ´eventail de param`etres r et σ. Cette observation nous permettra d’obtenir une approximation analytique de (3.10) en utilisant une expansion de la s´erie de Taylor au voisinage de z´ero. Figure 3.1 – Valeurs de µ2/8 pour r compris de 1% `a 8% et σ compris de 10% `a 50%. Figure 3.1 – Valeurs de µ2/8 pour r compris de 1% `a 8% et σ compris de 10% `a 50%. 72 72 3.2. TARIFICATION DES OPTIONS D’ISTANBUL `A MOYENNE G´EOM´ETRIQUE Le r´esultat suivant donne une approximation analytique efficace de la formule (3.10). Il peut ´egalement ˆetre appliqu´e afin de r´esoudre d’autres probl`emes d’int´egration. Lemme 3.1. Pour α ⩾0, γ et T > 0. Si β est au voisinage de z´ero, alors on a 1 π Z T 0 1 p (T −t)t3 exp − α2 2(T −t) −βt −γ t ! dt = α2 −2γ + T 2 β2 −2β ! (1 −Φ(d)) + √ T(√2γ −α) 2 β2 + s 2 Tγ ! φ(d) + O(β3), o`u d = (α + √2γ)/ √ T. D´emonstration. Voir Annexe B en page 89. D´emonstration. Voir Annexe B en page 89. (3.13) (3.13) isant le Lemme 3.1, on obtient l’approximation suivante En utilisant le Lemme 3.1, on obtient l’approximation suivante EP h e−rT (GT −K)+ 1{τ S B<T} i ≈e−rT (A −KB) , EP h e−rT (GT −K)+ 1{τ S B<T} i ≈e−rT (A −KB) , o`u A = Bb √ 3 2σ exp  −3µ2T 8 + bµ  × (Z +∞ log( K B ) e( 3µ 2σ +1)z  3 σ2 z2 + T −b2  µ4 128 −µ2 4   1 −Φ  √ 3 σ √ T |z| + |b| √ T  dz + Z +∞ log( K B ) e( 3µ 2σ +1)z  |b| − √ 3 σ |z|  µ4√ T 128 + 2 |b| √ T ! φ  √ 3 σ √ T |z| + |b| √ T  dz ) et B = b √ 3 2σ exp  −3µ2T 8 + bµ  × (Z +∞ log( K B ) e 3µ 2σ z  3 σ2 z2 + T −b2  µ4 128 −µ2 4   1 −Φ  √ 3 σ √ T |z| + |b| √ T  dz + Z +∞ log( K B ) e 3µ 2σ z  |b| − √ 3 σ |z|  µ4√ T 128 + 2 |b| √ T ! φ  √ 3 σ √ T |z| + |b| √ T  dz ) . × (Z +∞ log( K B ) e 3µ 2σ z  3 σ2 z2 + T −b2  µ4 128 −µ2 4   1 −Φ  √ 3 σ √ T |z| + |b| √ T  dz + Z +∞ log( K B ) e 3µ 2σ z  |b| − √ 3 σ |z|  µ4√ T 128 + 2 |b| √ T ! φ  √ 3 σ √ T |z| + |b| √ T  dz ) . Puisque K ⩾B, alors UOCB a une valeur nulle. Il suffit de calculer les quantit´es A et B avec les formules (3.41) et (3.42) pour obtenir le r´esultat souhait´e. Puisque K ⩾B, alors UOCB a une valeur nulle. Il suffit de calculer les quantit´es A et B avec les formules (3.41) et (3.42) pour obtenir le r´esultat souhait´e. Th´eor`eme 13. Supposons que K < B. Nous avons Th´eor`eme 13. Supposons que K < B. D´emonstration. Voir Annexe B en page 89. a = √ 3 σ √ T , h = |b| √ T , e = c −1, c = 3µ 2σ + 1, k = (T−b2)µ4 128 −µ2 4 , w = −µ4√ 3T 128σ , d = 3µ4 128σ2 , l = 2 Th + Tµ4h 128 , z1 = a log  K B  + h, z2 = z1 −c z c2 hc a = √ 3 σ √ T , h = |b| √ T , e = c −1, c = 3µ 2σ + 1, k = (T−b2)µ4 128 −µ2 4 , w = −µ4√ 3T 128σ , d = 3 12 l = 2 Th z1 = a z3 = c2 2a2 −hc a , z5 =  K B c  −d log2(K/B) c + 2d log(K/B) c2 −2d c3 −k c  , z7 = wc a3 −wh a2 + l a, z9 = e2 2a2 −he a , z11 =  K B e  −d log2(K/B) e + 2d log(K/B) e2 −2d e3 −k e  , z13 = we 3 −wh 2 + l . z2 = z1 −c a, z8 = z1 −e a, z13 = we a3 −wh a2 + l a. D´emonstration. Nous commen¸cons par r´e´ecrire la formule (3.4) comme D´emonstration. Nous commen¸cons par r´e´ecrire la formule (3.4) comme GICB = EP h e−rT (GT −K)+ 1{τ S B<T} i + UOCB. (3.12) (3.12) 73 3.2. TARIFICATION DES OPTIONS D’ISTANBUL `A MOYENNE G´EOM´ETRIQUE Le premier terme dans (3.12) s´ecrit comme suit Le premier terme dans (3.12) s´ecrit comme suit EP h e−rT (GT −K)+ 1{τ S B<T } i = Z +∞ K e−rT (x −K) P GT ∈(x, x + dx), τ S B < T  . (3.13) EP h e−rT (GT −K)+ 1{τ S B<T } i = Z +∞ K e−rT (x −K) P GT ∈(x, x + dx), τ S B < T  . D´emonstration. Voir Annexe B en page 89. La preuve est similaire `a celle du Th´eor`eme 12, il faut juste noter que le prix UOCB est non nul quand K < B. Sa valeur pour S0 ⩽B est connue sous la forme ferm´ee [Section 2.4.1, formule (2.70)]. Remarque 13. Le prix UOCB co¨ıncide, pour un prix d’exercice nul, avec le prix d’une option `a barri`ere binaire de type Up-and-Out asset-or-nothing [Rubinstein et Reiner, 1991]. D´emonstration. La preuve est similaire `a celle du Th´eor`eme 12, il faut juste noter que le prix UOCB est non nul quand K < B. Sa valeur pour S0 ⩽B est connue sous la forme ferm´ee [Section 2.4.1, formule (2.70)]. D´emonstration. La preuve est similaire `a celle du Th´eor`eme 12, il faut juste noter que le prix UOCB est non nul quand K < B. Sa valeur pour S0 ⩽B est connue sous la forme ferm´ee [Section 2.4.1, formule (2.70)]. Remarque 13. Le prix UOCB co¨ıncide, pour un prix d’exercice nul, avec le prix d’une option `a barri`ere binaire de type Up-and-Out asset-or-nothing [Rubinstein et Reiner, 1991]. D´emonstration. Voir Annexe B en page 89. TARIFICATION DES OPTIONS D’ISTANBUL `A MOYENNE G´EOM´ETRIQUE z1 = a log  B K  + h + c a, z3 = c2 2a2 + hc a , z5 = 2d ac2 −dh ca2 −d a3 −w a2 , z7 = −d c log2  K B  + 2d c2 log  K B  −2d c3 −k c , z9 = z8 −a log  B K  , z11 = 2dh a3 −d(1−h2) ea2 + 2d e3 −2dh ae2 + de a4 + k e + we a3 + wh a2 −l a, z13 = 2  2hd a3 −2hd e2a + wh a2 −l a  −z11, z2 = z1 −a log  B K  , z4 = 2dh a3 −d(1−h2) ca2 + 2d c3 −2dh ac2 + dc a4 + k c + wc a3 + wh a2 −l a, z6 = 2  2hd a3 −2hd c2a + wh a2 −l a  −z4, z8 = a log  B K  + h + e a, z10 = e2 2a2 + he a , z12 = 2d ae2 −dh ea2 −d a3 −w a2 , z14 = −d e log2  K B  + 2d e2 log  K B  −2d e3 −k e z2 = z1 −a log  B K  , z4 = 2dh a3 −d(1−h2) ca2 + 2d c3 −2dh ac2 + dc a4 + k c + wc a3 + wh a2 −l a, z6 = 2  2hd a3 −2hd c2a + wh a2 −l a  −z4, z8 = a log  B K  + h + e a, z10 = e2 2a2 + he a , z12 = 2d ae2 −dh ea2 −d a3 −w a2 , z14 = −d e log2  K B  + 2d e2 log  K B  −2d e3 −k e z1 = a log  B K  + h + c a, z3 = c2 2a2 + hc a , z5 = 2d ac2 −dh ca2 −d a3 −w a2 , z7 = −d c log2  K B  + 2d c2 log  K B  −2d c3 −k c , z9 = z8 −a log  B K  , z6 = 2  2hd a3 −2hd c2a + wh a2 −l a  −z4, z11 = 2dh a3 −d(1−h2) ea2 + 2d e3 −2dh ae2 + de a4 + k e + we a3 + wh a2 −l a, z13 = 2  2hd a3 −2hd e2a + wh a2 −l a  −z11, D´emonstration. D´emonstration. Voir Annexe B en page 89. Nous avons GICB ≈ √ 3b 2σ exp  −3µ2T 8 + bµ −rT  × ( B  exp(z3) n z4(Φ(z2) −Φ(z1)) −z5φ(z2) + (d log(B/K)/(ca) + z5) φ(z1) + exp(−2hc/a) ×  z6(Φ(z2 −2c/a) −1) −(z5 + 2dh/(ca2))φ(z2 −2c/a) o + z7(1 −Φ(z1 −c/a))(K/B)c  −K  exp(z10) n z11(Φ(z9) −Φ(z8)) −z12φ(z9) + (d log(B/K)/(ea) + z12) φ(z8) + exp(−2he/a) ×  z13(Φ(z9 −2e/a) −1) −(z12 + 2dh/(ea2))φ(z9 −2e/a) o + z14(1 −Φ(z8 −e/a))(K/B)e ) ×  z13(Φ(z9 −2e/a) −1) −(z12 + 2dh/(ea2))φ(z9 −2e/a) o + z14(1 −Φ(z8 −e/a))(K/B)e ) + UOCB, (3.14) ) + UOCB, (3.14) + UOCB, + UOCB, o`u a = √ 3 σ √ T , h = |b| √ T , e = c −1, c = 3µ 2σ + 1, k = (T−b2)µ4 128 −µ2 4 , d = 3µ4 128σ2 , l = 2 Th + Tµ4h 128 , w = −µ4√ 3T 128σ , a = √ 3 σ √ T , h = |b| √ T , e = c −1, 74 3.2. 3.2.1 Formule de tarification pour le cas d’une option de vente o`u a = √ 3 σ √ T , h = |b| √ T , e = c −1, c = 3µ 2σ + 1, k = (T−b2)µ4 128 −µ2 4 , w = −µ4√ 3T 128σ , d = 3µ4 128σ2 , l = 2 Th + Tµ4h 128 o`u o`u a = √ 3 σ √ T , h = |b| √ T , e = c −1, c = 3µ 2σ + 1, k = (T−b2)µ4 128 −µ2 4 , w = −µ4√ 3T 128σ , d = l = z1 = a log  K B  + h −c a, z3 = c2 2a2 + hc a , z5 = 2d ac2 −hd ca2 −d a3 −w a2 , z7 = −d c log2  K B  + 2d c2 log  K B  −2d c3 −k c , z9 = a log  K B  + h −e a, z11 = e2 2a2 + he a , z13 = 2d ae2 −hd ea2 −d a3 −w a2 , z15 = −d e log2  K B  + 2d e2 log  K B  −2d e3 −k e, z12 = 2dh a3 −d(1−h2) ea2 + 2d e3 −2dh ae2 + de a4 + k e + we a3 + wh a2 −l a, z13 = 2d ae2 −hd ea2 −d a3 −w a2 , z14 = 2dh a3 + d(1−h2) ea2 −2d e3 −2dh ae2 − de a4 − k e −we a3 + wh a2 −l a, 3.2.1 Formule de tarification pour le cas d’une option de vente o`u a = √ 3 σ √ T , h = |b| √ T , e = c −1, c = 3µ 2σ + 1, k = (T−b2)µ4 128 −µ2 4 , w = −µ4√ 3T 128σ , d = 3µ4 128σ2 , l = 2 Th + Tµ4h 128 , z1 = a log  K B  + h −c a, z3 = c2 2a2 + hc a , z5 = 2d ac2 −hd ca2 −d a3 −w a2 , z7 = −d c log2  K B  + 2d c2 log  K B  −2d c3 −k c , z9 = a log  K B  + h −e a, z11 = e2 2a2 + he a , z13 = 2d ae2 −hd ea2 −d a3 −w a2 , z15 = −d e log2  K B  + 2d e2 log  K B  −2d e3 −k e, z2 = h + c a, z4 = 2dh a3 − d(1−h2) ca2 + 2d c3 − 2dh ac2 + dc a4 + k c + wc a3 + wh a2 −l a, z6 = 2dh a3 + d(1−h2) ca2 − 2d c3 − 2dh ac2 − dc a4 − k c −wc a3 + wh a2 −l a, z8 = d log(K/B) ca −2d ac2 −hd ca2 + d a3 + w a2 , z10 = h + e a, z12 = 2dh a3 −d(1−h2) ea2 + 2d e3 −2dh ae2 + de a4 + k e + we a3 + wh a2 −l a, z14 = 2dh a3 + d(1−h2) ea2 −2d e3 −2dh ae2 − de a4 − k e −we a3 + wh a2 −l a, z16 = d log(K/B) ea −2d ae2 −hd ea2 + d a3 + w a2 . 3.2.1 Formule de tarification pour le cas d’une option de vente TARIFICATION DES OPTIONS D’ISTANBUL `A MOYENNE G´EOM´ETRIQUE o`u a = √ 3 σ √ T , h = |b| √ T , e = c −1, c = 3µ 2σ + 1, k = (T−b2)µ4 128 −µ2 4 , w = −µ4√ 3T 128σ , d = 3µ4 128σ2 , l = 2 Th + Tµ4h 128 , z1 = a log  K B  + h −c a, z3 = c2 2a2 + hc a , z5 = 2d ac2 −hd ca2 −d a3 −w a2 , z7 = −d c log2  K B  + 2d c2 log  K B  −2d c3 −k c , z9 = a log  K B  + h −e a, z11 = e2 2a2 + he a , z13 = 2d ae2 −hd ea2 −d a3 −w a2 , z15 = −d e log2  K B  + 2d e2 log  K B  −2d e3 −k e, z2 = h + c a, z4 = 2dh a3 − d(1−h2) ca2 + 2d c3 − 2dh ac2 + dc a4 + k c + wc a3 + wh a2 −l a, z6 = 2dh a3 + d(1−h2) ca2 − 2d c3 − 2dh ac2 − dc a4 − k c −wc a3 + wh a2 −l a, z8 = d log(K/B) ca −2d ac2 −hd ca2 + d a3 + w a2 , z10 = h + e a, z12 = 2dh a3 −d(1−h2) ea2 + 2d e3 −2dh ae2 + de a4 + k e + we a3 + wh a2 −l a, z14 = 2dh a3 + d(1−h2) ea2 −2d e3 −2dh ae2 − de a4 − k e −we a3 + wh a2 −l a, z16 = d log(K/B) ea −2d ae2 −hd ea2 + d a3 + w a2 . 3.2.1 Formule de tarification pour le cas d’une option de vente Dans le mod`ele de Black-Scholes, le prix `a l’instant z´ero d’une option de vente d’Istanbul `a moyenne g´eom´etrique de prix d’exercice K et d’´ech´eance T est donn´e sous la mesure de risque- neutre P par GIPB = EP h e−rT (K −GT )+ i , (3.15) (3.15) o`u GT est d´efinie comme dans (3.3). Afin d’avoir une formule d’approximation analytique du prix GIPB, nous adoptons la mˆeme technique utilis´ee dans les Th´eor`emes 12 et 13. o`u GT est d´efinie comme dans (3.3). Afin d’avoir une formule d’approximation analytique du prix GIPB, nous adoptons la mˆeme technique utilis´ee dans les Th´eor`emes 12 et 13. Th´eor`eme 14. Supposons que K ⩾B. Nous avons Th´eor`eme 14. Supposons que K ⩾B. Nous avons pp q ⩾ GIPB ≈ √ 3b 2σ exp  −3µ2T 8 + bµ −rT  × " K  ez11 (z12(Φ(z10) −1) −z13φ(z10)) −z15 K B e (1 −Φ(z9 + e/a)) −exp  z11 −2he a   z14 (Φ(z9) −Φ(z10 −2e/a)) + z16φ(z9) +  z13 + 2hd ea2  φ(z10 −2e/a)  −B  ez3(z4(Φ(z2) −1) −z5φ(z2)) −z7 K B c (1 −Φ(z1 + c/a)) −exp  z3 −2hc a   z6(Φ(z1) −Φ(z2 −2c/a)) + z8φ(z1) +  z5 + 2hd ca2  φ(z2 −2c/a) # GIPB ≈ √ 3b 2σ exp  −3µ2T 8 + bµ −rT  × " K  ez11 (z12(Φ(z10) −1) −z13φ(z10)) −z15 K B e (1 −Φ(z9 + e/a)) −exp  z11 −2he a   z14 (Φ(z9) −Φ(z10 −2e/a)) + z16φ(z9) +  z13 + 2hd ea2  φ(z10 −2e/a)  −B  ez3(z4(Φ(z2) −1) −z5φ(z2)) −z7 K B c (1 −Φ(z1 + c/a)) −exp  z3 −2hc a   z6(Φ(z1) −Φ(z2 −2c/a)) + z8φ(z1) +  z5 + 2hd ca2  φ(z2 −2c/a)  # + UOPB, (3.16) + UOPB, (3.16) 75 3.2. Th´eor`eme 15. Supposons que K < B. Nous avons La preuve des Th´eor`emes 14 et 15 est similaire `a celle des Th´eor`emes 12 et 13, il convient juste de noter que le prix UOPB est donn´e par la Proposition 22. Th´eor`eme 15. Supposons que K < B. Nous avons Th´eor`eme 15. Supposons que K < B. Nous avons GIPB ≈ √ 3b 2σ exp  −3µ2T 8 + bµ −rT  × " K  z7(1 −Φ(z1)) K B e + exp(z6)  z9(Φ(z1 + e/a) −1) −z8φ(z1 + e/a)  −B  z3(1 −Φ(z1)) K B c + exp(z2)  z5(Φ(z1 + c/a) −1) −z4φ(z1 + c/a) # # + UOPB, (3.17) (3.17) + UOPB, (3.17) o`u ou a = √ 3 σ √ T , h = |b| √ T , e = c −1, c = 3µ 2σ + 1, k = (T−b2)µ4 128 −µ2 4 , d = 3µ4 128σ2 , l = 2 Th + Tµ4h 128 , w = −µ4√ 3T 128σ , c = 3µ 2σ + 1, k = (T−b2)µ4 128 −µ2 4 , d = 3µ4 128σ2 , l = 2 Th + Tµ4h 128 , w = −µ4√ 3T 128σ , c = 3µ 2σ + 1, k = (T−b2)µ4 128 −µ2 4 , d = 3µ4 128σ2 , l = 2 Th + Tµ4h 128 , w = −µ4√ 3T 128σ , 76 3.3. APPROXIMATION LOG-NORMALE POUR LE PRIX D’UNE OPTION D’ISTANBUL `A MOYENNE ARITHM´ETIQUE z1 = a log  B K  + h, z3 = d c log2  B K  + 2d c2 log  B K  + 2d c3 + k c , z5 = 2hd a3 −d(1−h2) ca2 + 2d c3 −2hd ac2 + dc a4 + k c + wc a3 + wh a2 −l a, z7 = d e log2  B K  + 2d e2 log  B K  + 2d e3 + k e, z9 = 2hd a3 −d(1−h2) ea2 + 2d e3 −2hd ae2 + de a4 + k e + we a3 + wh a2 −l a. z2 = c2 2a2 + hc a , z4 = d ac log  B K  + 2d ac2 −hd ca2 −d a3 −w a2 , z6 = e2 2a2 + he a , z8 = d ae log  B K  + 2d ae2 −hd ea2 −d a3 −w a2 , D´emonstration. La preuve des Th´eor`emes 14 et 15 est similaire `a celle des Th´eor`emes 12 et 13, il convient juste de noter que le prix UOPB est donn´e par la Proposition 22. D´emonstration. 3.3 Approximation Log-normale pour le prix d’une option d’Istanbul `a moyenne arithm´etique Dans le mod`ele de Black-Scholes, le prix `a l’instant z´ero d’une option d’achat d’Istanbul `a moyenne arithm´etique de prix d’exercice K et d’´ech´eance T est donn´e par AICB = EP h e−rT (AT −K)+ i , (3.18) (3.18) o`u AT est une v.a. d´efinie par AT ≡ 1 T −τ S B Z T τ S B Sudu ! 1{τ S B<T} + ST 1{τ S B⩾T}. (3.19) (3.19) Comme dans le cas des options arithm´etiques asiatiques [Section 2.3.6, formule (2.67)], nous pouvons appliquer la technique d’approximation log-normale pour le prix (3.18) : Comme dans le cas des options arithm´etiques asiatiques [Section 2.3.6, formule (2.67)], nous pouvons appliquer la technique d’approximation log-normale pour le prix (3.18) : Proposition 23 (Jacques [1997]). Pour K > B, on a Proposition 23 (Jacques [1997]). Pour K > B, on a ues [1997]). Pour K > B, on a AICB ≈e−rT Z T 0 Υ(µt + log B, σt; K)h(t)dt. (3.20) (3.20) Pour K ⩽B, on a Pour K ⩽B, on a AICB ≈e−rT Z T 0 Υ(µt + log B, σt; K)h(t)dt + UOCB. (3.21) (3.21) Avec — h est la fonction d´efinie par l’expression (3.8). — h est la fonction d´efinie par l’expression (3.8). — Υ est la fonction d´efinie dans la Proposition 20.   — Υ est la fonction d´efinie dans la Proposition 20.   — Υ est la fonction d´efinie dans la Proposition 20.  2  — µt = log  m1(t)2 √ m2(t)  . — σt = r log  m2(t) m1(t)2  . — m1(t) = er(T −t)−1 r(T−t) . — µt = log  m1(t)2 √ m2(t)  . — σt = r log  m2(t) m1(t)2  . — m1(t) = er(T −t)−1 r(T−t) . — m2(t) = 2 (T−t)2  e(2r+σ2)(T −t) (r+σ2)(2r+σ2) + 1 r(2r+σ2) −er(T −t) r(r+σ2)  . 77 3.4. ANALYSE NUM´ERIQUE 3.4 Analyse num´erique Dans cette section, nous comparons nos formules d’approximation analytique (3.11) et (3.17) avec les simulations de Monte-Carlo (MC). Dans notre proc´edure de simulation, nous utilisons la technique CV de r´eduction de la variance de l’estimateur obtenu par la m´ethode MC standard. Nous analysons deux types d’erreurs de simulation, `a savoir l’erreur standard et l’erreur relative not´ees par S.E. et R.E., respectivement. Notons que R.E. est l’erreur relative entre la valeur de l’option par notre formule analytique approximative et par MC. Nos algorithmes de calcul sont impl´ement´es avec le logiciel R version 3.5.1 sur un PC, Dell, Intel(R) core(TM) i3, 1.70GHZ et fonctionnant sous Windows 8. Pour simuler le prix (3.4), on commence par discr´etiser l’intervalle [0, T] en points n = 2500, 0 = t0 < t1 < · · · < tn = T, avec l’´etape de discr´etisation ∆t = T/n, ti = i∆t, i = 0, 1, . . . , n. La simulation du mod`ele (3.1) est donn´ee par la formule r´ecursive suivante Sti+1 = Sti exp  µ∆t + σ √ ∆tYi+1  , i ∈ 0, 1, . . . , n −1 , (3.22) (3.22) o`u Y1, Y2, . . . , Yn est n i.i.d. de loi N(0, 1). Afin d’obtenir une r´ealisation de la v.a. GT , l’int´egrale dans (3.3) est approxim´ee avec la r`egle des trap`ezes comme suit Z T τ S B log Sudu ≈∆t  1 2 log  StS BStn  + n−1 X i=tS B/∆t log (Sti)  , (3.23) (3.23) o`u tS B = min ti, i ∈{1, . . . , n}|Sti ⩾B est une version en temps discret de l’instant de premier passage τ S B. Le nombre de trajectoires utilis´ees dans nos simulations MC est de 10000. Notre variable de contrˆole est le payoffd’une option d’achat g´eom´etrique asiatique (GAC) puisque ce dernier d´epend de St0, St1, . . . , Stn, ce qui donne une corr´elation ´elev´ee avec le payoffde notre option. Notre estimateur contrˆol´e pour GICB est donn´e par GbICCV B = GbICMC B −θ⋆ G bACMC −GAC  , (3.24) (3.24) o`u GbICMC B et G bACMC sont des estimateurs MC standards pour GICB et GAC respectivement et θ⋆est un param`etre qui minimise la variance de GbICCV B . 3.4 Analyse num´erique 3.4. ANALYSE NUM´ERIQUE De mˆeme, pour le TABLEAU 3.2, les erreurs relatives obtenues avec la formule (3.17) sont toutes strictement inf´erieures `a 1, 35%. Cela confirme une fois de plus que le prix que nous four- nissons pour l’option GIC est stable aux changements des param`etres d’entr´ee. Nous observons ´egalement `a partir des r´esultats du TABLEAU 3.2 que le prix de l’option diminue `a mesure que K s’approche de B. Il reste `a noter que dans les deux TABLEAUX 3.1 et 3.2, le prix de l’option augmente lorsque la date d’expiration est plus longue, ce qui est normal car le prix de tout type d’option d´epend directement de sa valeur temps [voir Section 2.3.4]. [ ] Dans le TABLEAU 3.3, nous analysons la robustesse des formules d’approximation (3.11) et (3.17) lorsque la date d’´ech´eance est longue. Notre analyse consiste `a adopter la mˆeme strat´egie de simulations de MC en augmentant chaque fois la maturit´e tout en fixant tous les param`etres restants. Les r´esultats ainsi obtenus montrent que les erreurs relatives ne d´epassent pas 1.5%, ce qui signifie que nos approximations analytiques restent `a la fois stables et efficaces pour les contrats `a long terme. Dans le TABLEAU 3.4, nous analysons la stabilit´e de nos formules de tarification face `a l’´evolution de la volatilit´e. Les r´esultats num´eriques obtenus ont montr´e que nos formules d’ap- proximation analytique (3.11) et (3.17) restent stables face aux changements de volatilit´e puisque les erreurs relatives obtenues ne d´epassent pas 1, 54%. Tableau 3.3 – Erreurs relatives lorsque la maturit´e est plus longue Tableau 3.3 – Erreurs relatives lorsque la maturit´e est plus longue Maturity T 2 3 4 5 6 R.E. avec la formule (3.11) 0.8260% 1.2073% 1.4955% 0.4393% 1.0083% R.E. avec la formule (3.17) 0.4017% 0.9485% 1.2925% 0.7768% 1.2080% Notes : Les ´ech´eances sont prises en ann´ees (premi`ere ligne), nous consid´erons les contrats dont la dur´ee de vie varie de 2 `a 6 ans. Pour la formule (3.11) (deuxi`eme ligne), les param`etres d’entr´ee sont : r = 0, 05, σ = 0, 3, S0 = 75, B = 79 et K = 80. Pour la formule (3.17) (troisi`eme ligne), les param`etres d’entr´ee sont : r = 0, 05, σ = 0, 3, S0 = 55, B = 58 et K = 56. 3.4 Analyse num´erique o`u GbICMC B et G bACMC sont des estimateurs MC standards pour GICB et GAC respectivement et θ⋆est un param`etre qui minimise la variance de GbICCV B . Remarque 14. Nous prenons θ⋆= Cov(H1, H2)/V ar(H2), o`u H1 et H2 sont les payoffs des options GIC et GAC, respectivement. Notez que la valeur exacte de θ⋆est g´en´eralement inconnue en pratique ; nous l’approximons en utilisant la variance et la covariance empirique. Dans le TABLEAU 3.1, nous fournissons une comparaison entre le prix approximatif (3.11) et celui obtenu avec la technique CV pour diff´erents param`etres d’entr´ee. Les r´esultats obtenus montrent que notre approximation est efficace et pourrait ˆetre appliqu´ee dans la finance puisque les erreurs relatives ne d´epassent pas 1, 33%. Les r´esultats du TABLEAU 3.1 montrent ´egalement que le prix de l’option augmente `a mesure que les K s’approchent des B. 78 chat g´eom´etrique d’Istanbul obtenu elui obtenu avec les simulations de T = 1.5 MCV R.E. Approx. MCV R.E. (S.E.) (%) (S.E.) (%) 2.5103 0.8489 3.4720 3.5082 1.0317 (0.0127) (0.0158) 2.7566 1.3225 3.7257 3.7531 0.7307 (0.0112) (0.0132) 2.9982 1.1991 3.9878 4.0251 0.9256 (0.0088) (0.0100) 3.8491 1.1477 4.8783 4.9095 0.6362 (0.0160) (0.0178) 3.4367 1.0024 4.4704 4.4746 0.0945 (0.0149) (0.0162) 3.0610 0.9210 4.0893 4.1146 0.6148 (0.0141) (0.0161) 3.5975 0.7810 4.7936 4.8402 0.9626 (0.0126) (0.0145) 3.7965 1.2176 4.9874 5.0418 1.0803 (0.0158) (0.0187) 4.1585 0.8350 5.3831 5.4315 0.8903 (0.0210) (0.0243) t σ = 0, 3. On note par Approx. le prix de l’option d’achat V l’estimateur (3.24) de Monte-Carlo du prix de la mˆeme ´egalement par S.E. l’erreur standard de MCV et par R.E. ivante : R.E. = |Approx.−MCV | MCV × 100%. chat g´eom´etrique d’Istanbul obtenu elui obtenu avec les simulations de T = 1.5 MCV R.E. Approx. MCV R.E. (S.E.) (%) (S.E.) (%) 4.3858 1.0980 5.3139 5.3606 0.8696 (0.0167) (0.0184) 4.7357 1.2408 5.6544 5.7237 1.2112 (0.0143) (0.0161) 5.0444 0.3531 6.0025 6.0535 0.8421 (0.0096) (0.0118) 4, 9782 0, 6634 6.0113 6.0866 1.2374 (0.0201) (0.0233) 4.4886 0.6155 5.5376 5.5609 0.4190 (0.0190) (0.0210) 4.0650 1.3445 5.0911 5.1519 1.1792 (0.0188) (0.0211) 5.7112 0.7886 7.0688 7.1464 1.0859 (0.0188) (0.0224) 6.4147 1.1562 7.7554 7.8190 0.8137 (0.0282) (0.0308) 6.8440 0.7962 8.2147 8.2225 0.0944 (0.0327) (0.0358) et σ = 0, 3. On note par Approx. le prix de l’option d’achat V l’estimateur (3.24) de Monte-Carlo du prix de la mˆeme ´egalement par S.E. l’erreur standard de MCV et par R.E. ivante : R.E. = |Approx.−MCV | MCV × 100%. 3.4 Analyse num´erique Tableau 3.4 – Erreurs relatives pour diff´erentes volatilit´es Tableau 3.4 – Erreurs relatives pour diff´erentes volatilit´es Volatility σ 0.1 0.2 0.4 0.5 0.6 R.E. avec la formule (3.11) 0.6712% 1.1025% 1.2834% 1.5361% 1.3102% R.E. avec la formule (3.17) 0.8711% 1.4431% 1.1250% 0.6727% 1.1702% Notes : Nous consid´erons des contrats sur des actifs sous-jacents avec des volatilit´es allant de 0,1 `a 0,6 (premi`ere ligne). Pour la formule (3.11) (deuxi`eme ligne), les param`etres d’entr´ee sont : r = 0, 05, T = 1, S0 = 75, B = 79 et K = 80. Pour la formule (3.17) (troisi`eme ligne), les param`etres d’entr´ee sont : r = 0, 05, T = 1, S0 = 55, B = 58 et K = 56. Dans la FIGURE 3.2, nous comparons le prix de l’option GIC `a celui de l’option AIC. Comme dans Jacques [1997], nous utilisons la m´ethode d’approximation log-normale pour esti- mer le prix dans le cas arithm´etique (Proposition 23). Pour le cas g´eom´etrique, nous utilisons nos formules d’approximation analytique (3.11) et (3.17). Les r´esultats num´eriques montrent qu’une option GIC est relativement moins cher qu’une option AIC. Nous observons ´egalement, sur le cˆot´e gauche de la FIGURE 3.2, que le prix de l’option d’achat d’Istanbul augmente lorsque la barri`ere est proche du prix actuel pour les deux types de moyennes. Cette observation s’explique par le fait que plus la barri`ere est proche du prix actuel, plus la probabilit´e qu’elle soit atteinte est ´elev´ee, ce qui augmente la valeur th´eorique de l’option. En outre, sur le cˆot´e droit de la FIGURE 3.2, on peut voir que le prix de l’option d’achat d’Istanbul diminue `a mesure que le 81 3.4. ANALYSE NUM´ERIQUE prix d’exercice s’´eloigne du prix actuel, ceci est dˆu au fait que la probabilit´e que l’option expire en ITM devient progressivement plus faible `a mesure que le prix d’exercice devient plus ´elev´e que le prix actuel. prix d’exercice s’´eloigne du prix actuel, ceci est dˆu au fait que la probabilit´e que l’option expire en ITM devient progressivement plus faible `a mesure que le prix d’exercice devient plus ´elev´e que le prix actuel. 3.4 Analyse num´erique 70 75 80 85 90 95 100 0 5 10 15 Underlying price ($) The Istanbul call option value ($) AICB GICB 70 75 80 85 90 95 100 0 5 10 15 Strike price ($) The Istanbul call option value ($) AICB GICB Figure 3.2 – Comparaison des prix d’options d’achat d’Istanbul pour les deux types de moyennes (Arithm´etique et G´eom´etrique). Notes : Les prix des options d’achat d’Istanbul sont not´es GICB et AICB pour les cas de moyenne g´eom´etrique et arithm´etique, respectivement. Nous prenons comme param`etres d’entr´ee pour le graphique de gauche : S0 de 70 `a 100, σ = 0, 3, r = 0, 05, T = 1, B = 105 et K = 90. Dans le graphique de droite, nous consid´erons les param`etres d’entr´ee : K de 70 `a 100, σ = 0.3, r = 0.05, T = 1, B = 85 et S0 = 79. 70 75 80 85 90 95 100 0 5 10 15 Underlying price ($) The Istanbul call option value ($) AICB GICB 70 75 80 85 90 95 100 0 5 10 15 Strike price ($) The Istanbul call option value ($) AICB GICB Figure 3.2 – Comparaison des prix d’options d’achat d’Istanbul pour les deux types de moyennes (Arithm´etique et G´eom´etrique). Notes : Les prix des options d’achat d’Istanbul sont not´es GICB et AICB pour les cas de moyenne g´eom´etrique et arithm´etique, respectivement. Nous prenons comme param`etres d’entr´ee pour le graphique de gauche : S0 de 70 `a 100, σ = 0, 3, r = 0, 05, T = 1, B = 105 et K = 90. Dans le graphique de droite, nous consid´erons les param`etres d’entr´ee : K de 70 `a 100, σ = 0.3, r = 0.05, T = 1, B = 85 et S0 = 79. Dans la FIGURE 3.3, nous r´ealisons une ´etude sur la sensibilit´e du prix d’une option GIC face aux variations du prix de l’actif sous-jacent. Pour cela, nous analysons une mesure de risque importante qui est le Delta (∆). Cette quantit´e th´eorique est utilis´ee par les n´egociants en options afin de d´evelopper de bonnes strat´egies d’investissement. Dans notre cas, le ∆d’une option d’achat g´eom´etrique d’Istanbul correspond `a la d´eriv´ee partielle de (3.4) par rapport `a S0. 4. Il convient de noter que ∆change constamment pendant la p´eriode de n´egociation et ne permet donc pas de pr´edire la valeur `a l’´ech´eance du prix de l’actif sous-jacent. 3.4 Analyse num´erique Sur le cˆot´e gauche de la FIGURE 3.3, nous calculons les valeurs de ∆par rapport au prix de l’actif sous-jacent tout en augmentant la volatilit´e `a chaque parcelle. Sur le cˆot´e droit, nous fixons l’actif sous-jacent et calculons les valeurs ∆par rapport au prix d’exercice tout en augmentant la maturit´e `a chaque parcelle. Comme le montrent les r´esultats obtenus, la valeur de ∆d´epend de trois facteurs principaux : la position du cours de l’actif sous-jacent par rapport au prix d’exercice (OTM, ATM ou ITM), la volatilit´e et l’´ech´eance. 4 82 50 60 70 80 90 100 110 120 Strike price ($) T=0.5 T=1 T=1.5 Les trac´es de gauche sont construits avec les param`etres d’entr´ee ous prenons : r = 0, 05, σ = 0, 3, B = 85 et S0 = 80. La valeur de dre. 70 80 90 100 110 120 Strike price ($) T=0.5 T=1 T=1.5 e gauche sont construits avec les param`etres d’entr´ee r = 0, 05, σ = 0, 3, B = 85 et S0 = 80. La valeur de 50 60 Les trac´es ous prenons dre. Conclusion Dans cette th`ese, nous avons abord´e le probl`eme du prix des options g´eom´etriques d’Istanbul dans le cadre du mod`ele standard de Black-Scholes. Une formule d’approximation analytique de forme ferm´ee a ´et´e propos´ee pour le prix des options d’achat et de vente avec un prix d’exercice fixe. Les r´esultats num´eriques obtenus par les simulations de Monte-Carlo en utilisant la m´ethode des variables de contrˆole ont montr´e que notre approximation analytique est tr`es efficace pour un large ´eventail de param`etres d’entr´ee et peut donc ˆetre utilis´ee en finance. En outre, nous avons montr´e par une ´etude comparative que les options d’achat g´eom´etriques d’Istanbul ont un prix plus attractif que celles avec une moyenne arithm´etique trait´ees par Michel Jacques en 1997. Enfin, nous avons illustr´e, graphiquement, la sensibilit´e du prix d’une option d’achat g´eom´etrique d’Istanbul aux variations du prix de l’actif sous-jacent. 84 84 Distribution Gaussienne Soit X une v.a. qui suit une distribution de Gauss ou Normale not´e N(µ, σ2), o`u µ ∈R est son esp´erance et σ > 0 son ´ecart-type. La fonction de densit´e de X est donn´ee par φ(x) = 1 √ 2πσ2 e−(x−µ)2 2σ2 , x ∈R. (3.25) (3.25) La fonction de r´epatition de X ne poss`ede pas d’expression sous forme ferm´ee, elle reste donc d´efinie par Z x Φ(x) = Z x −∞ φ(t)dt, x ∈R. (3.26) (3.26) En particulier, la formule suivante est tr`es pratique E h eαX1{X>β} i = e α2 2 Φ(α −β), (3.27) (3.27) o`u X est une v.a de loi N(0, 1), α et β sont deux constantes r´eelles. o`u X est une v.a de loi N(0, 1), α et β sont deux constantes r´eelles. o`u X est une v.a de loi N(0, 1), α et β sont deux constantes r´eelles. Perspectives de recherche Les futures recherches sur les options d’Istanbul pourraient suivre deux directions. La pre- mi`ere consisterait `a apporter des modifications aux param`etres d’entr´ee, par exemple en ´etudiant le cas d’un prix d’exercice flottant, l’adoption d’une barri`ere descendante ou l’´etude du cas d’une moyenne harmonique. La seconde approche int´eressante consisterait `a ´etendre le concept d’op- tions d’Istanbul `a des mod`eles ´economiques plus complexes tels que le mod`ele de L´evy, le mod`ele CEV, le mod`ele Heston, etc. 85 85 Distribution de L´evy Une v.a. X suit une loi de L´evy de param`etres µ et c si sa fonction de densit´e s’´ecrit comme f(x) = s c 2π(x −µ)3 exp  − c 2(x −µ)  1{x>µ}, (3.28) (3.28) o`u µ ∈R est le param`etre de position et c > 0 est le param`etre d’´echelle. La fonction de r´epartition de X s’´ecrit en fonction de celle d’une loi N(0, 1) comme o`u µ ∈R est le param`etre de position et c > 0 est le param`etre d’´echelle. La fonction de r´epartition de X s’´ecrit en fonction de celle d’une loi N(0, 1) comme F(x) = 2  1 −Φ r c x −µ  1{x>µ}. (3.29) (3.29) La distribution de L´evy admet une esp´erance et variance infinie. Distribution Inverse-gaussienne Distribution Inverse-gaussienne Distribution Log-normale Soit Z une v.a. de loi N(0, 1), et soit µ ∈R et σ > 0. Une v.a. X suit une loi Log-normale de param`etres µ et σ not´e log N(µ; σ), si elle s’´ecrit comme X = eµ+σZ. (3.30) X = eµ+σZ. (3.30) 86 La densit´e de X est donn´ee par f(x) = 1 x √ 2πσ2 e−(log x−µ)2 2σ2 , x > 0. (3.31) (3.31) La fonction de r´epartition de X s’´ecrit en fonction de celle d’une loi N(0, 1) comme F(x) = Φ log x −µ σ  . (3.32) (3.32) Pour n ∈N⋆, on a E(Xn) = enµ+ (nσ)2 2 . (3.33) Pour n ∈N , on a E(Xn) = enµ+ (nσ)2 2 . (3.33) Grˆace `a la formule (3.33), nous pouvons voir que les param`etres µ et σ d´ependent uniquement des moments d’ordre un et deux, et donc, de l’esp´erance et de la variance de X puisque on a Grˆace `a la formule (3.33), nous pouvons voir que les param`etres µ et σ d´ependent uniquement des moments d’ordre un et deux, et donc, de l’esp´erance et de la variance de X puisque on a µ = log E(X)2 p E(X2) ! = log E(X)2 p V ar(X) + E(X)2 ! , (3.34) (3.34) et et et σ2 = log E(X2) E(X)2 ! = log  1 + V ar(X) E(X)2  . (3.35) σ2 = log E(X2) E(X)2 ! = log  1 + V ar(X) E(X)2  . (3.35) (3.35) Distribution Inverse-gaussienne Une v.a. X de distribution inverse-gaussienne de param`etres µ > 0 et λ > 0 not´e IG(µ, λ) admet pour fonction de densit´e, f(x) = s λ 2πx3 exp −λ(x −µ)2 2µ2x ! 1{x>0}, (3.36) (3.36) o`u µ est l’esp´erance et λ est un param`etre de forme. Sa fonction de r´epartition s’´ecrit en fonction de celle d’une loi N(0, 1) comme o`u µ est l’esp´erance et λ est un param`etre de forme. Sa fonction de r´epartition s’´ecrit en fonction de celle d’une loi N(0, 1) comme F(x) = Φ   s λ x x µ −1  + exp 2λ µ  Φ  − s λ x x µ + 1  , x > 0. (3.37) (3.37) De plus, la variance de X est donn´ee par De plus, la variance de X est donn´ee par V ar(X) = µ3 λ . (3.38) (3.38) 87 Expressions de forme ferm´ee de deux int´egrales utili- s´ees dans le Chapitre 3 Z T 0 1 p (T −t)t exp − α2 2(T −t) ! dt = 2π  1 −Φ  α √ T  , (3.43) (3.43) o`u α ⩾0 et T > 0. Z T 0 t p (T −t)t exp − α2 2t(T −t) ! dt = Tπ  1 −Φ  2α √ T  , (3.44) Z T 0 t p (T −t)t exp − α2 2t(T −t) ! dt = Tπ  1 −Φ  2α √ T  , (3.44) (3.44) o`u α ⩾0 et T > 0. o`u α ⩾0 et T > 0. D´emonstration. Les formules (3.43) et (3.44) peuvent ˆetre facilement trouv´ees en utilisant le th´eor`eme de convolution et en appliquant la table des transformations de Laplace disponible dans le livre de Poularikas [1999]. Quelques formules d’int´egrales ind´efinies de fonctions gaussiennes Z 1 √ x3 exp  −ax −h 2x  dx = r2π h exp  − √ 2ah  Φ  √ 2ax − s h x   + r2π h exp √ 2ah  Φ  − √ 2ax − s h x  , (3.39) (3.39) o`u a ⩾0 et h > 0. Z Φ (ax + h) dx =  x + h a  Φ (ax + h) + 1 aφ (ax + h) , (3.40) Z Φ (ax + h) dx =  x + h a  Φ (ax + h) + 1 aφ (ax + h) , (3.40) (3.40) o`u a ̸= 0. Z ecx  dx2 + k  (1 −Φ (ax + h)) dx = d c x2 −2d c2 x + 2d c3 + k c  (1 −Φ (ax + h)) ecx − 2hd a3 + d(1 −h2) ca2 −2d c3 −2hd c2a −dc a4 −k c ! × exp c2 2a2 −hc a ! Φ  ax + h −c a  −  d cax −2d c2a −hd ca2 + d a3  × exp c2 hc ! φ  ax + h c  (3 41 × exp c2 2a2 −hc a ! φ  ax + h −c a  , (3.41) (3.41) o`u a, c ̸= 0. Z ecx (wx + l) φ (ax + h) dx = wc a3 −wh a2 + l a  Φ  ax + h −c a  −w a2 φ  ax + h −c a  × exp c2 2a2 −hc a ! , (3.42) (3.42) o`u a ̸= 0. o`u a ̸= 0. D´emonstration. Les formules (3.39), (3.40), (3.41) et (3.42) peuvent ˆetre prouv´ees par diff´eren- ciation par rapport `a x. D´emonstration. Les formules (3.39), (3.40), (3.41) et (3.42) peuvent ˆetre prouv´ees par diff´eren- ciation par rapport `a x. 88 Expressions de forme ferm´ee de deux int´egrales utili- s´ees dans le Chapitre 3 Preuve du Lemma 3.1 Par une expansion de deuxi`eme ordre de la s´erie de Taylor au voisinage de z´ero, nous avons 2 e−βt = 1 −tβ + t2 2 β2 + O(β3). (3.45) (3.45) `A partir de l’´equation (3.45), nous avons 1 π Z T 0 1 p (T −t)t3 exp − α2 2(T −t) −βt −γ t ! dt = A(α, γ, T) −B(α, γ, T)β + C(α, γ, T)β2 2 + O(β3), (3.46) (3.46) o`u A(α, γ, T) = Z T 0 1 p (T −t)t3 exp − α2 2(T −t) −γ t ! dt, (3.47) B(α, γ, T) = Z T 0 1 p (T −t)t exp − α2 2(T −t) −γ t ! dt, (3.48) C(α, γ, T) = Z T 0 t p (T −t)t exp − α2 2(T −t) −γ t ! dt. (3.49) (3.47) Nous commen¸cons par l’´evaluation de la formule (3.47), qui peut aussi s’´ecrire comme A(α, γ, T) = 1 T exp −α2 + 2γ 2T ! Z +∞ 0 1 √ x3 exp −α2 2T x −γ Tx ! dx, (3.50) (3.50) grˆace `a la formule (3.39), on obtient grˆace `a la formule (3.39), on obtient A(α, γ, T) = π s 2 Tγ φ α + √2γ √ T ! . 89 Pour la formule (3.48), on part de la relation suivante ∂ ∂γ B(α, γ, T) = −A(α, γ, T), (3.51) (3.51) par un int´egration par rapport `a γ, on obtient B(α, γ, T) = −2πΦ α + √2γ √ T ! + ε1(α, T), (3.52) (3.52) o`u ε1(α, T) est une fonction ind´ependante de γ. La limite de (3.52) lorsque γ tend vers z´ero donne Z T 0 1 p (T −t)t exp − α2 2(T −t) ! dt = −2πΦ  α √ T  + ε1(α, T), (3.53) (3.53) en utilisant la formule (3.43), on obtient ε1(α, T) = 2π et donc B(α, γ, T) = 2π 1 −Φ α + √2γ √ T !! . De mˆeme, pour obtenir une expression de forme ferm´ee de (3.49), on note que ∂ ∂γ C(α, γ, T) = −B(α, γ, T). (3.54) (3.54) L’int´egration par rapport `a γ en prenant x = √γ et en utilisant la formule (3.40) donne C(α, γ, T) = π  2γ −α2 −T  Φ α + √2γ √ T ! + √ T p 2γ −α  φ α + √2γ √ T !! Preuve du Lemma 3.1 −2πγ + ε2(α, T), (3.55 (3.55) −2πγ + ε2(α, T), o`u ε2(α, T) est une fonction qui ne d´epend que de α et T. La limite de (3.55) lorsque γ tend vers α2/2 donne Z T 0 t p (T −t)t exp − α2T 2t(T −t) ! dt = −TπΦ  2α √ T  −α2π + ε2(α, T). (3.56) (3.56) En utilisant la formule (3.44), on obtient ε2(α, T) = π T + α2 et donc En utilisant la formule (3.44), on obtient ε2(α, T) = π T + α2 et donc En utilisant la formule (3.44), on obtient ε2(α, T) = π T + α2 et donc C(α, γ, T) = π 2γ −α2 −T  Φ α + √2γ √ T  + √ T p 2γ −α  φ α + √2γ √ T  −2γ + T + α2  . C(α, γ, T) = π 2γ −α2 −T  Φ α + √2γ √ T  + √ T p 2γ −α  φ α + √2γ √ T  −2γ + T + α2  Finalement, il suffit de remplacer les formules (3.47), (3.48) et (3.49) dans (3.46) pour obtenir le r´esultat souhait´e. Finalement, il suffit de remplacer les formules (3.47), (3.48) et (3.49) dans (3.46) pour obtenir le r´esultat souhait´e. 90 Bibliographie Abundo, M. (2002). Some conditional crossing results of brownian motion over a piecewise- linear boundary. Statistics & Probability Letters, 58(2):131–145. 9 Abundo, M. et Vescovo, D. (2017). On the joint distribution of first-passage time and first- passage area of drifted brownian motion. 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Model-Based Magnetization Transfer Imaging Markers to Characterize Patients and Asymptomatic Gene Carriers in Huntington’s Disease
Frontiers in neurology
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Abbreviations: DB, disease burden; HD, Huntington’s disease; HTT, huntingtin gene; mMT, model-based magnetization transfer; MT, magnetization transfer; MTR, MT ratio; PBA, Problem Behaviors Assessment; UHDRS, unified Huntington’s Disease Scale. Roland Wiest1*, Jean-Marc Burgunder 2,3,4 and Claus Kiefer1 1 Support Center of Advanced Neuroimaging (SCAN), Institute for Diagnostic and Interventional Neuroradiology, University of Bern, Inselspital, University Hospital, Bern, Switzerland, 2 Neurology, University of Bern, Inselspital, University Hospital, Bern, Switzerland, 3 Sichuan University, Xiangya Hospital, Central South University, Changsha, China, 4 Sun Yat Sen University, Chengdu, China Background and purpose: Huntington’s disease (HD) is a chronic progressive neurodegenerative disorder with a long presymptomatic period that opens a window for potential therapies aimed at neuroprotection. Neuroimaging offers the potential to monitor disease-related progression of the disease burden (DB) using model-based magnetization transfer imaging. Original Research published: 06 September 2017 doi: 10.3389/fneur.2017.00465 Keywords: magnetization transfer imaging, Huntington’s disease, caudate nucleus, classification, pre-Huntington’s disease gene carriers Edited by: Federica Agosta, Vita-Salute San Raffaele University, Italy Materials and methods: We have conducted a cross-sectional study to stratify healthy age-matched controls, premanifest and symptomatic HD patients (n = 30) according to their macromolecular depositions in the caudate nucleus. We employed a binary spin- bath magnetization transfer (MT) method for a quantitative description of macromolecule deposits and interactions with their adjacent environment. Reviewed by: Hans-Peter Müller, University of Ulm, Germany Emanuele Pravatà, Ente Ospedaliero Cantonale, Switzerland Reviewed by: Hans-Peter Müller, University of Ulm, Germany Emanuele Pravatà, Ente Ospedaliero Cantonale, Switzerland results: A region-of-interest based fuzzy clustering analysis identified representative clusters for several stages of the disease course related to its progression: one cluster represented subjects with a high DB <268 that encompassed all symptomatic HD patients and one presymptomatic gene carrier. The next cluster represented the pre- symptomatic gene carriers with a very low DB >230 and healthy controls. Three further clusters represented transition zones between both DB levels (230–268) consisting of presymptomatic carriers with DB values increasing with decreasing distance from the cluster that indicated low DB and healthy age-matched controls. Specialty section: This article was submitted to Applied Neuroimaging, a section of the journal Frontiers in Neurology Specialty section: This article was submitted to Applied Neuroimaging, a section of the journal Frontiers in Neurology conclusion: The proposed binary spin-bath MT method offers the potential to monitor DB and progression in HD. The method may augment qualitative MT techniques since it depicts tissue changes related to interactions between macromolecules and protons in disease specific brain regions that follow the neurodegenerative process. Received: 13 June 2017 Accepted: 21 August 2017 Published: 06 September 2017 Received: 13 June 2017 Accepted: 21 August 2017 Published: 06 September 2017 Model-Based Magnetization Transfer imaging Markers to characterize Patients and asymptomatic gene carriers in huntington’s Disease Roland Wiest1*, Jean-Marc Burgunder 2,3,4 and Claus Kiefer1 Study Participantsh Three cohorts of participants have been included in this pro- spective study, which has been approved by the ethics committee of the state of Bern. All participants gave informed consent or, in the case of a legal representative confirming, assent for clinical examination and for MMT studies. The cohort of affected gene carriers included male and female individuals, 18 or older, with clinically manifest HD and a known mutation including the exact number of CAG triplet repeats. At the time of examina- tion, they were in a middle state of motor involvement with a total score higher than 30 according to the motor part of the unified Huntington’s Disease Scale (UHDRS) and a diagnostic confidence of motor manifestation of 5. The value of their independence scale was between 50 and 75%. Participants with premanifest HD were male and female HD mutation carrier, 18 or older. Their motor score in the UHDRS was lower than 4, and their value 100% on the independence scale. Control persons included men and women age 18 or older without neurological or psychiatric history and family history. Structural MRI has been recognized as a surrogate biomarker to assess volume changes of core structures in HD brains. New protocols now allow fully automated morphometry (7). Track-HD, a prospective study within the European HD Network (EHDN), included 366 premanifest individuals, patients with HD and controls. After a 1 year follow-up period, this study demon- strated that the rates of brain atrophy were higher in premanifest HD carriers and early HD patients compared to healthy controls even in persons far from predicted disease onset (8). Clinical impairment in premanifest and early HD was associated with specific gray matter loss in the striatal areas, the sensory and motor cortices for motor-dependent tasks, the visual cortex and cuneus, and widespread along the white matter, dependent on the underlying motor and neuropsychiatric testing. y g y g Beyond T1-weighted imaging, advanced neuroimaging tech- niques as diffusion tensor imaging, T2*-weighted relaxation time mapping and MR spectroscopy (MRS) have been successfully applied to investigate microstructural alterations associated with HD severity (9). However, none of these methods allow assump- tions about the amount of accumulated huntingtin with elongated polyglutamine track in the basal ganglia. Magnetization transfer (MT) imaging has an advantage in that it determines physical properties that depend on the presence of macromolecules not directly measurable by structural imaging techniques and MRS. Citation: Wiest R, Burgunder J-M and Kiefer C (2017) Model-Based Magnetization Transfer Imaging Markers to Characterize Patients and Asymptomatic Gene Carriers in Huntington’s Disease. Front. Neurol. 8:465. doi: 10.3389/fneur.2017.00465 Keywords: magnetization transfer imaging, Huntington’s disease, caudate nucleus, classification, pre-Huntington’s disease gene carriers September 2017  |  Volume 8  |  Article 465 Frontiers in Neurology  |  www.frontiersin.org 1 mMT Imaging in HD Wiest et al. INTRODUCTION ratio (MTR) and allows the investigation of the fundamental parameters that describe the basic MT interaction processes. In contrast to MTR, the MT process and the relaxation processes are well separated to avoid statistically misleading results (10). According to this separation of the fundamental MT and relaxa- tion parameters, the interaction and coupling of the HD specific macromolecules with its environment can be fully described and related to the underlying pathological process.f Huntington’s disease (HD) is an autosomal dominant inherited disorder with abnormal movements, including chorea, dystonia, motor impersistence, and psychiatric and cognitive impairment (1, 2). The disorder is related to the elongation of a CAG triplet repeat in the huntingtin gene (HTT), a dynamic mutation, whereby the disease onset is inversely correlated with the number of repeats. Multiple aspects underlie cellular pathology in cells expressing the HTT gene with elongated triplet repeats (3–5). Among the numerous pathways disturbed in cells bearing HTT gene CAG triplet expansions are gene transcription and post- translational protein handling, energy metabolism, intracellular protein trafficking and metabolism, dynamic axonal transport, or endocytic and vesicular trafficking changes. Complex interac- tions of these mechanisms lead to disturbed cellular function and to cell death. A specific degeneration is found in the striatum; however, numerous other regions get involved over time (6). Beside the loss of huntingtin function, its accumulation in cytoplasma and in nuclear inclusion bodies also plays a role (6). While methods to measure this accumulation have been readily established in vitro, there is a need to develop biomarkers for in vivo assessment. In this study, we have investigated differences in the mMT parameters mentioned above in two cohorts of HD mutation carriers, one during clinically manifested disease and one during a preclinical stage without motor symptoms and cognitive decline in comparison to a group of healthy control persons. We hypoth- esized that changes in mMT parameters describing the restricted and free proton pool and the restricted-to-free proton pool size ratio would allow to identify different mMT profiles between HD carriers and patients. Frontiers in Neurology  |  www.frontiersin.org 1 https://www.fz-juelich.de/SharedDocs/Downloads/INM/INM-1/DE/Toolbox/ Toolbox_22c.html?nn=563092. 2 https://www.icts.uiowa.edu. Data Extraction and Image Calculation Data Extraction and Image Calculation We focused the analysis on the mMT measures in the caudate nucleus (NC) as a single region-of-interest (ROI), since this brain area revealed well-replicated findings of huntingtin-related damage in prodromal-HD subjects (6). The non-linear fitting of the theoretic MT model-based signal to the measured MT signal intensity within each imaging voxel was accomplished by using a Levenberg–Marquardt algorithm, which provides the optimal parameter values for each voxel in a least-squares sense. Following this approach, complete new images were calculated that repre- sent the different parameter values for each voxel (13, 14) for further ROI analysis. An expert neuroradiologist with 15 years of experience manually traced the NC on a reference data template in Montreal Neurological Institute space (SPM Anatomy toolbox, colin27T11). The borders of the NC were identified on the T1w image as the gray matter adjacent to the lateral ventricle, from the caudate head at the rostral border of the internal capsule to its tail in close relationship to the amygdala following the caudate trac- ing guidelines by Westmoreland and Cretsinger.2 To project these region from a reference data template in Montreal Neurological Institute space (SPM Anatomy toolbox, colin27T1, see text footnote 1) into the individual brains, the SPM5 (Wellcome Department of Imaging Neuroscience, London, UK) warping algorithms and Jacobian matrices were used. Statistics Th l fi The classification was performed with a Gustafson–Kessel algorithm (15). The Gustafson–Kessel algorithm associates each cluster with both a point and a matrix, representing the cluster center and its covariance. This technique is capable of detecting hyperellipsoidal clusters of different sizes and orientations by adjusting the covariance matrix of data, thus overcoming the drawbacks of a conventional fuzzy-c-means algorithm. This choice is essential because it makes the classification more robust against outliers and noise.t Study Participantsh The psychiatric evaluation was performed with the problem behavior assessment for HD, short form (11). The examination was done as part of the participation in the Registry protocol, version 3, of the EHDN. To compare the values of the groups, the disease burden score (DBS) was calculated according to the following formula: Age × (CAG repeat number in the larger allele − 35.5). mMT Imagingh g g The protons in physiological systems as well as during pathologi- cal macromolecular accumulation can be described as existing in two pools: as free or bound protons. The mMT model discrimi- nates interstitial bulk (free) water deposits associated with aging and atrophy (T2f) and the reservoir of restricted protons of mac- romolecules (T2r). The restricted-to-free proton pool size ratio (F) quantifies the macromolecular over liquid content within an individual voxel and is assumed to be a proxy for the content of macromolecular storage in HD brains. Spin-density free proton (SDf) is a marker for density of free protons within the tissue. We made use of a binary spin-bath MT model (12) to separate effects related to a direct saturation of the free pool and real MT effects and determining the fundamental physical parameters that characterize the shape of the MT spectra: the relative size of the restricted proton pool (F), the magnetization exchange rates between the free and the restricted pools (kf [free → restricted], kr [restricted → free]), the T2 relaxation time of the restricted pool (T2r), and the relaxation times T1 and T2f of the free pool, which were determined in separate experiments on the basis of the Bloch equations (13). The restricted-to-free proton pool size ratio (F) quantifies the macromolecular over free proton content within an individual voxel. The exchange rates (kf, kr) express the through-space transfer of magnetization between the reservoirs by magnetic dipole-dipole coupling and chemical exchange. The T2r relaxation time of the restricted pool can be interpreted as a marker for the type of the macromolecules and its coupling to the environment (13, 14). A schematic description of the method is provided in Figure 1. Study Participantsh MT transmits radio-frequency energy to protons bound to mac- romolecules within the tissue of interest, e.g., the gray matter of the human brain. Dependent on the macromolecule concentration, energy is transferred to free soluble protons via dipole–dipole interactions. In relation to the degree of coupling between bound and unbound protons, the free water pool becomes partially satu- rated and can be subsequently imaged using routine RF pulses and gradients. Model-based magnetization transfer (mMT) imaging is a refined MT method that goes beyond the clinically used MT Exclusion criteria in all three groups included history or epileptic seizures or meningoencephalitis, known other brain lesions other than HD, severe claustrophobia, ongoing drug and/or alcohol abuse, and medication with amphetamines, methylphenidate, foscarnet, ganciclovir, ritonavir, cocaine, gamma-hydroxybutyrate, theophylline, chloroquine, mefloquine, imipenem, penicillin, ampicillin, cephalosporins, metronidazole, isoniazid, levofloxacin, cyclosporin, chlorambucil, vincristine, methotrexate, cytosine arabinoside, lithium, systemic antihis- tamines, and systemic sympathomimetics. Participants with magnetic (metallic) particles in the scull or brain, with a cardiac pacemaker or deep brain stimulators, were excluded, as well as patients that could not undergo MRI exam due to severe motion. Gene carrier and HD participants were examined using the motor part of the UHDRS. The cognitive battery included the verbal fluency test with a three-letter fluency performed in each September 2017  |  Volume 8  |  Article 465 Frontiers in Neurology  |  www.frontiersin.org 2 mMT Imaging in HD Wiest et al. section thickness  =  4  mm (gap 0), 16 sections (interleaved), FOV = 256 mm, 128 × 128 matrix (data interpolated to 256 × 256)]. Structural MR imaging included a T1-weighted, sagittal- oriented 3D magnetization-prepared rapid acquisition of gradient-echo sequence (TR/TE/TI, 2,000/3.42/1,100 ms; matrix size 256 × 256; FOV, 256 mm × 256 mm; flip angle, 15°; slab, 160 mm) with a 1-mm3 isovoxel resolution. section thickness  =  4  mm (gap 0), 16 sections (interleaved), FOV = 256 mm, 128 × 128 matrix (data interpolated to 256 × 256)]. Structural MR imaging included a T1-weighted, sagittal- oriented 3D magnetization-prepared rapid acquisition of gradient-echo sequence (TR/TE/TI, 2,000/3.42/1,100 ms; matrix size 256 × 256; FOV, 256 mm × 256 mm; flip angle, 15°; slab, 160 mm) with a 1-mm3 isovoxel resolution. 1  min and a categorical fluency test (animals) for 1  min; the symbol-digit modality test; the Stroop test (color naming, read- ing, and interference); and the trail making tests A and B. MR Sequenceh The experiments were performed on a 3.0 T whole-body scanner (Siemens Magnetom Verio TIM, Siemens Erlangen, Germany) equipped with a 12 channel head coil. The acquisition time for the entire protocol (3D-T1, mMT) approximated 30 min.hi After clustering in the high-dimensional space the essential classification is performed in a two-dimensional representation which is accomplished by a principle component analysis. The two main components with the largest eigenvalues were used for the final classification.h The experimental base for the quantification of the MT effects is a repeated presaturation of the sample with Gaussian radio-frequency pulses irradiated at different off-resonant fre- quencies. The MTR was calculated by relating the MT images acquired at Δf = 1.00 kHz to the data without presaturation (M0): MTR = 100 × [M0 − mol/L(Δf = 1.0)]/M0. The MT-weighted images were acquired by using a set of seven gradient-echo FLASH sequences with Gaussian-modulated presaturation pulses at frequency offsets (Δf) of 1.00, 2.00, 4.00, 8.00, 10.00, 12.00, and 16.00  kHz, according to the central 1H Larmor frequency [TR = 300 ms, TE = 4.18 ms, αEXC = 20°, αMT = 540° (Gaussian), ii The program for the cluster analysis is an in-house-written software based on the Matlab (MathWorks, Natick, MA, USA) environment. The postprocessing procedure is fully automated and has been described in detail previously (13, 14). September 2017  |  Volume 8  |  Article 465 Frontiers in Neurology  |  www.frontiersin.org 3 Wiest et al. mMT Imaging in HD Wiest et al. mMT Imaging in HD 4 Frontiers in Neurology | www.frontiersin.org September 2017 | Volume 8 | Article 465 Figure 1 | Continued Figure 1 | Continued Figure 1 | Continued Figure 1 | Continued September 2017  |  Volume 8  |  Article 465 Frontiers in Neurology  |  www.frontiersin.org Frontiers in Neurology  |  www.frontiersin.org mMT Imaging in HD Wiest et al. | Schematic illustration of the region-based multiparametric model-based magnetization transfer (mMT) analysis: (1) mMT is sensitive to measures of macromolecular tissue accumulation. Changes in the restricted and free proton pool and the restricted-to-free proton pool size ratio in a region of interest analysis (caudate nucleus) are used to discriminate between presymptomatic and symptomatic stages of Huntington’s disease (HD). (2) The protons can be described as existing in two pools: as free or bound protons. The mMT model discriminates interstitial bulk (free) water deposits and the reservoir of restricted protons of macromolecules. DISCUSSION In this pilot study, we investigated the potential of a region- based mMT analysis of the NC to segregate symptomatic HD gene carriers from healthy controls and non-affected HD car- riers. Automated fuzzy clustering of the patients encompass- ing several mMT parameters (T2f, SDf, kf, kr, T2r) classified patients with a high DBS >268 (including one asymptomatic patient with high DBS) from individuals with intermediate DBS between 230 and 268 and from those with a low DBS (<230) and normal elderly controls with a sensitivity of 97%. Asymptomatic HD carriers were segregated from HC by mMT along a “transition zone” that corresponded to increasing DB values. The morphometric analysis of GM/TIV volume ratios did—in contrast to the mMT parameters—not discriminate between carriers and HC. These finding suggest a relationship between DBS and load of macromolecules in the NC. As an exception, one asymptomatic gene carrier with a high DBS was categorized within the cluster of HD patients. This “erroneous” clustering emphasizes a drawback of clinical scoring systems in defining a clear cut symptom onset beyond a consideration solely based on progressing motor symptoms. In HD, similar to other neurodegenerative disorders, cognitive and/or behavioral decline may appear subtle and unrecognized far prior to motor ones, and thus a revision of the diagnostic criteria has been suggested (16). MR Sequenceh The restricted-to-free proton pool size ratio quantifies the macromolecular over liquid content within an individual voxel and is hypothesized to be a proxy for the content of macromolecular storage in HD brains. (3) The experimental base for the quantification of the magnetization transfer effects is a repeated presaturation of the sample with Gaussian RF pulses irradiated at different off-resonant frequencies. Normalized mMT absorption spectra for each brain compartment (CSF, white matter, gray matter outlined in gray), the amount of abnormally accumulated large proteins (red) vs. physiological conditions (blue) enable groupwise stratifications of patients, pre-HD carriers and HC. (4) A fuzzy clustering algorithm with subsequent principal component analysis (PCA) for the projection on two dimensions is applied. The axes correspond to the dimensions of the projected data using the eigenvectors with the largest eigenvalues calculated by the PCA—of note, the other main components only contain noise and irrelevant information. Table 1 | Clinical data (clinically asymptomatic gene carriers and symptomatic HD patients). Table 1 | Clinical data (clinically asymptomatic gene carriers and symptomatic HD patients). Demographic data and clinical scores Carriers, n = 10 (f = 9) Manifest, n = 10 (f = 5) Paired t-test Mean SD Mean SD Age 40.6 9.1 54.2 12.7 0.04 CAG repeats 42.5 2.4 43.7 2.8 n.s. Disease burden score 266.4 73.5 443.0 123.4 0.002 Total motor score 1.3 1.1 51.0 24.6 0.00001 Total functional score 5.7 0.3 12.9 3.4 0.0001 UHDRS, Unified Huntington’s Disease Scale; m, male; f, female; HD, Huntington’s disease. Participants Twenty persons with increased numbers of CAG repeats on the larger huntingtin allele (39–49) were included. None of them underwent intubation. Ten symptomatic persons had 41–49 CAG repeats (5 women, age at examination 35–70 years old, mean 54), and 10 asymptomatic persons 39–47 CAG repeats (9 women, age at examination 23–60 years, mean 41). The symptomatic group was slightly older on average (p = 0.04), but their mean CAG repeat number did not differ (p > 0.05, paired t-test). The com- plete demographic characteristics and assessment of the clinical features are provided in Table 1. Ten individuals (five women, age at examination 23–64 years old, mean 48) without neurological or psychiatric disease were included as controls. An overview about the neuropsychological and behavioral tests results is provided in Table 2. Magnetization Transfer The axes correspond to the largest eigenvalues found by the principal component analysis. , g y , , Q g g ,f pp y to directly assess macromolecular tissue compositions presum- ably reflecting microstructural damage related to HD pathology independently from brain atrophy. Notably, we incorporated solely the NC into our analysis, since it reflects the candidate area for earliest microstructural changes. One early phenomenon described in several models is the formation of inclusion bodies made of abnormal HTT with elongated polyglutamate track in nuclei and dystrophic neuritis (19). The mechanisms underlying the formation of these inclusion are complex, the elongation of the protein itself may lead to a disturbed intracellular clearance with accumulation, but decreased apoptotic signaling, increased cytosolic calcium concentration, and relative NMDA receptor affinity among other mechanisms, may play a role as well (20). The burden of these inclusions correlates with the number of CAG triplet repeats (21). The formation of HTT inclusion bod- ies is accompanied by changes in the cytosolic macroprotein conformations. Accumulations of various proteins, including heat-shock protein chaperones, ubiquitin, and other components of the proteasome system (21) and numerous protein–protein interactions perturbed by elongated HTT (22) may affect the interactions between free and restricted protons and thus reflect Table 2 | Neuropsychological tests (clinically asymptomatic gene carriers and symptomatic Huntington’s disease patients). Carriers (n = 10) Manifest (n = 10) Word fluency (letters) 41.5 13.9 17.4 12.3 Stroop Naming 78.3 13.8 35.6 17.7 Reading 86.4 18.1 40.7 20.6 Interference 50.5 11.6 22.1 12.2 Symbol digit 48.8 6.8 18.2 11.0 Word fluency (category) 23.2 4.1 10.1 5.5 Trail making A 23.6 6.5 103.6 63.5 B 70.4 22.6 207.6 50.5 Problem Behaviors Assessment (short) Depression 3.0 3.4 4.4 5.0 Irritability aggression 1.6 2.0 2.7 2.6 Psychosis 0.2 0.6 0.9 1.3 Apathy 0.2 0.6 4.1 3.8 Executive function 0.0 0.0 6.0 4.8 Table 2 | Neuropsychological tests (clinically asymptomatic gene carriers and symptomatic Huntington’s disease patients). Figure 2 | A region-of-interest cluster analysis of the nucleus caudatus was performed with fuzzy clustering to associate this subregion to a cluster representative for each group. The cluster analysis of the patients and controls was performed according to the MR parameter subset (T2f, SDf, kf, kr, T2r), given a maximal number of six classes. Each subgroup (symptomatic, presymptomatic, and control) consists of 10 persons. Magnetization Transfer One early phenomenon described in several models is the formation of inclusion bodies made of abnormal HTT with elongated polyglutamate track in nuclei and dystrophic neuritis (19). The mechanisms underlying the formation of these inclusion are complex, the elongation of the protein itself may lead to a disturbed intracellular clearance with accumulation, but decreased apoptotic signaling, increased cytosolic calcium concentration, and relative NMDA receptor affinity among other mechanisms, may play a role as well (20). The burden of these inclusions correlates with the number of CAG triplet repeats (21). The formation of HTT inclusion bod- ies is accompanied by changes in the cytosolic macroprotein conformations. Accumulations of various proteins, including heat-shock protein chaperones, ubiquitin, and other components of the proteasome system (21) and numerous protein–protein interactions perturbed by elongated HTT (22) may affect the interactions between free and restricted protons and thus reflect an increase in volume of cerebral fluid was associated with disease progression when using an automated segmentation procedure. However, a potential limitation of volumetric measures in drug studies is that potential effects may not necessarily decrease with brain atrophy in the presence of a meaningful clinical benefit. Quantitative mMT imaging in this sense, offers the opportunity to directly assess macromolecular tissue compositions presum- ably reflecting microstructural damage related to HD pathology independently from brain atrophy. Notably, we incorporated solely the NC into our analysis, since it reflects the candidate area for earliest microstructural changes. One early phenomenon described in several models is the formation of inclusion bodies made of abnormal HTT with elongated polyglutamate track in nuclei and dystrophic neuritis (19). The mechanisms underlying the formation of these inclusion are complex, the elongation of the protein itself may lead to a disturbed intracellular clearance with accumulation, but decreased apoptotic signaling, increased cytosolic calcium concentration, and relative NMDA receptor affinity among other mechanisms, may play a role as well (20). The burden of these inclusions correlates with the number of CAG triplet repeats (21). The formation of HTT inclusion bod- ies is accompanied by changes in the cytosolic macroprotein conformations. Magnetization Transfer In the ROI cluster analysis of the NC, fuzzy clustering was per- formed to associate this subregion to a cluster representative for each group. The cluster analysis of the patients and controls was performed according to the MR parameter subset (T2f, SDf, kf, kr, T2r), given a maximal number of six classes. There was a clear separation into two main clusters: the first cluster encompassed HD mutation carriers with a disease burden (DB) exceeding 268 (n = 11). The other important cluster contained the normal controls and cases with low DB. In between were cases with medium DBS, and this encompassed three clusters (Figure 2). We computed the factor loading—the relative contributions of the individual mMT parameter to the main components (first and second principal component). The first two components explain 94.4% of the variance. The first component that is dominated by the mMT parameters explains 84% of the variance. From Figure 3, it can be depicted that the individual contributions of each mMT parameter is essential for the segregation and that the classification is mainly driven by the characteristic macromolecu- lar interactions and not simply by atrophy. We further calculated the individual gray matter/total intracranial volume ratios for patients (0.42 ± 03), carriers (0.48 ± 03), and HC (0.48 ± 03). While there was as significant difference between patients and carriers/HC (p < 0.001), we identified no such differences between carriers and healthy controls (p = 0.7, one-way ANOVA). Volumetric structural image analysis by MRI is the accepted standard procedure to quantify atrophy in HD. Decreased cau- date and putamen volume distinguishes subjects with HD normal controls and has been demonstrated to track disease progression. September 2017  |  Volume 8  |  Article 465 Frontiers in Neurology  |  www.frontiersin.org 5 mMT Imaging in HD Wiest et al. Table 2 | Neuropsychological tests (clinically asymptomatic gene carriers and symptomatic Huntington’s disease patients). Magnetization Transfer Carriers (n = 10) Manifest (n = 10) Word fluency (letters) 41.5 13.9 17.4 12.3 Stroop Naming 78.3 13.8 35.6 17.7 Reading 86.4 18.1 40.7 20.6 Interference 50.5 11.6 22.1 12.2 Symbol digit 48.8 6.8 18.2 11.0 Word fluency (category) 23.2 4.1 10.1 5.5 Trail making A 23.6 6.5 103.6 63.5 B 70.4 22.6 207.6 50.5 Problem Behaviors Assessment (short) Depression 3.0 3.4 4.4 5.0 Irritability aggression 1.6 2.0 2.7 2.6 Psychosis 0.2 0.6 0.9 1.3 Apathy 0.2 0.6 4.1 3.8 Executive function 0.0 0.0 6.0 4.8 Figure 2 | A region-of-interest cluster analysis of the nucleus caudatus was performed with fuzzy clustering to associate this subregion to a cluster representative for each group. The cluster analysis of the patients and controls was performed according to the MR parameter subset (T2f, SDf, kf, kr, T2r), given a maximal number of six classes. Each subgroup (symptomatic, presymptomatic, and control) consists of 10 persons. Cluster 4 represents subjects with a disease burden score (DBS) of ≥268 (yellow), it includes all symptomatic Huntington’s disease patients and one non-symptomatic gene carrier. Cluster 5 represents the non- symptomatic gene carrier with DBS <230 and controls (black). Clusters 1, 2, and 6 (red, light and dark blue) essentially represent transition zones consisting of presymptomatic patients with DBS values increasing with decreasing distance from cluster 4. Cluster 3 is empty. The axes correspond to the largest eigenvalues found by the principal component analysis. Wiest et al. mMT Imaging in HD Biomarker studies as TRACK-HD and PREDICT-HD revealed promising results in the assessment of disease progression in premanifest and early HD (17, 18). A volume reduction predomi- nantly in the putamen to intracranial volume ratio, further in the NC, hippocampus, globus pallidus, nucleus accumbens and thala- mus, and lobar gray matter, but not in the lobar white matter, and an increase in volume of cerebral fluid was associated with disease progression when using an automated segmentation procedure. However, a potential limitation of volumetric measures in drug studies is that potential effects may not necessarily decrease with brain atrophy in the presence of a meaningful clinical benefit. Quantitative mMT imaging in this sense, offers the opportunity to directly assess macromolecular tissue compositions presum- ably reflecting microstructural damage related to HD pathology independently from brain atrophy. Notably, we incorporated solely the NC into our analysis, since it reflects the candidate area for earliest microstructural changes. Magnetization Transfer Accumulations of various proteins, including heat-shock protein chaperones, ubiquitin, and other components of the proteasome system (21) and numerous protein–protein interactions perturbed by elongated HTT (22) may affect the interactions between free and restricted protons and thus reflect Biomarker studies as TRACK-HD and PREDICT-HD revealed promising results in the assessment of disease progression in premanifest and early HD (17, 18). A volume reduction predomi- nantly in the putamen to intracranial volume ratio, further in the NC, hippocampus, globus pallidus, nucleus accumbens and thala- mus, and lobar gray matter, but not in the lobar white matter, and Biomarker studies as TRACK-HD and PREDICT-HD revealed promising results in the assessment of disease progression in premanifest and early HD (17, 18). A volume reduction predomi- nantly in the putamen to intracranial volume ratio, further in the NC, hippocampus, globus pallidus, nucleus accumbens and thala- mus, and lobar gray matter, but not in the lobar white matter, and Table 2 | Neuropsychological tests (clinically asymptomatic gene carriers and symptomatic Huntington’s disease patients). Carriers (n = 10) Manifest (n = 10) Word fluency (letters) 41.5 13.9 17.4 12.3 Stroop Naming 78.3 13.8 35.6 17.7 Reading 86.4 18.1 40.7 20.6 Interference 50.5 11.6 22.1 12.2 Symbol digit 48.8 6.8 18.2 11.0 Word fluency (category) 23.2 4.1 10.1 5.5 Trail making A 23.6 6.5 103.6 63.5 B 70.4 22.6 207.6 50.5 Problem Behaviors Assessment (short) Depression 3.0 3.4 4.4 5.0 Irritability aggression 1.6 2.0 2.7 2.6 Psychosis 0.2 0.6 0.9 1.3 Apathy 0.2 0.6 4.1 3.8 Executive function 0.0 0.0 6.0 4.8 Figure 2 | A region-of-interest cluster analysis of the nucleus caudatus was performed with fuzzy clustering to associate this subregion to a cluster representative for each group. The cluster analysis of the patients and controls was performed according to the MR parameter subset (T2f, SDf, kf, kr, T2r), given a maximal number of six classes. Each subgroup (symptomatic, presymptomatic, and control) consists of 10 persons. Cluster 4 represents subjects with a disease burden score (DBS) of ≥268 (yellow), it includes all symptomatic Huntington’s disease patients and one non-symptomatic gene carrier. Cluster 5 represents the non- symptomatic gene carrier with DBS <230 and controls (black). Clusters 1, 2, and 6 (red, light and dark blue) essentially represent transition zones consisting of presymptomatic patients with DBS values increasing with decreasing distance from cluster 4. Cluster 3 is empty. Magnetization Transfer The dotted lines indicate the relative contribution of the model-based magnetization transfer (mMT) parameters T2f, SDf, kf, kr, and T2r extracted from the caudate nucleus (NC) in the left and right hemisphere to the segregation between HC, Huntington’s disease (HD) carriers and manifest HD patients. HD patients are displayed in yellow, HD carriers in blue, and healthy controls in black. physical properties in the presence of solid structural components detectable by mMT. targeted against disease-related macromolecule deposits instead of volumes in the cortex or white matter which tend to be affected later during the disease process.i Several studies have addressed MT imaging, yet focusing on the MTR. A reduction of the MTR peak height in gray and white matter in manifest HD compared to healthy controls (23) has been reported, but no differences between presymptomatic gene carriers and controls. These studies concluded that there is no role for MTR as a biomarker in presymptomatic HD (24). The shortcomings of these studies are their strict focus on MTR: MTR is influenced by T1 effects and T2-relaxometry and does not differentiate between effects related to the fractional deposit of macromolecules and those related to the coupling of restricted protons. MT imaging has been consistently applied as an overall measure to various other neurodegenerative disorders, e.g., Alzheimer disease (25), Parkinson disease (26, 27), and progres- sive supranuclear palsy (28), however, MTR lacks the specific properties to identify the constituents of tissue that are essential to identify all tissue components that dominate the MT exchange process in GM separately. Very recently, a similar method has been applied to investigate HD-related myelin breakdown in WM (29). Quantified MT parameters that reflect the relative density of the macromolecular pool were highly sensitive to microstructural changes related to the myelin content of WM in HD patients. Quantified mMT is straightforward also in GM, since it is Our pilot study provides first evidence that this method may be also of potential value in the classification of gene carriers as a potential marker of disease progression, unrelated to global atrophy. MT parameters that reflect an increased load of inter- stitial water (T2f) and that are indicators of aging and atrophy, did not result in a clustering modifications in a previous study on pre-AD subjects (14), indicating that structural changes are minor during early preclinical stages. Magnetization Transfer Cluster 4 represents subjects with a disease burden score (DBS) of ≥268 (yellow), it includes all symptomatic Huntington’s disease patients and one non-symptomatic gene carrier. Cluster 5 represents the non- symptomatic gene carrier with DBS <230 and controls (black). Clusters 1, 2, and 6 (red, light and dark blue) essentially represent transition zones consisting of presymptomatic patients with DBS values increasing with decreasing distance from cluster 4. Cluster 3 is empty. The axes correspond to the largest eigenvalues found by the principal component analysis. Figure 2 | A region-of-interest cluster analysis of the nucleus caudatus was performed with fuzzy clustering to associate this subregion to a cluster representative for each group. The cluster analysis of the patients and controls was performed according to the MR parameter subset (T2f, SDf, kf, kr, T2r), given a maximal number of six classes. Each subgroup (symptomatic, presymptomatic, and control) consists of 10 persons. Cluster 4 represents subjects with a disease burden score (DBS) of ≥268 (yellow), it includes all symptomatic Huntington’s disease patients and one non-symptomatic gene carrier. Cluster 5 represents the non- symptomatic gene carrier with DBS <230 and controls (black). Clusters 1, 2, and 6 (red, light and dark blue) essentially represent transition zones consisting of presymptomatic patients with DBS values increasing with decreasing distance from cluster 4. Cluster 3 is empty. The axes correspond to the largest eigenvalues found by the principal component analysis. September 2017  |  Volume 8  |  Article 465 Frontiers in Neurology  |  www.frontiersin.org Wiest et al. mMT Imaging in HD Figure 3 | Combined presentation of the factor loadings and the classification of the cohort under investigation. The axes indicate the main components of the principal component analysis. The dotted lines indicate the relative contribution of the model-based magnetization transfer (mMT) parameters T2f, SDf, kf, kr, and T2r extracted from the caudate nucleus (NC) in the left and right hemisphere to the segregation between HC, Huntington’s disease (HD) carriers and manifest HD patients. HD patients are displayed in yellow, HD carriers in blue, and healthy controls in black. Figure 3 | Combined presentation of the factor loadings and the classification of the cohort under investigation. The axes indicate the main components of the principal component analysis. Frontiers in Neurology  |  www.frontiersin.org REFERENCES transfer MR imaging. Neuroimage (2009) 48(4):657–67. doi:10.1016/j. neuroimage.2009.07.005 transfer MR imaging. Neuroimage (2009) 48(4):657–67. doi:10.1016/j. neuroimage.2009.07.005 1. Ha AD, Fung VS. Huntington’s disease. Curr Opin Neurol (2012) 25(4):491–8. doi:10.1097/WCO.0b013e3283550c97 h 1. Ha AD, Fung VS. Huntington’s disease. Curr Opin Neurol (2012) 25(4):491–8. doi:10.1097/WCO.0b013e3283550c97 h 14. Wiest R, Burren Y, Hauf M, Schroth G, Pruessner J, Zbinden M, et  al. Classification of mild cognitive impairment and Alzheimer disease using model-based MR and magnetization transfer imaging. AJNR Am J Neuroradiol (2013) 34(4):740–6. doi:10.3174/ajnr.A3307 i 2. Burgunder JM. Recent advances in the management of choreas. Ther Adv Neurol Disord (2013) 6(2):117–27. doi:10.1177/1756285612471700 2. Burgunder JM. Recent advances in the management of choreas. Ther Adv Neurol Disord (2013) 6(2):117–27. doi:10.1177/1756285612471700 15. Teslic L, Hartmann B, Nelles O, Skrjanc I. Nonlinear system identification by Gustafson-Kessel fuzzy clustering and supervised local model network learning for the drug absorption spectra process. IEEE Trans Neural Netw (2011) 22(12):1941–51. doi:10.1109/TNN.2011.2170093 3. Burgunder JM. Translational research in Huntington’s disease: opening up for disease modifying treatment. Transl Neurodegener (2013) 2(1):2. doi:10.1186/2047-9158-2-2 4. Munoz-Sanjuan I, Bates GP. The importance of integrating basic and clinical research toward the development of new therapies for Huntington disease. J Clin Invest (2011) 121(2):476–83. doi:10.1172/JCI45364 16. Reilmann R, Leavitt BR, Ross CA. Diagnostic criteria for Huntington’s disease based on natural history. Mov Disord (2014) 29(11):1335–41. doi:10.1002/ mds.26011 J Clin Invest (2011) 121(2):476–83. doi:10.1172/JCI45364 5. Raymond LA, Andre VM, Cepeda C, Gladding CM, Milnerwood AJ, Levine MS. Pathophysiology of Huntington’s disease: time-dependent alter- ations in synaptic and receptor function. Neuroscience (2011) 198:252–73. doi:10.1016/j.neuroscience.2011.08.052 17. Paulsen JS, Langbehn DR, Stout JC, Aylward E, Ross CA, Nance M, et al. Detection of Huntington’s disease decades before diagnosis: the Predict-HD study. J Neurol Neurosurg Psychiatry (2008) 79(8):874–80. doi:10.1136/ jnnp.2007.128728 6. Vonsattel JP, DiFiglia M. Huntington disease. J Neuropathol Exp Neurol (1998) 57(5):369–84. doi:10.1097/00005072-199805000-00001 j 18. Tabrizi SJ, Scahill RI, Owen G, Durr A, Leavitt BR, Roos RA, et al. Predictors of phenotypic progression and disease onset in premanifest and early-stage Huntington’s disease in the TRACK-HD study: analysis of 36-month observational data. Lancet Neurol (2013) 12(7):637–49. doi:10.1016/ S1474-4422(13)70088-7 7. Sturrock A, Laule C, Wyper K, Milner RA, Decolongon J, Santos RD, et al. A longitudinal study of magnetic resonance spectroscopy Huntington’s disease biomarkers. Mov Disord (2015) 30(3):393–401. doi:10.1002/ mds.26118 19. DiFiglia M, Sapp E, Chase KO, Davies SW, Bates GP, Vonsattel JP, et  al. ETHICS STATEMENT the relationship strength between the clustering with clinical phenotype assessment, larger longitudinal studies are necessary to characterize macromolecule conformations, sensitivity and specificity of the individual mMT parameters. Other multivari- ate statistical methods, as, e.g., discriminant function analysis may be alternatively employed to test the prediction accuracy of mMT and subsequent disease monitoring from prodromal stages into HD in vivo. Prospective study has been approved by the ethics committee of the state of Bern. All participants gave informed consent or, in the case of a legal representative confirming, assent for clinical examination and for MMT studies. Magnetization Transfer At the current stage the complete set of mMT parameters provided the most accurate classification with respect to the DBS, as can be seen from the distribution of the factor loadings displayed in Figure 3. This observation can be explained by the fact that the complexity of the interaction of macromolecules with its immediate environ- ment cannot be adequately described by a single oversimplified parameter such as the MTR whereas the MT model parameters account for the associated complex exchange and coupling phenomena.hh This study has limitations. The number of patients was small, and the investigations were focused on a PCA supervising an established fuzzy clustering algorithm to segregate controls, gene carriers, and symptomatic individuals. To investigate September 2017  |  Volume 8  |  Article 465 7 Wiest et al. mMT Imaging in HD FUNDING This study was supported by the Ruth & Arthur Scherbarth Foundation (Switzerland). This study was supported by the Ruth & Arthur Scherbarth Foundation (Switzerland). AUTHOR CONTRIBUTIONS Further in  vitro experiments of the concentration-related interactions of macromolecules are also mandatory, using synthetic biological multi-compartment matrices that contain various macromolecules (huntingtin, ubiquitin, and tau-protein) and different synthetic environments. RW concepted the study, contributed to data acquisition and analysis, and wrote the paper. J-MB contributed to data acqui- sition, clinical and statistical data analysis, and writing of the manuscript. CK concepted the study, performed the MR data analysis, and contributed to the writing of the manuscript. Multiparametric MRI protocols that record a compound of several biomarkers reflecting atrophy, protein load, and meta- bolic processes within a single MR exam have meanwhile become feasible with reasonable overall acquisition times of 30–40 min that render mMT applicable as a complement for HD imaging protocols in future clinical trials. REFERENCES Aggregation of huntingtin in neuronal intranuclear inclusions and dys- trophic neurites in brain. Science (1997) 277(5334):1990–3. doi:10.1126/ science.277.5334.1990 8. Tabrizi SJ, Langbehn DR, Leavitt BR, Roos RA, Durr A, Craufurd D, et al. Biological and clinical manifestations of Huntington’s disease in the longi- tudinal TRACK-HD study: cross-sectional analysis of baseline data. Lancet Neurol (2009) 8(9):791–801. doi:10.1016/S1474-4422(09)70170-X 20. Okamoto S, Pouladi MA, Talantova M, Yao D, Xia P, Ehrnhoefer DE, et al. Balance between synaptic versus extrasynaptic NMDA receptor activity influences inclusions and neurotoxicity of mutant huntingtin. Nat Med (2009) 15(12):1407–13. doi:10.1038/nm.2056 9. Novak MJ, Seunarine KK, Gibbard CR, Hobbs NZ, Scahill RI, Clark CA, et al. White matter integrity in premanifest and early Huntington’s disease is related to caudate loss and disease progression. Cortex (2014) 52:98–112. doi:10.1016/j.cortex.2013.11.009 10. Stanisz GJ, Yoon RS, Joy ML, Henkelman RM. Why does MTR change with neuronal depolarization? Magn Reson Med (2002) 47(3):472–5. doi:10.1002/ mrm.10071 21. Zeitlin S, Liu JP, Chapman DL, Papaioannou VE, Efstratiadis A. Increased apoptosis and early embryonic lethality in mice nullizygous for the Huntington’s disease gene homologue. Nat Genet (1995) 11(2):155–63. doi:10.1038/ng1095-155 11. Thompson JC, Harris J, Sollom AC, Stopford CL, Howard E, Snowden JS, et al. Longitudinal evaluation of neuropsychiatric symptoms in Huntington’s disease. J Neuropsychiatry Clin Neurosci (2012) 24(1):53–60. doi:10.1176/appi. neuropsych.11030057 22. Sanchez I, Mahlke C, Yuan J. Pivotal role of oligomerization in expanded polyglutamine neurodegenerative disorders. Nature (2003) 421(6921):373–9. doi:10.1038/nature01301 12. Sled JG, Pike GB. Quantitative imaging of magnetization transfer exchange and relaxation properties in  vivo using MRI. Magn Reson Med (2001) 46(5):923–31. doi:10.1002/mrm.1278 23. van den Bogaard SJ, Dumas EM, Hart EP, Milles J, Reilmann R, Stout JC, et al. Magnetization transfer imaging in premanifest and manifest Huntington disease: a 2-year follow-up. AJNR Am J Neuroradiol (2013) 34(2):317–22. doi:10.3174/ajnr.A3303 13. Kiefer C, Brockhaus L, Cattapan-Ludewig K, Ballinari P, Burren Y, Schroth G, et  al. Multi-parametric classification of Alzheimer’s disease and mild cognitive impairment: The impact of quantitative magnetization 24. Jurgens CK, Jasinschi R, Ekin A, Witjes-Ane MN, Middelkoop H, van der Grond J, et al. MRI T2 hypointensities in basal ganglia of premanifest September 2017  |  Volume 8  |  Article 465 Frontiers in Neurology  |  www.frontiersin.org 8 Wiest et al. mMT Imaging in HD mMT Imaging in HD Huntington’s disease. PLoS Curr (2010) 2:RRN1173. doi:10.1371/currents. RRN1173 29. Bourbon-Teles J, Bells S, Jones D, Coulthard E, Rosser A, Metzler-Baddeley C. September 2017  |  Volume 8  |  Article 465 REFERENCES Myelin breakdown in human Huntington’s disease: Multimodal evidence from diffusion MRI and quantitative Magnetization transfer. Neuroscience (2017). doi:10.1016/j.neuroscience.2017.05.042 Huntington’s disease. PLoS Curr (2010) 2:RRN1173. doi:10.1371/currents. RRN1173 25. Ridha BH, Symms MR, Tozer DJ, Stockton KC, Frost C, Siddique MM, et al. Magnetization transfer ratio in Alzheimer disease: comparison with volumet- ric measurements. AJNR Am J Neuroradiol (2007) 28(5):965–70. ric measurements. AJNR Am J Neuroradiol (2007) 28(5):965–70 26. Anik Y, Iseri P, Demirci A, Komsuoglu S, Inan N. Magnetization transfer ratio in early period of Parkinson disease. Acad Radiol (2007) 14(2):189–92. doi:10.1016/j.acra.2006.11.005 Conflict of Interest Statement: The authors declare that the research was con- ducted in the absence of any commercial or financial relationships that could be construed as a potential conflict of interest. 27. Tambasco N, Pelliccioli GP, Chiarini P, Montanari GE, Leone F, Mancini ML, et al. Magnetization transfer changes of grey and white matter in Parkinson’s disease. Neuroradiology (2003) 45(4):224–30. doi:10.1007/ s00234-002-0925-5 Copyright © 2017 Wiest, Burgunder and Kiefer. This is an open-access article dis- tributed 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. 28. Hanyu H, Asano T, Sakurai H, Takasaki M, Shindo H, Abe K. Magnetisation transfer measurements of the subcortical grey and white matter in Parkinson’s disease with and without dementia and in progressive supranuclear palsy. Neuroradiology (2001) 43(7):542–6. September 2017  |  Volume 8  |  Article 465 Frontiers in Neurology  |  www.frontiersin.org 9
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Fundamental limits and non-reciprocal approaches in non-Hermitian quantum sensing
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ARTICLE NATURE COMMUNICATIONS | DOI: 10.1038/s41467-018-06477-7 NATURE COMMUNICATIONS | DOI: 10.1038/s41467-018-06477-7 A the goal of our work. Analyzing this regime involves addressing several general questions about non-Hermitian sensing. First, most studies focus exclusively on characterizing parametric shifts of mode frequencies; the process of how such shifts are measured is not fully analyzed. This is problematic, as a realistic sensing protocol may be sensitive to the parametric dependence of both the eigenvalues and eigenvectors of the system Hamiltonian; this latter dependence could conceivably counteract the parameter dependence of the eigenvalues21. Second, the impact of fluctua- tions has not been discussed. In the coupled-mode settings of interest, non-Hermitian effective dynamics always corresponds to dissipative dynamics which will generically be accompanied by noise. This noise can limit the ability to resolve parameter changes. This is especially crucial in quantum settings, where one can never ignore the effects of vacuum noise, especially if the dissipative dynamics involves amplification processes. A mong the most powerful and ubiquitous measurement techniques is dispersive measurement, where a parameter of interest shifts the frequency of a resonant electro- magnetic mode. Dispersive measurement is used in a myriad of tasks, including in settings where quantum noise and quantum limits are relevant. Examples range from the sensing of biomo- lecules and nanoparticles1–3, to the measurement of super- conducting qubits4,5, quantum optomechanical measurements of mechanical motion6, and gravitational wave detection7–9. g Given its widespread utility, methods for improving dispersive measurements are of immense practical and fundamental interest. In this regard, there has been considerable recent interest in exploiting non-Hermitian dynamics in linear coupled-mode systems to enhance dispersive-style measurements10–16. Such systems are described by an effective non-Hermitian Hamiltonian matrix, and can exhibit exceptional points (EPs), where as a function of parameters two eigenvalues of the Hamiltonian coa- lesce and the matrix becomes defective. Near such EPs, the system eigenvalues have an extremely strong dependence on small changes in parameters. In the simplest two-mode realization17,18, a parameter ϵ, which enters the Hamiltonian linearly is able to shift eigenmode frequencies by an amount ffiffiffiϵ p . For small ϵ, this suggests an extremely strong response, and the possibility of enhanced sensing. The first experiments probing this extreme sensitivity of mode frequencies to parametric changes have recently been reported19,20. p y p p In this paper, we address both these sets of issues. We analyze a generic linear non-Hermitian sensing setup by mapping it to a probability-conserving open quantum system (see Fig. NATURE COMMUNICATIONS | DOI: 10.1038/s41467-018-06477-7 1a). This allows us to fully account for fluctuation effects in both classical and quantum regimes of operation. We analyze an optimal homodyne-based measurement scheme, and derive fundamental bounds on signal power and signal-to-noise ratio (SNR) that constrain sensing protocols based on non-Hermitian Hamilto- nians. Focusing on two-mode sensors, we find that the apparent improvement of signal power in a system with an EP can be accomplished by simply adding gain to a more conventional setup without any EP. Further, when fluctuation effects are included, we find that the SNR of any reciprocal system (whether or not it exploits an EP) is constrained by a fundamental bound involving the average intramode photon number. Surprisingly, y To date, almost all work on EP-based sensing implicitly assumes frequency shifts whose magnitude is at least comparable to mode linewidths. It is, however, also interesting to ask whether non-Hermitian sensing methods are effective in the common weak dispersive regime, where frequency shifts are small; this is Classical drive  Bout Bin Homodyne Readout waveguide 1 2 3 Z11 Y32 H23 Mode-mode Mode-loss Mode-gain Mode-readout a C2 in C1 in D1 in D2 in b c Δ0 0 Δ Fig. 1 General dispersive measurement setup and measurement results. a The setup consists of resonant modes (circles) that interact via a parameter- dependent non-Hermitian Hamiltonian. Standard analyses only consider the non-Hermitian dynamics of mode amplitude (region inside gray rectangle). In this work, we instead treat the system as an open quantum system, where non-Hermitian dynamics is generated by coupling to gain/loss baths (red/blue rectangles) and a readout waveguide. The operators and parameters are defined in Eq. (5). Particularly, the coupling rates to the various baths (dotted lines) is characterized by matrices Y and Z, and H describes the Hermitian direct couplings between modes (solid lines). A classical drive is injected into the readout waveguide, which couples only to mode 1. Its reflected field is measured by homodyne detection. A parametric change in the Hamiltonian (e.g., coupling between modes 1 and 2 here) changes the state of modes as well as that of the reflected field. b Integrated homodyne current m at a certain measurement time τ0, as a function of the detuning Δ of the drive frequency from the cavity 1 resonance frequency. The shaded area denotes uncertainty due to measurement noise, and the two curves are for two values of the parameter to be sensed. NATURE COMMUNICATIONS | DOI: 10.1038/s41467-018-06477-7 A parametric change can be optimally detected by measuring at a single detuning, e.g., Δ0 (dashed vertical line). c Time variation of integrated homodyne current for a fixed detuning Δ0. The signal induced by the perturbation to be sensed ( ffiffiffiffi S p , pink arrow) scales linearly as τ, while the uncertainty ( ffiffiffiffiffi N p , green arrow) has a weaker scaling, ffiffiffiτ p . Therefore, any small perturbation can be resolved for sufficiently long τ b Δ0 Δ b Classical drive  Bout Bin Homodyne Readout waveguide 1 2 3 Z11 Y32 H23 Mode-mode Mode-loss Mode-gain Mode-readout a C2 in C1 in D1 in D2 in a c c 0 Readout waveguide Homodyne Fig. 1 General dispersive measurement setup and measurement results. a The setup consists of resonant modes (circles) that interact via a parameter- dependent non-Hermitian Hamiltonian. Standard analyses only consider the non-Hermitian dynamics of mode amplitude (region inside gray rectangle). In this work, we instead treat the system as an open quantum system, where non-Hermitian dynamics is generated by coupling to gain/loss baths (red/blue rectangles) and a readout waveguide. The operators and parameters are defined in Eq. (5). Particularly, the coupling rates to the various baths (dotted lines) is characterized by matrices Y and Z, and H describes the Hermitian direct couplings between modes (solid lines). A classical drive is injected into the readout waveguide, which couples only to mode 1. Its reflected field is measured by homodyne detection. A parametric change in the Hamiltonian (e.g., coupling between modes 1 and 2 here) changes the state of modes as well as that of the reflected field. b Integrated homodyne current m at a certain measurement time τ0, as a function of the detuning Δ of the drive frequency from the cavity 1 resonance frequency. The shaded area denotes uncertainty due to measurement noise, and the two curves are for two values of the parameter to be sensed. A parametric change can be optimally detected by measuring at a single detuning, e.g., Δ0 (dashed vertical line). c Time variation of integrated homodyne current for a fixed detuning Δ0. The signal induced by the perturbation to be sensed ( ffiffiffiffi S p , pink arrow) scales linearly as τ, while the uncertainty ( ffiffiffiffiffi N p , green arrow) has a weaker scaling, ffiffiffiτ p . ARTICLE ARTICLE Fundamental limits and non-reciprocal approaches in non-Hermitian quantum sensing DOI: 10.1038/s41467-018-06477-7 OPEN Hoi-Kwan Lau1 & Aashish A. Clerk1 Unconventional properties of non-Hermitian systems, such as the existence of exceptional points, have recently been suggested as a resource for sensing. The impact of noise and utility in quantum regimes however remains unclear. In this work, we analyze the parametric- sensing properties of linear coupled-mode systems that are described by effective non- Hermitian Hamiltonians. Our analysis fully accounts for noise effects in both classical and quantum regimes, and also fully treats a realistic and optimal measurement protocol based on coherent driving and homodyne detection. Focusing on two-mode devices, we derive fundamental bounds on the signal power and signal-to-noise ratio for any such sensor. We use these to demonstrate that enhanced signal power requires gain, but not necessarily any proximity to an exceptional point. Further, when noise is included, we show that non- reciprocity is a powerful resource for sensing: it allows one to exceed the fundamental bounds constraining any conventional, reciprocal sensor. 1 Institute for Molecular Engineering, University of Chicago, 5640 South Ellis Avenue, Chicago, IL 60637, USA. Correspondence and requests for materials should be addressed to H.-K.L. (email: hklau.physics@gmail.com) NATURE COMMUNICATIONS | (2018) 9:4320 | DOI: 10.1038/s41467-018-06477-7 | www.nature.com/naturecommunications 1 Results G l General setup. We consider a generalized version of the non- Hermitian sensing system studied in previous works10,13– 15,19,20,22: M resonant modes interact as described by the linear and Markovian coupled-mode equations: ð5Þ _αi tð Þ ¼ i X j ~Hij½ϵαj tð Þ: ð1Þ ð1Þ The first line here has the same structure as in Eq. (3), and describes the linear dynamics of our system and its coherent driving. The terms on the second line instead describe zero- mean noise driving our system. ^Bin is noise entering from the input–output waveguide, whereas ^Cin j ^Din j   are noises entering from the dissipative baths used to realize the gain (loss) parts of the dissipative dynamics encoded in ~H. Consistent with the linear, Markovian nature of our system, these noise operators represent (operator-valued) Gaussian white noise. Quantum mechanically, they cannot be zero: at best, they describe vacuum fluctuations. In this case, we have: The first line here has the same structure as in Eq. (3), and describes the linear dynamics of our system and its coherent driving. The terms on the second line instead describe zero- mean noise driving our system. ^Bin is noise entering from the input–output waveguide, whereas ^Cin j ^Din j   are noises entering from the dissipative baths used to realize the gain (loss) parts of the dissipative dynamics encoded in ~H. Consistent with the linear, Markovian nature of our system, these noise operators represent (operator-valued) Gaussian white noise. Quantum mechanically, they cannot be zero: at best, they describe vacuum fluctuations. In this case, we have: αj(t) denotes the amplitude of mode j, and the M × M matrix ~H is`an effective non-Hermitian Hamiltonian describing both coherent and dissipative linear dynamics. The Hamiltonian depends on a parameter ϵ, and the goal is to sense an infinitesimal change in ϵ. We assume that this parameter only changes non- dissipative terms in ~H, and thus write ~Hij½ϵ ¼ ~Hij½0 þ ϵVij ð2Þ ð2Þ where the Hermitian matrix V describes the coupling of the parameter to the dynamics. We take ϵ to have units of frequency, and hence V is dimensionless. ^QinðtÞ^Qinyðt′Þ   ¼ nth Q þ 1   δðt  t′Þ ð6Þ ^QinyðtÞ^Qinðt′Þ   ¼ nth Qδðt  t′Þ ð7Þ ^QinðtÞ^Qinðt′Þ   ¼ 0 ð8Þ ð6Þ Unlike many works, we explicitly analyze the protocol used to measure the parametric dependence of ~H. Results G l A general strategy is to couple mode 1 to an input–output waveguide or transmission line, and then use this port to drive this system with a coherent tone at a frequency ωdr. The reflected signal is then measured, and used to infer ϵ. Coupling to the waveguide introduces extra damping of mode 1, and hence ~Hij ! ~Hij  iðκ=2Þδi1δj1, where κ is the coupling rate to the waveguide. Working in a rotating frame at the drive frequency, the coupled-mode equations now become: ^QinðtÞ^Qinðt′Þ   ¼ 0 ð8Þ ð8Þ where Q ∈{B, Cj, Zj}, and there are no correlations between different noise operators. The averages above represent averages over different realizations of the noise process, or equivalently, over the state of the bath degrees of freedom. nth Q represents the thermal occupancy of bath Q; we focus on the case where there is only vacuum noise, and these occupancies vanish (though our formalism can also easily treat the classical case nth Q  1). _αi ¼ iΔαi  i X j ~Hij½ϵαj  iδi1 ffiffiffiκ p β; ð3Þ ð3Þ where β is the amplitude of the coherent drive. Without loss of generality, we take β to be real and positive, and choose a frequency reference such that Re ~H11½0 ¼ 0. This implies that Δ represents the detuning of the drive frequency from the mode-1 resonance frequency. Q Note that Eq. (5) describes the same average dynamics as our starting coupled-mode equations: taking the average of Eq. (5) and defining αi  ^ai h i recovers Eq. (3). The additional noise effects encoded in Eq. (5) will, however, be important in determining our ability to make a measurement. We stress that these Markovian Heisenberg–Langevin equations are standard in the study of open quantum systems; a derivation is provided in Methods, and pedagogical treatments are given in5,23. In addition to fully treating the measurement, we also want to consistently describe noise effects associated with the dissipative dynamics encoded in ~H. Dissipative dynamics correspond to the anti-Hermitian part of ~H, which can always be written in terms of the difference of two positive-definite matrices. We thus write A crucial observation here is that the system-bath coupling matrices Y, Z in Eq. (4) are not uniquely determined by ~H. NATURE COMMUNICATIONS | DOI: 10.1038/s41467-018-06477-7 matrices Y, Z. Letting ^ai denote the canonical bosonic annihila- tion operator of the ith mode, the full system is described by the Heisenberg–Langevin equations: sensors involving nonreciprocal interactions can surpass this bound; we analyze this in detail. We thus identify nonreciprocity, which is accessible in a variety of experimental platforms, as a novel resource for enhanced sensing. ^ai ¼ iΔ^ai  i P j ~Hij½ϵ^aj  iδi1 ffiffiffiκ p β iδi1 ffiffiffiκ p ^Bin  i ffiffiffi 2 p P NY j¼1 Yij^Ciny j þ P NZ j¼1 Zij ^Din j ! ð5Þ NATURE COMMUNICATIONS | DOI: 10.1038/s41467-018-06477-7 Therefore, any small perturbation can be resolved for sufficiently long τ NATURE COMMUNICATIONS | (2018) 9:4320 | DOI: 10.1038/s41467-018-06477-7 | www.nature.com/naturecommunications 2 NATURE COMMUNICATIONS | DOI: 10.1038/s41467-018-06477-7 ARTICLE NATURE COMMUNICATIONS | (2018) 9:4320 | DOI: 10.1038/s41467-018-06477-7 | www.nature.com/naturecommunications NATURE COMMUNICATIONS | DOI: 10.1038/s41467-018-06477-7 For small ϵ, the average value of the output field will have a linear dependence on ϵ. We will be interested throughout this paper on long measurement times, and hence will focus on the steady state (time-independent) value of this average. We thus write More fundamentally, one could ask whether homodyne measurement is truly the optimal way to use the output field to estimate ϵ. While heuristically this seems clear from Eq. (10), one can ask the question more formally. The maximum amount of information available in the output field considering all possible measurements is quantified by the quantum Fisher information24. This quantity can be calculted exactly for our linear, Gaussian system25. In Methods, we show that this metric coincides with the SNR given above in the limit where the driving field β is sufficiently large. As such, the homodyne measurement strategy here is indeed the optimal strategy. ^Bout   ϵ’ ^Bout   0þλϵ ð10Þ ð10Þ where λ is a (possibly complex) linear response coefficient. We throughout use :: h iz to denote an average calculated using Eq. (5) with ϵ ¼ z. Letting ϕ = −arg λ, it is clear that all the information on ϵ in the output field is contained in the real part of eiϕ^Bout. An optimal measurement strategy is thus to measure this quantity directly. This corresponds to one quadrature of the output field, and the necessary measurement is known as homodyne detection. The time-dependent measurement signal (i.e., the homodyne current) is described by the operator ^IðtÞ: p gy We stress that our measurement scheme involves driving the system at a single frequency only. This is in contrast to most works on EP sensing10,13,19,20, which involve probing the system over a wide range of frequencies to measure a full output field spectrum. This approach requires driving the system with multiple tones, with each drive tone contributing to the total photon number (circulating power) in the coupled modes. To make a meaningful comparison between different schemes, we imagine a situation where the total photon number (in all modes and over all frequencies) is constrained. The question is then whether in this setting, it is better to have a multitone drive, or a drive at just a single frequency. We find that there is no advantage for such multitone driving, as the information generated at each frequency is independent. NATURE COMMUNICATIONS | DOI: 10.1038/s41467-018-06477-7 NATURE COMMUNICATIONS | DOI: 10.1038/s41467-018-06477-7 Similarly, the noise power associated with the integrated homodyne current in the long-time limit is: pedagogical discussion. This will allow us to directly compare the non-Hermitian sensing protocols to more established methods. pedagogical discussion. This will allow us to directly compare the non-Hermitian sensing protocols to more established methods. g p The amplitude of the reflected field in the waveguide is described by an operator ^Bout. Using standard input–output theory23, we have N  δ ^mðτÞδ ^mðτÞ h i0¼ τSII½0; ð15Þ ð15Þ where δ ^m  ^m  ^m h i0. ^BoutðtÞ ¼ β þ ^BinðtÞ    i ffiffiffiκ p ^a1ðtÞ: ð9Þ ð9Þ Combing these results, we see that the SNR of signal power associated with the homodyne measurement grows linearly with time: time: The first term describes the incident field on mode 1 that is promptly reflected, whereas the second term describes the field emitted from mode 1. Note that the reflected field in our geometry is completely equivalent to the transmitted field in standard setups where an optical fiber is coupled to a whispering- gallery mode resonator1–3. The first term describes the incident field on mode 1 that is promptly reflected, whereas the second term describes the field emitted from mode 1. Note that the reflected field in our geometry is completely equivalent to the transmitted field in standard setups where an optical fiber is coupled to a whispering- gallery mode resonator1–3. S N ¼ 2κϵ2τ λj j2 SII½0  ϵ2 κ2 τΓmeas: ð16Þ ð16Þ We have defined the long-time linear growth of the SNR in terms of a measurement rate Γmeas. This is a standard metric for quantifying the resolving power of weak continuous measure- ments; κ=ϵ0 ð Þ2Γ1 meas represents the minimum time required to distinguish ϵ ¼ ϵ0 from ϵ ¼ 0. The measurement rate defined here is also directly related to the another standard metric for sensitivity, the imprecision noise spectral density5. We have defined the long-time linear growth of the SNR in terms of a measurement rate Γmeas. This is a standard metric for quantifying the resolving power of weak continuous measure- ments; κ=ϵ0 ð Þ2Γ1 meas represents the minimum time required to distinguish ϵ ¼ ϵ0 from ϵ ¼ 0. The measurement rate defined here is also directly related to the another standard metric for sensitivity, the imprecision noise spectral density5. NATURE COMMUNICATIONS | DOI: 10.1038/s41467-018-06477-7 It is thus optimal to probe the system with a single coherent tone whose frequency is chosen to optimize Γmeas, see Fig. 1. We provide a rigorous proof of this statement (in terms of the quantum Fisher information) in Methods. ^IðtÞ  ffiffiffiκ 2 r eiϕ^BoutðtÞ þ eiϕ^BoutyðtÞ   ð11Þ ð11Þ Note the factor of ffiffiffiκ p is included in the homodyne current for convenience, as it makes ^I have the units of a rate. The homodyne current will be subject to shot noise fluctua- tions which will obscure our ability to extract ϵ. This noise is described by a spectral density5: SII½ω ¼ 1 2 Z 1 1 dteiωt fδ^IðtÞ; δ^Ið0Þg   0 ð12Þ ð12Þ where δ^I  ^I  ^I   . As we are considering the effects of an infinitesimal perturbation ϵ, we can characterize our measure- ment sensitivity using the noise spectral density calculated to zeroth order in ϵ. General expressions and constraints for a linear system. While the definition of the SNR and measurement rate in Eq. (16) is generally applicable, things simplify enormously for our system given the linearity of the dynamics. For a stable system, the Lan- gevin equations in Eq. (5) can be solved in the Fourier domain in terms of the dimensionless system susceptibility matrix ~χ defined as To estimate ϵ, the homodyne current is integrated from t = 0 to t = τ to average away the effects of noise. The time-integrated measurement is thus described by the operator: ^mðτÞ  Z τ 0 dt^IðtÞ: ð13Þ ð13Þ ~χ½ω; Δ; ϵ  iκ ðω þ ΔÞI  ~H½ϵ 1; ð17Þ ð17Þ where I is the M × M identity matrix. Using the input–output relation in Eq. (9) and taking average values, we immediately find that the steady-state average homodyne current is given by Considering the long-τ limit, the power associated with the signal induced by the perturbation is: S ¼ ^mðτÞ h iϵ ^mðτÞ h i0 2¼ 2κϵ2 λj j2τ2 ð14Þ ð14Þ ^I   ¼ ffiffiffiffiffi 2κ p Re eiϕβ 1  ~χ11½0; Δ; ϵ   ð18Þ ð18Þ We have assumed a measurement time τ that is long enough that we can ignore any transient effects in the behavior of ^IðtÞ   . Note also that with our definitions, S is dimensionless. Results G l This ambiguity corresponds to a simple physical fact: there are many different ways to couple to dissipative baths to realize a given non-Hermitian dynamics. As is perhaps obvious, noise will play a crucial role in determining the measurement sensitivity of ϵ; hence, the sensitivity will depend on the particular choice of baths and bath couplings used to realize ~H. This leads to two important conclusions: first, ~H on its own does not completely specify the performance of our detector, and second, for a given non- Hermitian Hamiltonian, an optimal measurement will require using an optimized choice of dissipative baths and bath couplings. 1 2i ~H  ~Hy    YYy  ZZy  1 2 ~κ; ð4Þ ð4Þ where ~κij ¼ κ δi1δj1. The matrix YY† represents gain processes, i.e., processes that tend to cause exponential growth in time; correspondingly, ZZ† represents loss processes (beyond the loss associated with the input–output waveguide). For definiteness, we take Y to be a M × NY matrix, and Z to be a M × NZ matrix. We also define H ¼ ~H þ ~Hy   =2 (i.e., the Hermitian part of ~H, which describes nondissipative dynamics). We can now view the coupled-mode equation in Eq. (3) as the noise-averaged version of a fully probability-conserving linear Markovian open quantum system. This description is useful even in the classical regime if one wants to account for the effect of thermal noise. The non-Hermitian dynamics in ~H are generated by coupling to NY + NZ distinct dissipative environ- ments, with specific mode-bath coupling constants given by the Homodyne measurement and measurement rate. We now discuss how the information on ϵ in the reflected field leaving mode 1 can be extracted. We will characterize the measurement sensitivity using standard metrics that are well established in describing a weak, continuous linear measurement; see, e.g.5, for a 3 NATURE COMMUNICATIONS | DOI: 10.1038/s41467-018-06477-7 Defining χðΔÞ  ~χ½0; Δ; 0 as the zero-frequency, unperturbed susceptibility matrix, we have Combining these results gives us a general bound on the measurement rate of any linear system: λ ¼ βd~χ11½0; Δ; ϵ dϵ ϵ¼0 ¼ i β κ χVχ ð Þ11: ð20Þ Γmeas  Γopt  4κntot χyχ ð Þ11 χVχ ð Þ11 2 1 þ 2Θ 1  χ11 21 h i 1  χ11 21   : ð25Þ ð20Þ We will implicitly assume χ is evaluated at Δ unless specified. ð25Þ p y χ p Using this expression, it is straightforward to calculate the signal power associated with the time-integrated homodyne current (c.f. Eq. (14)): This fundamental bound on the measurement rate (i.e., long-time SNR) of our linear sensor will now allow us to compare the best possible performance of sensors with different Hamiltonians. S ðϵτÞ2 ¼ 2 β2 κ ðχVχÞ11 2¼ 2ntot ðχVχÞ11 2 χyχ ð Þ11 : ð21Þ ð21Þ p p More precisely, we want to quantitatively ask whether systems exploiting non-Hermitian physics (such as EP-based sensing schemes) can ever offer advantages over more conventional sensing schemes, including simple sensing schemes based on a linear amplifier. In the second equality, we have expressed S in terms of the total average photon number in all modes induced by the coherent drive: p Note that while our focus is on sensing a parameter which modifies the Hermitian part of the Hamiltonian, Eqs. (21) and (25) can also be used directly in the more general case where V is non-Hermitian. The only additional assumption required is extremely mild: we just need that any extra noise associated with the non-Hermitian parameter change is not pathologically large, i.e., it vanishes in the limit ϵ ! 0, where the parametric dependence of the Hamiltonian vanishes. As long as this is satisfied, the extra noise would not change the form of the bound on the SNR in Eq. (25). ntot  X i ^ay i D E ^ai h i ¼ β2 κ X i χi1 2¼ β2 κ χyχ   11: ð22Þ ð22Þ Our motivation here is that S can always be increased indefinitely by simply increasing the drive power. For a meaningful metric, one thus needs to ask how much signal is generated given a fixed number of photons used for the measurement. NATURE COMMUNICATIONS | DOI: 10.1038/s41467-018-06477-7 In many situations, the photons to worry about are the intracavity photons described by ntot: if this photon number becomes too large, a variety of problems typically ensue (e.g., unwanted heating effects and breakdown of linearity). Note that we have neglected the incoherent photons injected by the gain bath. Unlike the drive- induced photon number that scales linearly as the driving power, the incoherent photon number is independent of coherent drive. For a sufficiently large driving power, the drive-induced photon thus dominates the total photon number. Two-mode non-Hermitian sensors for coupling perturbation. The results above are extremely general, applying to any non- Hermitian sensing setup described by Eq. (5). In Methods, we consider the simple case where the parameter of interest simply shifts the resonant frequency of mode 1. Here, however, we apply our results to the specific kind of system that has been extensively studied in the literature on EP sensing10,13–15,19,20: a two-mode system described by a non-Hermitian Hamiltonian ~H½ϵ, where the parameter to be determined is a Hermitian coupling between the modes. This corresponds to a coupling matrix Two-mode non-Hermitian sensors for coupling perturbation. The results above are extremely general, applying to any non- Hermitian sensing setup described by Eq. (5). In Methods, we consider the simple case where the parameter of interest simply shifts the resonant frequency of mode 1. Here, however, we apply our results to the specific kind of system that has been extensively studied in the literature on EP sensing10,13–15,19,20: a two-mode ~ p Turning to the fluctuations in the homodyne current, a straightforward calculation using Eqs. (5) and (15) yields: system described by a non-Hermitian Hamiltonian ~H½ϵ, where the parameter to be determined is a Hermitian coupling between the modes. This corresponds to a coupling matrix SII½0 ¼ κ 2 1 þ 4 κ χYYyχy   11 : ð23Þ ð23Þ V ¼ 0 1=2 1=2 0 ð26Þ ð26Þ The first term here represents the unavoidable shot noise in the homodyne current. The second term describes additional noise emanating from the dissipative baths that generate the gain processes in ~H. This extra noise corresponds to the amplification of zero-point fluctuations, and is connected to the fact that quantum mechanically, phase-insensitive linear amplification cannot be noiseless26. NATURE COMMUNICATIONS | DOI: 10.1038/s41467-018-06477-7 directly determined by ~H½0, but will depend crucially on how the dissipative dynamics is realized using external baths. ~ of ~H. The zero-frequency susceptibility matrix can in general be written in terms of the eigenvalues Ωj of ~H as of ~H. The zero-frequency susceptibility matrix can in general be written in terms of the eigenvalues Ωj of ~H as p y g For a fixed ~H½0 (and hence fixed χ), we can find the optimal choice of baths and bath couplings that minimizes the noise in the homodyne current (see Methods). We find: ~χ½0; Δ; ϵ ¼ iκ adjðΔI þ ~H½ϵÞ Q j ðΔ þ Ωj½ϵÞ ; ð19Þ ð19Þ SII½0min ¼ κ 2 1 þ 2Θ 1  χ11 21 h i 1  χ11 21     ; ð24Þ ð24Þ where adj(⋅) is the adjugate matrix. The basis of many sensing techniques is that the eigenvalues Ωj generally have a dependence on ϵ, which directly influences the susceptibility and hence output field. However, to get a complete description of the measurement, one must also worry about the numerator in this expression: the adjugate matrix (e.g., right and left eigenvectors of ~H) will also in general depend on ϵ, which can serve to suppress the overall sensitivity to ϵ. In what follows, we thus focus on the entire susceptibility matrix, and not just on the eigenfrequencies of ~H. where Θ[z] is the Heaviside step function. Again, this result reflects the well known quantum limits on added noise of linear amplifiers26. Here, if our system has reflection gain (i.e., 1  χ11 >1), the output noise must be bigger than simple shot noise. We stress that for any given ~H½0 and corresponding susceptibility matrix χ, it is always possible to construct a realization of the dissipative dynamics (in terms of bath couplings Y, Z) that attains this minimum possible noise level (see Methods). p y j g q Returning to Eq. (18) and considering small ϵ, one readily finds a direct expression for the linear response coefficient λ in Eq. (10). NATURE COMMUNICATIONS | DOI: 10.1038/s41467-018-06477-7 We have assumed a measurement time τ that is long enough that we can ignore any transient effects in the behavior of ^IðtÞ   . Note also that with our definitions, S is dimensionless. Note that the homodyne current depends on ϵ through ~χ, which in turn depends on both the eigenvalues and eigenvectors NATURE COMMUNICATIONS | (2018) 9:4320 | DOI: 10.1038/s41467-018-06477-7 | www.nature.com/naturecommunications 4 ARTICLE NATURE COMMUNICATIONS | DOI: 10.1038/s41467-018-06477-7 NATURE COMMUNICATIONS | (2018) 9:4320 | DOI: 10.1038/s41467-018-06477-7 | www.nature.com/naturecommunications where It thus exhibits a stable EP when J = (κ + γ1 −γ2)/4 and κ + γ1 + γ2 > 0. For this tuning of J, the mode eigenvalues behave as Ω ± ½ϵ = ± ffiffiffiffiffiffiffi 2Jϵ p  i κ þ γ1 þ γ2   =2, and have a strong square-root depen- dence on ϵ. Including now the effects of measurement noise, the above bound on signal power for a reciprocal two-mode system, when combined with Eq. (46), immediately yields a bound on the measurement rate: Despite the large sensitivity of mode frequencies to ϵ at the EP, the signal power and measurement rate for this setup remain bounded by Eqs. (29) and (30). This is shown explicitly in Fig. 2, where the signal power and measurement rate for this system is plotted as a function of the drive frequency. These quantities never exceed the fundamental bounds. Γmeas;recip  16κntot: ð30Þ ð30Þ We see that Γmeas for a reciprocal sensor is fundamentally bounded by the intracavity photon number and the coupling rate κ to the waveguide; unlike signal power, it cannot be made Note that in many applications, it is only the signal power that is relevant, as the measurement noise will be limited by non- –1.0 –0.5 0.0 0.5 1.0 0 5 10 15 20 25 30 35 Γmeas / tot –1.0 –0.5 0.0 0.5 Δ/ Δ/ 1.0 0 1 2 3 4 5 S/S a b Fig. 2 Signal power and measurement rate. a Signal power S and b measurement rate Γmeas against drive detuning Δ for three 2-mode non-Hermitian sensors. Blue dot-dashed: Reciprocal system with exceptional point but no gain, described by Eq. (31) with γ1 = 0, γ2 = 0.2κ, J = 0.2κ. Blue solid: Reciprocal system with exceptional point and gain, described by Eq. (31) with γ1 = 0, γ2 = −0.3κ, J = 0.325κ. Despite a higher signal power, introducing gain does not enhance the measurement rate due to the corresponding increased level of measurement noise. Neither of these systems beat the fundamental reciprocal- system bound in Eq. (30) (green dotted). Red: nonreciprocal system in Eq. (35) (γ1 = κ, γ2 = 0.5κ, J = 1.5κ, ν2 = 0). where arbitrarily large by increasing χ11 . As discussed in Methods, achieving this bound requires χ11 = 2, implying the absence of reflection gain. If one instead increases χ11  1 to achieve a large signal power, the optimal measurement rate instead approaches 2κntot. Sϵ  8ϵ2τ2ntot: ð28Þ ð28Þ is the signal power associated with a standard, single-mode dispersive measurement (see Methods). is the signal power associated with a standard, single-mode dispersive measurement (see Methods). These results apply directly to the kind of non-Hermitian two- mode sensors that have been studied extensively in the literature14–16,19. These systems generically involve a sensing parameter that couples as per Eq. (26), and a reciprocal two-mode effective Hamiltonian of the form Reciprocal two-mode sensors. Consider first a reciprocal system, where the magnitude of the coupling between the two modes does not have any directionality, i.e., ~H12 ¼ ~H21 . Note that this definition of reciprocity here is consistent with the standard usage of a scattering matrix being invariant under exchange of source and receiver27. If we attached a weak coupling waveguide to mode 2, the condition ~H12 ¼ ~H21 would ensure that the amplitudes for 1 →2 transmission and 2 →1 transmission have the same magnitude. ~Hrecip½0 ¼ i κþγ1 2 J J i γ2 2 ! : ð31Þ ð31Þ Here, J is the Hermitian coupling between the modes, whereas γ1, γ2 describe possible gain/loss processes (depending on the sign) acting locally on each mode. As always, κ represents the coupling rate between the input–output waveguide and mode 1; note that this coupling has mostly been neglected in previous work. ~ g This immediately implies that χ12 ¼ χ21 , and allows us to bound the maximum value of S: Srecip  1 4 Sϵ χ11 2: ð29Þ ð29Þ p g y g The eigenvalues of ~H½0 in this case are: Ω ± ½0 ¼ i κ þ γ1 þ γ2 2 ± ffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffi J2  1 4 κ þ γ1  γ2  2 r : ð32Þ ð32Þ Thus, for a reciprocal system, the only way to parametrically increase the signal power (at fixed measurement time τ and intracavity photon number ntot) is to make χ11 large. This implies that the system is an amplifier: signals incident in the coupling waveguide will be reflected with gain. NATURE COMMUNICATIONS | DOI: 10.1038/s41467-018-06477-7 We stress that for a fixed ~H½0, the choice of Y is not unique; thus, the noise properties of our setup is not The first term here represents the unavoidable shot noise in the homodyne current. The second term describes additional noise emanating from the dissipative baths that generate the gain processes in ~H. This extra noise corresponds to the amplification of zero-point fluctuations, and is connected to the fact that quantum mechanically, phase-insensitive linear amplification cannot be noiseless26. We stress that for a fixed ~H½0, the choice of Y is not unique; thus, the noise properties of our setup is not in Eq. (2). in Eq. (2). The signal power in the homodyne current follows directly from Eq. (21) and is given by S ¼ 1 16 χ11 2 χ12 þ χ21 2 χ11 2þ χ21 2 Sϵ: ð27Þ ð27Þ 5 5 ARTICLE NATURE COMMUNICATIONS | DOI: 10.1038/s41467-018-06477-7 NATURE COMMUNICATIONS | (2018) 9:4320 | DOI: 10.1038/s41467-018-06477-7 | www.nature.com/naturecommunications NATURE COMMUNICATIONS | DOI: 10.1038/s41467-018-06477-7 ARTICLE NATURE COMMUNICATIONS | DOI: 10.1038/s41467-018-06477-7 –1.0 –0.5 0.0 0.5 1.0 0 2 4 6 8 10 EP No EP Detuning Δ/ Signal power S/S Fig. 3 Signal power versus drive detuning for two reciprocal two-mode sensors. An EP system (blue, described by Eq. (31) with κ + γ1 = κ, γ2 = −0.3κ, J = 0.325κ), and a simple two-mode amplifier system that never has an EP (orange, Eq. (31) with κ + γ1 = γ2 = 0.16κ, J = 0.325κ). The two systems have similar peak signal powers. Dotted lines denote bound on signal power for both systems as given by Eq. (29) –1.0 –0.5 0.0 0.5 1.0 0 2 4 6 8 10 EP No EP Detuning Δ/ Signal power S/S a b 1 2 1 2 Fig. 4 Schematic showing how signal power is enhanced by nonreciprocity. Arrows and their thicknesses illustrate the direction and magnitude of influences. a In the absence of any perturbation, nonreciprocity prevents mode 2 being excited by the drive incident on mode 1. Drive photons do not experience the large nonreciprocal tunneling J from mode 2 to 1. b A nonzero coupling perturbation (ϵ≠0) breaks nonreciprocity. As a result, drive photons can tunnel from 1 to 2, and then return experiencing amplification from the large nonreciprocal tunneling amplitude J. This gives a large signal a 1 2 b 1 2 b a 2 1 2 Fig. 4 Schematic showing how signal power is enhanced by nonreciprocity. Arrows and their thicknesses illustrate the direction and magnitude of influences. a In the absence of any perturbation, nonreciprocity prevents mode 2 being excited by the drive incident on mode 1. Drive photons do not experience the large nonreciprocal tunneling J from mode 2 to 1. b A nonzero coupling perturbation (ϵ≠0) breaks nonreciprocity. As a result, drive photons can tunnel from 1 to 2, and then return experiencing amplification from the large nonreciprocal tunneling amplitude J. This gives a large signal Fig. 3 Signal power versus drive detuning for two reciprocal two-mode sensors. An EP system (blue, described by Eq. (31) with κ + γ1 = κ, γ2 = −0.3κ, J = 0.325κ), and a simple two-mode amplifier system that never has an EP (orange, Eq. (31) with κ + γ1 = γ2 = 0.16κ, J = 0.325κ). The two systems have similar peak signal powers. NATURE COMMUNICATIONS | DOI: 10.1038/s41467-018-06477-7 This describes a situation where mode 2 influences mode 1 but not vice-versa. The signal power for this fully directional setup becomes independent of χ11: Nonreciprocal two-mode sensors. The above discussion shows that for a reciprocal system, tuning to an EP does not provide special advantages for measurement. We now consider another means of exploiting non-Hermitian physics: a sensor whose effective Hamiltonian breaks reciprocity, i.e., ~H12 ≠~H21 . Breaking reciprocity allows one to parametrically exceed the bounds in Eqs. (29) and (30) that constrain any reciprocal two- mode sensing system. Synthetic nonreciprocity in driven photo- nic systems is an active area of current research (see ref. 28 and references therein), with experimental demosntrations in photo- nic platforms as well as superconducting quantum circuits and optomechanical systems. While most work in this area has focused on achieving nonreciprocal scattering to build devices such as isolators and circulators, we show here that non- reciprocity can also be a powerful resource for enhanced sensing. It is helpful to consider a concrete example of a fully nonreciprocal setup. Consider a non-Hermitian Hamiltonian ~Hdir½0 ¼ i κþγ1 2 J 0 ν2  i γ2 2 ! ; ð35Þ ð35Þ where γ1 and γ2 describe local damping or antidamping of the two modes, ν2 is the frequency detuning of the two modes, and J describes a (complex) nonreciprocal mode-mode coupling. Such directional couplings can be realized in many different ways. For example, one could start with a three-mode system in a ring geometry with purely Hermitian couplings that have nontrivial complex phases. As discussed extensively in ref. 29, if one then adds strong damping to the third mode and adiabatically eliminates it, one can realize an effective two-mode Hamiltonian identical to that in Eq. (35). p y p g To see how nonreciprocity changes our sensing problem, consider again Eq. (27) for the signal power, in the extreme directional limit where χ21 = 0, but χ12 ≠0. This describes a situation where mode 2 influences mode 1 but not vice-versa. The signal power for this fully directional setup becomes independent of χ11: The susceptiblity matrix is readily found. One has χ21 = 0. NATURE COMMUNICATIONS | DOI: 10.1038/s41467-018-06477-7 Dotted lines denote bound on signal power for both systems as given by Eq. (29) The benefits of nonreciprocity are more apparent when we consider noise and the full expression for the measurement rate. In a nonreciprocal system we can increase the signal power indefinitely (by making χ12 large) without having to have a large χ11 and hence reflection gain. This implies that the output noise can stay at the shot noise level. For a nonreciprocal system, we thus have: intrinsic effects (e.g., following amplifiers and detector ineffi- ciency). It is thus interesting to note that the signal-power performance of the two-mode EP system in Eq. (31) can be matched with a simple two-mode amplifier setup, where the first mode is subject locally to gain, and the total damping rate of mode 2 is made to match that of mode 1. While this system never possesses an EP, its performance matches the EP system, see Fig. 3. Thus, in terms of signal power at fixed photon number, there is no fundamental utility here to using a EP system. Γmeas;dir  κntot χ12 2 ð34Þ Γmeas;dir  κntot χ12 2 ð34Þ ð34Þ For χ12 >4, this exceeds the fundamental bound on the measurement rate of a reciprocal system given in Eq. (30). We thus see that nonreciprocity is a resource for enhanced sensing; moreover, it does not require a system that is tuned to an EP. Nonreciprocal two-mode sensors. The above discussion shows that for a reciprocal system, tuning to an EP does not provide special advantages for measurement. We now consider another means of exploiting non-Hermitian physics: a sensor whose effective Hamiltonian breaks reciprocity, i.e., ~H12 ≠~H21 . Breaking reciprocity allows one to parametrically exceed the bounds in Eqs. (29) and (30) that constrain any reciprocal two- mode sensing system. Synthetic nonreciprocity in driven photo- nic systems is an active area of current research (see ref. 28 and references therein), with experimental demosntrations in photo- nic platforms as well as superconducting quantum circuits and optomechanical systems. While most work in this area has focused on achieving nonreciprocal scattering to build devices such as isolators and circulators, we show here that non- reciprocity can also be a powerful resource for enhanced sensing. To see how nonreciprocity changes our sensing problem, consider again Eq. (27) for the signal power, in the extreme directional limit where χ21 = 0, but χ12 ≠0. where It yields a measurement rate which appreciably exceeds the reciprocal-system bound for a wide range of Δ 6 NATURE COMMUNICATIONS | (2018)9:4320 | DOI: 10 1038/s41467 018 06477 7 | www nature com/naturecommunications b –1.0 –0.5 0.0 0.5 Δ/ 1.0 0 1 2 3 4 5 S/S a –1.0 –0.5 0.0 0.5 1.0 0 5 10 15 20 25 30 35 Γmeas / tot Δ/ b Fig. 2 Signal power and measurement rate. a Signal power S and b measurement rate Γmeas against drive detuning Δ for three 2-mode non-Hermitian sensors. Blue dot-dashed: Reciprocal system with exceptional point but no gain, described by Eq. (31) with γ1 = 0, γ2 = 0.2κ, J = 0.2κ. Blue solid: Reciprocal system with exceptional point and gain, described by Eq. (31) with γ1 = 0, γ2 = −0.3κ, J = 0.325κ. Despite a higher signal power, introducing gain does not enhance the measurement rate due to the corresponding increased level of measurement noise. Neither of these systems beat the fundamental reciprocal- system bound in Eq. (30) (green dotted). Red: nonreciprocal system in Eq. (35) (γ1 = κ, γ2 = 0.5κ, J = 1.5κ, ν2 = 0). It yields a measurement rate which appreciably exceeds the reciprocal-system bound for a wide range of Δ 6 NATURE COMMUNICATIONS | (2018) 9:4320 | DOI: 10.1038/s41467-018-06477-7 | www.nature.com/naturecommunications NATURE COMMUNICATIONS | DOI: 10.1038/s41467-018-06477-7 We note again that the transmitted field in standard setups where a nearby readout object (e.g., prism or fiber) is coupled to an optical resonator20,42,44,45 is completely equivalent to the reflected field in our geometry. While the simple nonreciprocal sensing setup in Eq. (35) is capable of reaching the fundamental bound in Eq. (34), whether or not this occurs depends on exactly how the dissipative dynamics encoded in ~Hdir is realized through couplings to external baths. Here, it is possible to achieve the needed non- Hermitian Hamiltonian using only passive dissipation (i.e., no coupling to gain baths, Y = 0 in Eq. (4)). The simplest realization would involve coupling both modes to an effective chiral waveguide, as depicted in Fig. 5; the (positive) coupling rate between mode j and the waveguide is denoted γj. Focusing on the case of two modes with identical frequencies (i.e., ν2 = 0), and using standard cascaded quantum systems theory23 to describe this setup, we realize the non-Hermitian Hamiltonian in Eq. (35) with J ¼ i ffiffiffiffiffiffiffiffiffi γ1γ2 p . Further, as there are no couplings to gain baths, the homodyne current noise is always given by its minimal shot noise value. This setup then realizes the optimal value for the measurement rate for a nonreciprocal setup as given in Eq. (34). Setting γ1 = κ, we have: As we now show, nonreciprocity has two distinct benefits to frequency-splitting detection. First, a perturbation to a non- reciprocal system can induce new resonances in P½Δ even if there is no degeneracy in the unperturbed system. This allows the frequency-splitting technique to be implemented in a wider range of systems. Second, nonreciprocity can dramatically increase the parametric, ϵ-dependent splitting of resonances: one can obtain the same ffiffiffiϵ p type splitting as a system tuned to an EP, without actually needing to be at an EP. Again, this greatly reduces the fine tuning needed to achieve such strong parametric mode splittings (and also demonstrates that EP is not a necessary ingredient for such behavior). Consider the first point above: with nonreciprocity, the mode- splitting technique can be used even if the unperturbed system has non-degenerate eigenvalues. The reason is simple: because of nonreciprocity, a given eigenmode of the system may fail to be excited by the incident measurement drive when ϵ ¼ 0, irrespective of Δ. NATURE COMMUNICATIONS | DOI: 10.1038/s41467-018-06477-7 NATURE COMMUNICATIONS | DOI: 10.1038/s41467-018-06477-7 D1 out D1 in B out B in 1 1 2 2 Fig. 5 Implementation of a simple nonreciprocal two-mode sensor. Both modes are coupled to a single effective chiral waveguide; no coupling to gain baths is required. This system is capable of arbitrarily exceeding the fundamental bound on the measurement rate of any reciprocal two-mode sensor. The required chiral waveguide could be realized using circulators, dynamic modulation28, or by using driven parametric interactions and external dissipation29. Symbols follow that in Fig. 1 and γi  Zi1 j j2 conventional approaches based on the use of circulators, to realizations of chiral waveguides using topological photonic systems30, to methods that mimic chiral propagation by using dynamic modulation and engineered dissipation28,29,31,32. We stress that such engineered nonreciprocal interactions have been experimentally realized in photonic setups33–35, classical micro- wave circuits36,37, optomechanical systems38,39, and supercon- ducting circuits40,41. While the motivation for these experiments was largely to build circulators and isolators, our work shows that such systems could also be exploited for enhanced sensing. B out Nonreciprocal sensors and the mode-splitting technique. Up to this point, our work has focused exclusively on sensing para- metric changes in ϵ that are small enough to allow the use of a perturbative, linear response approach; this typically requires ϵ to be smaller than relevant mode linewidths. Nonreciprocity enhanced sensing is however also highly effective for larger, non- perturbative changes in ϵ. We consider the same general setting as recent works on EP sensing10,13,19,20 that aim to detect a relatively Fig. 5 Implementation of a simple nonreciprocal two-mode sensor. Both modes are coupled to a single effective chiral waveguide; no coupling to gain baths is required. This system is capable of arbitrarily exceeding the fundamental bound on the measurement rate of any reciprocal two-mode sensor. The required chiral waveguide could be realized using circulators, dynamic modulation28, or by using driven parametric interactions and external dissipation29. Symbols follow that in Fig. 1 and γi  Zi1 j j2 large change in ϵ by directly measuring the frequency splitting of two normal modes42–44. This involves first measuring the output field intensity as a function of drive frequency, and then fitting this curve to extract a mode splitting. non-Hermitian systems. One clearly sees the violation of the reciprocal-system bound on the measurement rate. NATURE COMMUNICATIONS | DOI: 10.1038/s41467-018-06477-7 For a drive that is resonant with mode 1 (i.e., Δ = 0), the remaining elements are χ11 ¼ 2κ κ þ γ1 ; χ12 ¼ χ11 J ν2  iγ2=2 : ð36Þ ð36Þ Sdir ¼ 1 16 Sϵ χ12 2: ð33Þ ð33Þ As desired, one can make χ12 arbitrarily large by increasing J without requiring that χ11 also become large. As a result, one can reach the upper bound on the measurement rate given in Eq. (34) for γ1 ≥0. The performance of this nonreciprocal sensor is shown in Fig. 2, where its performance is compared against reciprocal The signal power could now in principle be increased indefinitely by increasing χ12 while keeping the intracavity photon number and reflection gain fixed. We illustrate the intuition behind this effect in Fig. 4. NATURE COMMUNICATIONS | (2018) 9:4320 | DOI: 10.1038/s41467-018-06477-7 | www.nature.com/naturecommunications 7 ARTICLE NATURE COMMUNICATIONS | (2018) 9:4320 | DOI: 10.1038/s41467-018-06477-7 | www.nature.com/naturecommunications NATURE COMMUNICATIONS | DOI: 10.1038/s41467-018-06477-7 For a sufficiently strong classical drive the contribution of amplified vacuum fluctuations can be ignored, and the intensity of the waveguide output field ^Bout (c.f., Eq. (9)) is Note that at an EP, the Jordan normal form of a 2 × 2 matrix has the nonreciprocal form of Eq. (35), but is also constrained to have identical diagonal entires; this was pointed out in ref. 13. Note that at an EP, the Jordan normal form of a 2 × 2 matrix has the nonreciprocal form of Eq. (35), but is also constrained to have identical diagonal entires; this was pointed out in ref. 13. We stress however that the benefits of our nonreciprocal setup have nothing to do with tuning our system to an EP or having eigenvalues coalesce. To see this explicitly, note that the unperturbed eigenvalues of ~Hdir½0 are P½Δ  ^Bout  y^Bout D E  ^Bout   ^Bout   ¼ β2 1  χ11 2: ð39Þ ð39Þ We stress however that the benefits of our nonreciprocal setup have nothing to do with tuning our system to an EP or having eigenvalues coalesce. To see this explicitly, note that the unperturbed eigenvalues of ~Hdir½0 are where Δ is as always the detuning of the drive frequency from the cavity 1 resonance frequency, and β the (real) amplitude of incident driving field. Ω½0 ¼ i κ þ γ1 2 ; Ωþ½0 ¼ ν2  i γ2 2 : ð37Þ ð37Þ As discussed before, the magnitude of χ is large when Δ is close to an eigenfrequency of ~H, hence P½Δ will generically exhibit a resonance feature (peak or dip) near these values. If a nonzero ϵ lifts the degeneracy of eigenvalues, it will thus manifest itself by the appearance of new resonances in the intensity spectrum. We note again that the transmitted field in standard setups where a nearby readout object (e.g., prism or fiber) is coupled to an optical resonator20,42,44,45 is completely equivalent to the reflected field in our geometry. The system has an EP only when the parameters are precisely tuned to ν2 = 0 and κ1 + γ1 = γ2. In contrast, the large enhancement of the measurement rate we obtain only requires Jj j  ffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffi ν2 2 þ γ2 2=4 p . This condition is clearly unrelated to the presence of an EP. NATURE COMMUNICATIONS | DOI: 10.1038/s41467-018-06477-7 If however a nonzero ϵ breaks the system’s nonreciprocity, these dark modes may become visible in the output intensity spectrum. Further, breaking nonreciprocity can lead to parametrically large mode splittings, much larger than would be possible without nonreciprocity. Γmeas ¼ 4κntot γ1 γ2 ð38Þ ð38Þ Comparing against Eq. (30), we see that this system beats the reciprocal-system measurement rate bound whenever γ2 < (1/4)γ1. Comparing against Eq. (30), we see that this system beats the reciprocal-system measurement rate bound whenever γ2 < (1/4)γ1. We note that there are a variety ways of implementing a coupling to an effective chiral waveguide. These range from Comparing against Eq. (30), we see that this system beats the reciprocal-system measurement rate bound whenever γ2 < (1/4)γ1. We note that there are a variety ways of implementing a coupling to an effective chiral waveguide. These range from p y γ γ We note that there are a variety ways of implementing a coupling to an effective chiral waveguide. These range from NATURE COMMUNICATIONS | (2018) 9:4320 | DOI: 10.1038/s41467-018-06477-7 | www.nature.com/naturecommunications 8 ARTICLE NATURE COMMUNICATIONS | DOI: 10.1038/s41467-018-06477-7 J = 0 J = 20 J = 50 = 0.3 = 0 0.2 0.4 0.6 0.8 1.0 Detuning Δ/ Output field intensity /2 –10 –5 0 5 10 0.0 0.2 0.4 0.6 0.8 1.0 a b Fig. 6 Drive-detuning dependence of the output field intensity. The dependence on of the output field intensity P½Δ (c.f., Eq. (39)) for a nonreciprocal system is described by Eq. (35). We have taken γ1 = 0.5κ, γ2 = κ, ν2 = 4κ. a Spectrum for ϵ ¼ 0, when the system is fully nonreciprocal. Even though the system has two nondegenerate eigenvalues Ω±[0], only one resonance is seen, as nonreciprocity makes the Ω+[0] dark to the incident drive. Note that this spectrum is independent of J. b Black dashed: Spectrum where the parameter to be sensed ϵ ¼ 0:3κ, but without nonreciprocity (J = 0). The spectrum only has a single dip, and almost identical to the ϵ ¼ 0 spectrum. Red and green: spectra with the same perturbation ϵ ¼ 0:3κ, but with nonreciprocal couplings J = 20κ and J = 50κ, respectively. Discussion W h Two resonances are clearly observed, and their separation increases with the strength of the nonreciprocal coupling J Finally, we note that the general theory developed in this work could be easily applied to more general kinds of sensing problems. For example, the same formalism could be used to understand the performance of non-Hermitian sensors when thermal noise dominates (as would be the case for systems deep in the classical limit). The formalism could also be extended to study the sensing of time-dependent perturbations. Note added: During the completion of this work, we became aware of work by Zhang et al.49 and Chen et al.50 on a related topic. To illustrate both the above points, we again consider the simple two-mode nonreciprocal sensor described by Eq. (35). As usual, the parameter to be sensed corresponds to a Hermitian coupling between the two modes (c.f., Eq. (26)). For ϵ ¼ 0, we have a purely nonreciprocal coupling between the modes: mode 2 can influence mode 1, but not vice-versa. One finds that the eigenvalues of ~Hdir½0, as given in Eq. (37), are in general nondegenerate in both real and imaginary parts. Note also that the eigenvalues are completely independent of the coupling J, reflecting the lack of any coherent oscillations between mode 1 and 2. NATURE COMMUNICATIONS | DOI: 10.1038/s41467-018-06477-7 Two resonances are clearly observed, and their separation increases with the strength of the nonreciprocal coupling J J = 0 J = 20 J = 50 = 0.3 = 0 0.2 0.4 0.6 0.8 1.0 Detuning Δ/ Output field intensity /2 –10 –5 0 5 10 0.0 0.2 0.4 0.6 0.8 1.0 a b obtained here can be much larger than mode linewidths, and directly manifests itself in the output intensity spectrum P½Δ. An example is shown in Fig. 6. Discussion W h We have provided a comprehensive analysis of weak dispersive- style measurements made using coupled-mode systems described by effective non-Hermitian Hamiltonians. Our work goes beyond previous analyses of non-Hermitian sensing techniques, in that we fully treat fluctuation effects, and fully treat the entire mea- surement process. We derive fundamental bounds on any reci- procal two-mode non-Hermitian sensor, and show that they also constrain systems that are tuned to an exceptional point. Generically, we find that amplification is the necessary ingredient for generating large signal powers, and this can be achieved without any proximity to an exceptional point. However, amplification process must incorporate extra noise that will fundamentally limit the quantum measurement rate of any reci- procal sensor. Our results highlight the fact that the efficacy of a non-Hermitian sensing scheme is not completely described by the parametric dependence of mode eigenvalues. Considering fluctuation effects, the particular dissipative implementation of the dynamics is crucial as this will set noise levels. We also discussed a new method for enhancing dispersive measurement using effective non-Hermitian physics, namely the use of nonreciprocity to enhance sensing. We show that non- reciprocity allows one to arbitrarily exceed the fundamental bound on the measurement rate of a reciprocal sensor, and dis- cussed a simple implementation that does not require any amplification processes. We also show that nonreciprocity can enhance the sensitivity of mode-splitting type sensor. Detuning Δ/ Fig. 6 Drive-detuning dependence of the output field intensity. The dependence on of the output field intensity P½Δ (c.f., Eq. (39)) for a nonreciprocal system is described by Eq. (35). We have taken γ1 = 0.5κ, γ2 = κ, ν2 = 4κ. a Spectrum for ϵ ¼ 0, when the system is fully nonreciprocal. Even though the system has two nondegenerate eigenvalues Ω±[0], only one resonance is seen, as nonreciprocity makes the Ω+[0] dark to the incident drive. Note that this spectrum is independent of J. b Black dashed: Spectrum where the parameter to be sensed ϵ ¼ 0:3κ, but without nonreciprocity (J = 0). The spectrum only has a single dip, and almost identical to the ϵ ¼ 0 spectrum. Red and green: spectra with the same perturbation ϵ ¼ 0:3κ, but with nonreciprocal couplings J = 20κ and J = 50κ, respectively. NATURE COMMUNICATIONS | (2018) 9:4320 | DOI: 10.1038/s41467-018-06477-7 | www.nature.com/naturecommunications ARTICLE We first consider a generalized coherent driving field on mode 1 that consists of NB distinct frequencies: Minimum noise. For a given ~H, the measurement noise depends on the choice of gain and loss baths. We can optimize the choice to obtain a minimum measure- ment noise. We first recognize in Eq. (23) that χYYyχy   11 0, because YY† is positive semidefinite. By using Eq. (4), we can obtain another relation βðtÞ ¼ X NB j¼1 βjeiΔjt: ð51Þ ð51Þ χYYyχy   11 ¼ 1 2i χ ~Hχy   11 χ ~Hyχy   11   þ κ 2 χ11 2þ χZZyχy   11 ð45Þ ð45Þ In the long-time limit, the output field state becomes a dynamic steady state that consists of components in each tone Δj. Each component can be viewed as the state of a temporal mode: In the long-time limit, the output field state becomes a dynamic steady state that consists of components in each tone Δj. Each component can be viewed as the state of a temporal mode:  κ 2 χ 11 þ χ11   þ κ 2 χ11 2; ð46Þ ^ Bj  1ffiffiffiτ p Z τ 0 ^BoutðtÞeiΔjtdt: ð52Þ ^ Bj  1ffiffiffiτ p Z τ 0 ^BoutðtÞeiΔjtdt: ð52Þ ð46Þ ð52Þ where we employ the fact that ZZ† is positive semidefinite in the last relation. After rearrangement, we get the minimum noise in Eq. (46). where we employ the fact that ZZ† is positive semidefinite in the last relation. After rearrangement, we get the minimum noise in Eq. (46). It is easy to check that temporal modes are independent bosonic modes at τ →∞, i.e., ^ Bj; ^ Bl h i ¼ 0 and ^ Bj; ^ By l h i ¼ δjl. Single-tone quantum Fisher information. We want to characterize the maximum amount of information available on ϵ in the reflected output mode in our wave- guide. As we are interested in the limit of long integration times τ, the relevant temporal mode of the output field is described by an annihilation operator h i h i Because the system is linear, the multimode output state is Gaussian. We again assume each drive is sufficiently strong that QFI is dominated by the first term in Eq. (48). ARTICLE NATURE COMMUNICATIONS | DOI: 10.1038/s41467-018-06477-7 of β. For sufficiently strong drive, the QFI will be dominated by the first, drive- dependent term in Eq. (48), and the contribution from Ξ can be neglected. ωb,k = ωc,j,k = ωd,j,k = k, and homogeneous mode-bath coupling, i.e., gðkÞ ¼ ffiffiffiκ p , Yij(k) = Yij, and Zij(k) = Zij. One can now confirm that the SNR for an optimal homodyne measurement (as given in in Eq. (16)) coincides with the quantum Fisher information, i.e., SNR ¼ ϵ2F QFI. This implies that homodyne detection is the optimal measurement for dispersive sensing because it extracts the maximum information about ϵ from B mode. j j j j With the full Hamiltonian in Eq. (41), the Heisenberg equations of motion (HEOM) of any operator ^A can be computed as _^A ¼ i ^H; ^A . By integrating the HEOM of bath mode operators, and substituting them into the HEOM of cavity mode operators, the Langevin equation in Eq. (5) can be arrived at. In our convention, the input field operators are defined as ^BinðtÞ ¼ Z dkffiffiffiffiffi 2π p ^bk t0 ð Þeikðtt0Þ ð42Þ ^Cin j ðtÞ ¼ Z dkffiffiffiffiffi 2π p ^cj;k t0 ð Þeikðtt0Þ ð43Þ ^Din j ðtÞ ¼ Z dkffiffiffiffiffi 2π p ^dj;k t0 ð Þeikðtt0Þ; ð44Þ ð42Þ Multiple-tone quantum Fisher information. In the main text and previous sec- tions, we considered the case where the system is driven at a single frequency. One might naturally ask if the measurement rate can be increased by driving and measuring the system using multiple drive tones, each at a different frequency. For sufficiently many frequencies, this method is equivalent to probing the full spectral response of the system. ð43Þ ð43Þ As mentioned in the main text, this multitone approach is no better that simply probing the system with a single tone with an optimally chosen driving frequency. We make this statement rigorous here. We here show that if the total intracavity photon number is restricted, then probing the entire spectral response (via multitone driving) does not provide more information (as quantified by the quantum Fisher information) than an optimal single-tone measurement. ð44Þ where t0 →−∞. Interested readers can refer to refs.5,23. for detailed derivations. where t0 →−∞. Interested readers can refer to refs.5,23. for detailed derivations. where t0 →−∞. Interested readers can refer to refs.5,23. for detailed derivations. ARTICLE (48) can be viewed as the information associated with the ϵ-induced change in the first (second) moment of the temporal mode B. The multitone Fisher information can be evaluated as The multitone Fisher information can be evaluated as After solving the Langevin equation in Eq. (5), the first and second moment for our linear sensor can be evaluated in the long-τ limit of interest: F mt ¼ X NB j¼1 τ κ2 nj~Γ Δj   ð57Þ ð57Þ ~uϵ ¼ ffiffiffiffiffi 2τ p β 1  Re ~χ11½0; Δ; ϵ; Im ~χ11½0; Δ; ϵ   ð49Þ ~uϵ ¼ ffiffiffiffiffi 2τ p β 1  Re ~χ11½0; Δ; ϵ; Im ~χ11½0; Δ; ϵ   ð49Þ where ~Γ Δj   is the measurement rate per coherent photon for a single-tone measurement at detuning Δj: where ~Γ Δj   is the measurement rate per coherent photon for a single-tone measurement at detuning Δj: W0 ¼ SII½0 κ 1 0 0 1 ð50Þ ð50Þ ~Γ Δj    2κ2 ~SII Δj h i χ Δj   Vχ Δj     11 2 χy Δj   χ Δj     11 : ð58Þ Due to the linearity of Eqs. (5) and (9), the classical drive affects only the first but not the second moment of the output field. This can be seen from the fact that the first moment in Eq. (49) scales as β, while the second moment in Eq. (50) is independent ~Γ Δj    2κ2 ~SII Δj h i χ Δj   Vχ Δj     11 2 χy Δj   χ Δj     11 : ð58Þ ue to the linearity of Eqs. (5) and (9), the classical drive affects only the first but not e second moment of the output field. This can be seen from the fact that the first oment in Eq. (49) scales as β, while the second moment in Eq. (50) is independent ~Γ Δj    2κ2 ~SII Δj h i χ Δj   Vχ Δj     11 2 χy Δj   χ Δj     11 : ð58Þ Due to the linearity of Eqs. (5) and (9), the classical drive affects only the first but not the second moment of the output field. ARTICLE The multimode first moment is ~uϵ ¼ ^q1;1 D E ϵ; ^q2;1 D E ϵ; ^q1;2 D E ϵ; ^q2;2 D E ϵ; ¼   , where the quadrature operators of each mode are ^q1;j  ^ Bj þ ^ By j   = ffiffiffi 2 p and ^ BðτÞ  1ffiffiffiτ p Z τ 0 ^BoutðtÞdt: ð47Þ ð47Þ ^q2;j  i  ^ Bj þ ^ By j   = ffiffiffi 2 p . The first moment of each mode can be evaluated by ^ Bj D E ϵ¼ ffiffiffiτ p βj 1  ~χ11½0; Δj; ϵ   : ð53Þ ð53Þ This is a standard bosonic annihilation operator satisfying ^ BðτÞ; ^ ByðτÞ h i ¼ 1. This is a standard bosonic annihilation operator satisfying ^ BðτÞ; ^ ByðτÞ h i ¼ 1. h i Changing the parameter ϵ will change both our non-Hermitian Hamiltonian ~H as well as the state of the temporal mode ^ B. To sense this change, one would measure some property of ^ B, described by an observable ^ M. The possible outcomes z of the measurement would be described by a probability distribution Pϵ½z, which depends parametrically on ϵ. Our goal is to maximize the the statistical distance between Pϵ½z and P0[z]. For small ϵ, standard definitions and arguments yield that this distance ds2 is given by ϵ2F, where F is the Fisher information46. Optimizing F over all possible choices of measurement observables ^ M yields the quantum Fisher information (QFI), F QFI24,47. h i Changing the parameter ϵ will change both our non-Hermitian Hamiltonian ~H as well as the state of the temporal mode ^ B. To sense this change, one would measure some property of ^ B, described by an observable ^ M. The possible h i Changing the parameter ϵ will change both our non-Hermitian Hamiltonian ~H ll h f h l d ^ B h h ld In the long-time limit, we find that the second moment is block diagonal, i.e., W0 ¼ NB j¼1WðjÞ 0 , and each block corresponds to the second moment of each temporal mode: outcomes z of the measurement would be described by a probability distribution Pϵ½z, which depends parametrically on ϵ. Our goal is to maximize the the statistical distance between Pϵ½z and P0[z]. ARTICLE For small ϵ, standard definitions and arguments yield that this distance ds2 is given by ϵ2F, where F is the Fisher information46. Optimizing F over all possible choices of measurement observables ^ M yields the quantum Fisher information (QFI), F QFI24,47. WðjÞ 0 ¼ ~SII Δj h i κ 1 0 0 1 ð54Þ ð54Þ where Q In our case, because of the linear nature of our system and the Gaussian nature of the relevant noise, ^ B is always in a Gaussian state, and F QFI can be computed exactly25. For infinitesimal ϵ, one finds: ~SII Δj h i ¼ κ 2 1 þ 4 κ χ Δj   YYyχy Δj     11 ; ð55Þ ð55Þ F QFI ¼ d~uϵ dϵ W1 ϵ d~uT ϵ dϵ ϵ!0 þΞ; ð48Þ ð48Þ and χ Δj    ~χ 0; Δj; 0 h i . Note that ~SII½Δ  SII½0 in Eq. (23) because all dynamics   h i in the main text is evaluated at the rotating frame of the single drive frequency.   h i in the main text is evaluated at the rotating frame of the single drive frequency. To fairly compare this multitone approach with other schemes we again where ~uϵ  ^q1 h iϵ; ^q2 h iϵ   and Wϵ ð Þjl 1 2 δ^qj; δ^ql n o D E ϵ are, respectively the first and second moments of the Gaussian state; ^q1  ^ B þ ^ By   = ffiffiffi 2 p and ^q2  i  ^ B þ ^ By   = ffiffiffi 2 p are the B mode quadratures; δ^qj  ^qj  ^qj D E ϵ 48. Ξ is a scalar that depends on only the ϵ-dependence of the second moment. The first (second) term in Eq. (48) can be viewed as the information associated with the ϵ-induced change in the first (second) moment of the temporal mode B. Methods F ll H il Full Hamiltonian for effective non-Hermitian system. Our measurement setup consists of a readout waveguide that interacts with only one cavity mode. This coupled cavity mode can interact with other modes as well as arbitrary gain and loss baths. The interaction between cavities is limited to be photon number conserving, i.e., only hopping. The total Hamiltonian of the system + bath is ^H ¼ P M i;j¼1 Hij^ay i ^aj þ R dk ωb;k^b y k^bk   þ P NY j¼1 R dk ωc;j;k^cy j;k^cj;k   þ P NZ j¼1 R dk ωd;j;k^dy j;k^dj;k   þR dkffiffiπ p gðkÞ ^a1^by k þ ^ay 1^bk   þ P M i¼1 P NY l¼j R dkffiffiπ p Y ijðkÞ^ai^cj;k þ YijðkÞ^ay i^cy j;k   þ P M i¼1 P NZ j¼1 R dkffiffiπ p Z ijðkÞ^ai^dy j;k þ ZijðkÞ^ay i ^dj;k   : ð41Þ When perturbation ϵ is nonzero, reciprocity is lost, as mode 1 can now influence mode 2. The eigenvalues of ~Hdir½ϵ are Ω ± ½ϵ ¼ ν2 2  i κþγ1þγ2 4 ± ffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffi J ϵ 2 þ ϵ2 4 þ ν2 2 þ i κþγ1γ2 4  2 q : ð40Þ ð41Þ ð40Þ For ϵ>0 and sufficiently large positive J, the frequency splitting demonstrates a square root dependence on ϵ, i.e., Ωþ½ϵ  Ω½ϵ  ffiffiffiffiffiffiffi 2Jϵ p . We see that the nonreciprocal coupling J amplifies the effect of ϵ, even though it has no impact on the unperturbed eigenvalues. The ffiffiffiϵ p splitting dependence resembles that of EP sensing schemes; here, however, the unperturbed modes are not required to be tuned to a degeneracy, and the unperturbed system is not at an EP. The enhanced splitting ^bk, ^cj;k, and ^dj;k are the annihilation operator of the mode with wave number k in the readout waveguide, gain bath, and loss bath, respectively. Mode operators of different bath commute, and that of the same bath follows ^Ok; ^Oy k′ h i ¼ δ k  k′ ð Þ, where O ∈{bk, cj,k, dj,k}. We have chosen a unit that ħ = 1, and k has a unit of frequency. For simplicity, we assume all baths have linear dispersion relation, i.e., NATURE COMMUNICATIONS | (2018) 9:4320 | DOI: 10.1038/s41467-018-06477-7 | www.nature.com/naturecommunications 9 ARTICLE ARTICLE where ~uϵ  ^q1 h iϵ; ^q2 h iϵ   and Wϵ ð Þjl 1 2 δ^qj; δ^ql n o D E ϵ are, respectively the first and second moments of the Gaussian state; ^q1  ^ B þ ^ By   = ffiffiffi 2 p and ^q2  i  ^ B þ ^ By   = ffiffiffi 2 p are the B mode quadratures; δ^qj  ^qj  ^qj D E ϵ 48. Ξ is a scalar that depends on only the ϵ-dependence of the second moment. The first (second) term in Eq. (48) can be viewed as the information associated with the ϵ-induced change in the first (second) moment of the temporal mode B. To fairly compare this multitone approach with other schemes, we again constrain the problem to have a fixed total photon number. Here the time-averaged total photon number is where uϵ  q1 h iϵ; q2 h iϵ   and Wϵ ð Þjl 1 2 δqj; δql n o D E ϵ are, respectively the fir and second moments of the Gaussian state; ^q1  ^ B þ ^ By   = ffiffiffi 2 p and ^q2  n o D E ϵ and second moments of the Gaussian state; ^q1  ^ B þ ^ By   = ffiffiffi 2 p and ^q2  and second moments of the Gaussian state; ^q1  ^ B þ ^ By   = ffiffiffi 2 p and ^q2  ntot ¼ X NB j¼1 nj  X NB j¼1 β2 j κ χy Δj   χ Δj     11: ð56Þ i  ^ B þ ^ By   = ffiffiffi 2 p are the B mode quadratures; δ^qj  ^qj  ^qj D E 48. Ξ is a scalar that i  ^ B þ ^ By   = ffiffiffi 2 p are the B mode quadratures; δ^qj  ^qj  ^qj D E ϵ 48. Ξ is a scalar that depends on only the ϵ-dependence of the second moment. The first (second) term in Eq. (48) can be viewed as the information associated with the ϵ-induced change in the first (second) moment of the temporal mode B. ð56Þ   D E ϵ depends on only the ϵ-dependence of the second moment. The first (second) term in Eq. Bound on the measurement rate of a reciprocal two-mode system. We focus here on a two-mode system where the parameter to be sensed corresponds to the Hermitian coupling between the modes (as given in Eq. (26) in the main text). For any such two-mode system, the maximum measurement rate obtainable by using an optimized bath is Bound on the measurement rate of a reciprocal two-mode system. We focus here on a two-mode system where the parameter to be sensed corresponds to the Hermitian coupling between the modes (as given in Eq. (26) in the main text). For any such two-mode system, the maximum measurement rate obtainable by using an optimized bath is y Consider next the behavior of the measurement rate Γmeas associated with detecting a mode-1 frequency shift; as discussed, Γmeas considers both the signal power and the impact of intrinsic noise in the homodyne current. For a general M mode sensor, we find that Γmeas is upper-bounded by Γmeas  4κntotf χ11    16κntot; ð67Þ ð67Þ Γmeas  Γopt ¼ κntot χ12 þ χ21 2 χ11 2þ χ21 2 f χ11   ð62Þ ð62Þ where f(χ11) is defined in Eq. (63). As shown in Fig. 7, the measurement rate is maximum when χ11 = 2. This optimal value is achieved by the simple one mode sensor in Eq. (66) in the case where the dissipation of mode 1 is solely due to the waveguide coupling, i.e., γ1 = 0. It is interesting to note that this bound is identical to the bound on a reciprocal two-mode sensor, c.f., Eq. (30). In contrast, a nonreciprocal two-mode sensor could have Γmeas arbitrarily larger than this bound, c.f., Eq. (34). where f(χ11) is defined in Eq. (63). As shown in Fig. 7, the measurement rate is maximum when χ11 = 2. This optimal value is achieved by the simple one mode sensor in Eq. (66) in the case where the dissipation of mode 1 is solely due to the waveguide coupling, i.e., γ1 = 0. It is interesting to note that this bound is identical where f(χ11) is a positive-valued function of a complex χ11: where f(χ11) is a positive-valued function of a complex χ11: f χ11    χ11 2 1 þ 2Θ 1  χ11 21 h i 1  χ11 21   : ð63 g p g γ g to the bound on a reciprocal two-mode sensor, c.f., Eq. (30). In contrast, a nonreciprocal two-mode sensor could have Γmeas arbitrarily larger than this bound, c.f., Eq. (34). ð63Þ Because a simple one-mode system achieves the optimal value of Γmeas for sensing a parametric change in the frequency of mode 1, using a multimode system is unnecessary for this problem. ARTICLE This can be seen from the fact that the first moment in Eq. (49) scales as β, while the second moment in Eq. (50) is independent ð58Þ NATURE COMMUNICATIONS | (2018) 9:4320 | DOI: 10.1038/s41467-018-06477-7 | www.nature.com/naturecommunications 10 ARTICLE Bounds on sensing a change in the frequency of mode 1. Consider a general M mode setup where the parameter of interest is a simple shift in the resonance frequency of mode 1, i.e., Vij = δi1δj1. In this case, one finds from Eq. (21) that the signal power S is given by Bounds on sensing a change in the frequency of mode 1. Consider a general M mode setup where the parameter of interest is a simple shift in the resonance frequency of mode 1, i.e., Vij = δi1δj1. In this case, one finds from Eq. (21) that the signal power S is given by ð60Þ We note that there might not be a single set of bath that could optimize all ~SII½Δj to saturate the bound in Eq. (59). In general the bath can only be optimized with respect to a specific detuning Δj. We note that there might not be a single set of bath that could optimize all ~SII½Δj to saturate the bound in Eq. (59). In general the bath can only be optimized with respect to a specific detuning Δj. S ¼ 1 4 χ11 4 χyχ ð Þ11 Sϵ  1 4 χ11 2Sϵ; ð65Þ ð65Þ j We can then see that the multitone QFI is upper-bounded by the maximum single-tone QFI at the optimal detuning: where Sϵ is defined in Eq. (28). The last relation becomes an equality in the special case where χj1 = 0 for j ≠1. In this case, the coherent drive only induces a coherent photon population in mode 1 (and not in modes 2 through M). F mt  P NB j¼1 τ κ2 nj~Γopt Δj    P NB j¼1 τ κ2 nj max Δj ~Γopt   ¼ τ κ2 ntot max Δj ~Γopt   ¼ max Δj F QFI   : ð61Þ p p p g If we further specialize to a system with just one mode (M = 1), the Hamiltonian and susceptibility are simple scalars, ð61Þ ~Hone½0 ¼ i κ þ γ1 2 ; χ11 ¼ iκ Δ þ i κ þ γ1   =2 : ð66Þ ð66Þ If we further assume a resonant drive (Δ = 0) and no extra gain or loss (γ1 = 0), we have the usual setup for an ideal dispersive measurement (see, e.g., Ref.5). One has χ11 = 2, implying that the signal power is just S ¼ Sϵ. Recall again that the QFI is the maximum information obtainable from any detection scheme. Bound on the measurement rate of a reciprocal two-mode system. We focus here on a two-mode system where the parameter to be sensed corresponds to the Hermitian coupling between the modes (as given in Eq. (26) in the main text). For any such two-mode system, the maximum measurement rate obtainable by using an optimized bath is This is true even if one uses a multimode system tuned to an EP where eigenvalues exhibit a ffiffiffiϵ p scaling. As a concrete example, consider the reciprocal two-mode system given in Eq. (31). When J = (κ + γ1 − γ2)/4, the system exhibits EP. The unscaled Jordan normal form can be obtained in an appropriate basis: 0 1 2 3 4 5 0 1 2 3 4 (11) |11| Fig. 7 Allowable values of function f(χ11). The shaded blue region indicates the allowable values of f(χ11) (c.f., Eq. (63)) as a function χ11 . f(χ11) sets the maximum possible measurement rate both for sensing a parametric change in mode coupling (c.f., Eq. (62)) and for sensing a parametric change in the resonance frequency of mode 1 (c.f., Eq. (67)). The dashed horizonal line shows the maximum possible value of f(χ11), which is achieved only when χ11 = 2. Note that for larger χ11 5, f(χ11) < 1 NATURE COMMUNICATIONS | (2018)9 4320 | DOI 10 1038/ 41467 018 06477 7 | 0 1 2 3 4 5 0 1 2 3 4 (11) |11| 1 2 1 i i 1 ~Hrecip½0 1 i i 1 ¼ Ω½0 2J 0 Ω½0 ; ð68Þ ð68Þ ð68Þ where the unperturbed degenerate eigenvalue is Ω[0] ≡−i(κ + γ1 + γ2)/4. In this basis, the perturbation matrix has non-vanishing off-diagonal entry, i.e., 1 2 1 i i 1 V 1 i i 1 ¼ 1=2 i=2 i=2 1=2 ; ð69Þ ð69Þ and so the eigenvalue of ~H½ϵ has ffiffiffiϵ p dependence at small ϵ, i.e., Ω½ϵ  Ω½0 ± ffiffiffiffiffiffiffiffiffi iϵJ p : ð70Þ Bounds on sensing a change in the frequency of mode 1. Consider a general M mode setup where the parameter of interest is a simple shift in the resonance frequency of mode 1, i.e., Vij = δi1δj1. In this case, one finds from Eq. (21) that the signal power S is given by Our result thus shows that probing the entire spectral response of the system (via multitone driving) does not provide more information about the parameter ϵ than simply driving with a single (optimally chosen) tone and performing a homodyne measurement. Recall again that the QFI is the maximum information obtainable from any detection scheme. Our result thus shows that probing the entire spectral response of the system (via multitone driving) does not provide more information about the parameter ϵ than simply driving with a single (optimally chosen) tone and performing a homodyne measurement. χ If one now allows for gain (i.e., γ1 < 0), the signal power can be enhanced arbitrarily above Sϵ without increasing the intracavity photon number ntot: one simply increases χ11 above 2. We stress that this enhancement does not require EP, but simply the introduction of gain, and also applies to the case of a multimode system M > 1. NATURE COMMUNICATIONS | DOI: 10.1038/s41467-018-06477-7 By using Eq. (46), it is easy to show that each SII[Δj] is lower bounded by Due to reciprocity, i.e., χ12 ¼ χ21 , the sum of antidiagonal susceptibility entries is bounded by χ12 þ χ21 2 4 χ21 2. This condition bounds the optimal measurement rate as ~SII Δj h i ~SII Δj h i min  κ 2 1 þ 2Θ 1  χ11 Δj   2 1 ´ 1  χ11 Δj   2 1 Γopt  4κntotf χ11    16κntot: ð64Þ ð64Þ ð59Þ The first inequality is exploited when χ21 2 χ11 2. The second inequality is imposed by the maximum value of f(χ11). As illustrated in Fig. 7, the maximum is max{f(χ11)} = 4, which is attainable when χ11 = 2. These inequalities complete the reciprocal-system bound in Eq. (30). and so the maximum per-photon measurement rate is and so the maximum per-photon measurement rate is ~Γ Δj    ~Γopt Δj    2κ2 ~SII Δj h i min χ Δj   Vχ Δj     11 2 χy Δj   χ Δj     11 : ð60Þ ARTICLE Because h −X+1 is Hermitian, it can always be diagonalized by a unitary matrix U: construction of baths that attains the minimum measurement noise. We first recall that the coupling to gain and loss bath is specified by the positive semidefinite M × M matrices YY† and ZZ†. For a given ~H, those matrices are not unique because Eq. (4) is unchanged if we change the baths as YYy ! YYy þ K and ZZy ! ZZy þ K, for any positive semidefinite K. Our aim is to find a YY† such that the gain noise term is U h  Xþ1   Uy   ij¼ Λiδij; ð86Þ ð86Þ where the eigenvalues Λi are real. Due to the vanishing first row and first column in h−X+1, we can require U1i = Ui1 = δi1 and Λ1 = 0. where the eigenvalues Λi are real. Due to the vanishing first row and first column in h−X+1, we can require U1i = Ui1 = δi1 and Λ1 = 0. + q Next we decompose h −X+1 = X+2 −X−2 as the difference of two positive semidefinite Hermitian matrices X+2 and X−2, which are constructed as χYYyχy   11 ¼ max χ ~H  ~Hy þ i~κ 2i χy 11 ; 0   : ð71Þ ð71Þ UX ± 2Uy   ij Λi j j ± Λi 2 δij: ð87Þ ð87Þ For convenience, we define the Hermitian matrix Combining the matrices and Eq. (72), we have Combining the matrices and Eq. (72), we have h  χ ~H  ~Hy þ i~κ 2i χy: ð72Þ ð72Þ χ ~H  ~Hy þ i~κ 2i χy ¼ Xþ1 þ Xþ2   þ X2 ð Þ; ð88Þ ð88Þ Then Eq. (71) becomes a conditional equation of h11 only. In the following, we separately consider the cases of h11 < 0 and h11 > 0. Then Eq. (71) becomes a conditional equation of h11 only. In the following, we separately consider the cases of h11 < 0 and h11 > 0. where the first (second) term in R.H.S. is positive (negative) semidefinite and thus corresponds to gain (loss) bath. By using Eqs. ARTICLE (4) and (17), we can construct the gain and loss baths as p y For negative h11, our aim is to construct YY† such that χYYyχy   11 ¼ 0: ð73Þ χYYyχy   11 ¼ 0: ð73Þ χYYyχy   11 ¼ 0: ð73Þ YYy ¼ 1 κ2 ðΔI  ~H½0Þ Xþ1 þ Xþ2   ΔI  ~Hy½0   ; ð89Þ ð89Þ We first construct a positive semidefinite Hermitian matrix X−1: positive semidefinite Hermitian matrix X−1: X1 ð Þ1i ¼ X1 ð Þ i1¼ h1i ¼ h i1; ð74Þ X1 ð Þ1i ¼ X1 ð Þ i1¼ h1i ¼ h i1; ZZy ¼ 1 κ2 ðΔI  ~H½0ÞX2 ΔI  ~Hy½0   : ð90Þ ð90Þ X1 ð Þjj ¼  M h1j 2 h11 ; X1 ð Þjj ¼  M h1j 2 h11 ; ð75Þ X1 ð Þij ¼ 0 otherwise: ð76Þ It is easy to verify that Eq. (82) is satisfied. We note that if χ ~H ~Hyþi~κ 2i   χy   11¼ 0, we modify the matrix in Eq. (72) as h →h + ρδi1δj1. The baths can be constructed by the above procedure with a small ρ →0. ð75Þ ð76Þ It is easy to verify that Eq. (82) is satisfied. We note that if χ ~H ~Hyþi~κ 2i   χy   11¼ 0, we modify the matrix in Eq. (72) as h →h + ρδi1δj1. The baths can be constructed by the above procedure with a small ρ →0. It is easy to verify that Eq. (82) is satisfied. We note that if χ ~H ~Hyþi~κ 2i   χy   11¼ 0, we modify the matrix in Eq. (72) as h →h + ρδi1δj1. The baths can be constructed by the above procedure with a small ρ →0. Þ We note that if χ HHyþiκ 2i   χy   11¼ 0, we modify the matrix in Eq. (72) as h →h + ρδi1δj1. The baths can be constructed by the above procedure with a small ρ →0. ð76Þ and so the eigenvalue of ~H½ϵ has ffiffiffiϵ p dependence at small ϵ, i.e., Ω½ϵ  Ω½0 ± ffiffiffiffiffiffiffiffiffi iϵJ p : ð70Þ ð70Þ As usual, one might be tempted to conclude from this strong dependence of eigenvalues on ϵ that this system should out perform the simple one-mode system As usual, one might be tempted to conclude from this strong dependence of eigenvalues on ϵ that this system should out perform the simple one-mode system in Eq. (66). This is, however, not true: the two-mode EP system still has a measurement rate fundamentally bounded by Eq. (67). It is interesting to note that this bound is achieved by the two-mode EP system only when mode 2 has nonzero loss, i.e., γ2 > 0, and when the gain of mode 1 is tuned to γ1 ¼  ffiffiffiκ p  ffiffiffiffiffi γ2 p  2. As usual, one might be tempted to conclude from this strong dependence of eigenvalues on ϵ that this system should out perform the simple one-mode system in Eq. (66). This is, however, not true: the two-mode EP system still has a Fig. 7 Allowable values of function f(χ11). The shaded blue region indicates the allowable values of f(χ11) (c.f., Eq. (63)) as a function χ11 . f(χ11) sets the maximum possible measurement rate both for sensing a parametric change in mode coupling (c.f., Eq. (62)) and for sensing a parametric change in the resonance frequency of mode 1 (c.f., Eq. (67)). The dashed horizonal line shows the maximum possible value of f(χ11), which is achieved only when χ11 = 2. Note that for larger χ11 5, f(χ11) < 1 g y p p y in Eq. (66). This is, however, not true: the two-mode EP system still has a measurement rate fundamentally bounded by Eq. (67). It is interesting to note that this bound is achieved by the two-mode EP system only when mode 2 has nonzero loss, i.e., γ2 > 0, and when the gain of mode 1 is tuned to γ1 ¼  ffiffiffiκ p  ffiffiffiffiffi γ2 p  2. Systematic construction of minimum noise bath. In Eq. (46), we show the lower bound of measurement noise for a given ~H. Here, we outline a systematic 11 ARTICLE Received: 4 June 2018 Accepted: 6 September 2018 ð77Þ where the eigenvalues Λi are real. Due to the vanishing first row and first column in h + X−1, we can require U1i = Ui1 = δi1 and Λ1 = 0. where the eigenvalues Λi are real. Due to the vanishing first row and first column in h + X−1, we can require U1i = Ui1 = δi1 and Λ1 = 0. q Next we decompose h + X−1 = X+2 −X−2 as the difference of two positive semidefinite Hermitian matrices X+2 and X−2, which are constructed as Data availability It is easy to see that h + X−1 has vanishing entries in first row and first column, i.e., (h + X−1)1i = (h + X−1)i1 = 0. It is easy to see that h + X−1 has vanishing entries in first row and first column, i.e., (h + X−1)1i = (h + X−1)i1 = 0. y The numerical data generated in this work is available from the authors upon reasonable request. Because h + X−1 is Hermitian, it can always be diagonalized by a unitary matrix U: U: U h þ X1 ð ÞUy   ij ¼ Λiδij; ð77Þ Received: 4 June 2018 Accepted: 6 September 2018 References 1. Vollmer, F. et al. Protein detection by optical shift of a resonant microcavity. Appl. Phys. Lett. 80, 4057 (2002). UX ± 2Uy   ij Λi j j ± Λi 2 δij: ð78Þ ð78Þ pp y 2. Vollmer, F., Arnold, S. & Keng, D. 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This work was supported by a grant from the Simons Foundation (Award number 505450, A.C.), and by the AFOSR MURI FA9550-15-1-0029. 27. Deák, L. & Fülöp, T. Reciprocity in quantum, electromagnetic and other wave scattering. Ann. Phys. 327, 1050–1077 (2012). 28. Sounas, D. L. & Alù, A. Nonreciprocal photonics based on time modulation. Nat. Photonics 11, 774–783 (2017). Author contributions 29. Metelmann, A. & Clerk, A. A. Nonreciprocal photon transmission and amplification via reservoir engineering. Phys. Rev. X 5, 021025 (2015). H.-K. L. and A. A. C. contributed equally in the development of idea, derivation of results, and writing of manuscript. 30. Ozawa, T., et al. Topological photonics. Preprint at https://arxiv.org/abs/ 1802.04173 (2018). Competing interests: The authors declare no competing interests. 33. Lira, H., Yu, Z., Fan, S. & Lipson, M. Electrically driven nonreciprocity induced by interband photonic transition on a silicon chip. Phys. Rev. Lett. 109, 033901 (2012). 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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/. 37. Estep, N. A., Sounas, D. L., Soric, J. & Alù, A. Magnetic-free nonreciprocity and isolation based on parametrically modulated coupled-resonator loops. Nat. Phys. 10, 923–927 (2014). 38. Fang, K. et al. Generalized nonreciprocity in an optomechanical circuit via synthetic magnetism and reservoir engineering. Nat. Phys. 13, 465–471 (2017). 39. Bernier, N. R. et al. Nonreciprocal reconfigurable microwave optomechanical circuit. Nat. Commun. 8, 604 (2017). 40. Abdo, B., Sliwa, K., Frunzio, L. & Devoret, M. Directional amplification with a Josephson circuit. Phys. Rev. X 3, 031001 (2013). 41. Sliwa, K. M. et al. Reconfigurable Josephson circulator/directional amplifier. Phys. Rev. X 5, 041020 (2015). 42. Weiss, D. S. et al. Splitting of high-Q Mie modes induced by light backscattering in silica microspheres. Opt. Lett. 20, 1835–1837 (1995). Additional information 31. Yu, Z. & Fan, S. Complete optical isolation created by indirect interband photonic transitions. Nat. Photonics 3, 91–94 (2009). Supplementary Information accompanies this paper at https://doi.org/10.1038/s41467- 018-06477-7. p 32. Ranzani, L. & Aumentado, J. Graph-based analysis of nonreciprocity in coupled-mode systems. New J. Phys. 17, 1–14 (2015). Competing interests: The authors declare no competing interests. Competing interests: The authors declare no competing interests. Competing interests: The authors declare no competing interests. © The Author(s) 2018 © The Author(s) 2018 13 NATURE COMMUNICATIONS | (2018) 9:4320 | DOI: 10.1038/s41467-018-06477-7 | www.nature.com/naturecommunications
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Assortative Mating on Ancestry-Variant Traits in Admixed Latin American Populations
Frontiers in genetics
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ORIGINAL RESEARCH published: 24 April 2019 doi: 10.3389/fgene.2019.00359 Assortative Mating on Ancestry-Variant Traits in Admixed Latin American Populations Emily T. Norris1,2,3, Lavanya Rishishwar1,2,3, Lu Wang1,3, Andrew B. Conley2, Aroon T. Chande1,2,3, Adam M. Dabrowski1, Augusto Valderrama-Aguirre3,4 and I. King Jordan1,2,3* Emily T. Norris1,2,3, Lavanya Rishishwar1,2,3, Lu Wang1,3, Andrew B. Conley2, Aroon T. Chande1,2,3, Adam M. Dabrowski1, Augusto Valderrama-Aguirre3,4 and I. King Jordan1,2,3* 1 School of Biological Sciences, Georgia Institute of Technology, Atlanta, GA, United States, 2 IHRC-Georgia Tech Applied Bioinformatics Laboratory, Atlanta, GA, United States, 3 PanAmerican Bioinformatics Institute, Cali, Colombia, 4 Biomedical Research Institute, Cali, Colombia Assortative mating is a universal feature of human societies, and individuals from ethnically diverse populations are known to mate assortatively based on similarities in genetic ancestry. However, little is currently known regarding the exact phenotypic cues, or their underlying genetic architecture, which inform ancestry-based assortative mating. We developed a novel approach, using genome-wide analysis of ancestry-specific haplotypes, to evaluate ancestry-based assortative mating on traits whose expression varies among the three continental population groups – African, European, and Native American – that admixed to form modern Latin American populations. Application of this method to genome sequences sampled from Colombia, Mexico, Peru, and Puerto Rico revealed widespread ancestry-based assortative mating. We discovered a number of anthropometric traits (body mass, height, and facial development) and neurological attributes (educational attainment and schizophrenia) that serve as phenotypic cues for ancestry-based assortative mating. Major histocompatibility complex (MHC) loci show population-specific patterns of both assortative and disassortative mating in Latin America. Ancestry-based assortative mating in the populations analyzed here appears to be driven primarily by African ancestry. This study serves as an example of how population genomic analyses can yield novel insights into human behavior. *Correspondence: Specialty section: This article was submitted to Behavioral and Psychiatric Genetics, a section of the journal Frontiers in Genetics Keywords: assortative mating, mate choice, genetic ancestry, admixture, population genomics, polygenic phenotypes Received: 25 September 2018 Accepted: 04 April 2019 Published: 24 April 2019 INTRODUCTION Mate choice is a fundamental dimension of human behavior with important implications for population genetic structure and evolution (Vandenburg, 1972; Buss, 1985; Robinson et al., 2017). It is widely known that humans choose to mate assortatively rather than randomly. That is to say that humans, for the most part, tend to choose mates that are more similar to themselves than can be expected by chance. Historically, assortative mating was based largely on geography, whereby partners were chosen from a limited set of physically proximal individuals (Cavalli- Sforza et al., 1994). Over millennia, assortative mating within groups of geographically confined individuals contributed to genetic divergence between groups, and the establishment of distinct Keywords: assortative mating, mate choice, genetic ancestry, admixture, population genomics, polygenic phenotypes Edited by: Edited by: Michelle Luciano, University of Edinburgh, United Kingdom Reviewed by: Yong-Kyu Kim, Howard Hughes Medical Institute (HHMI), United States Xiaoyin Li, Case Western Reserve University, United States Citation: Ancestry is a particularly important determinant of assortative mating in modern admixed populations (Sebro et al., 2010; Zaitlen et al., 2017). Studies have shown that individuals in admixed Latin American populations tend to mate with partners that have similar ancestry profiles. For example, partners from both Mexican and Puerto Rican populations have significantly higher ancestry similarities than expected by chance (Risch et al., 2009; Zou et al., 2015). In addition, a number of traits that have been independently linked to assortative mating show ancestry-specific differences in their expression (Hancock et al., 2011). Accordingly, ancestry-based mate choice has recently been related to a limited number of physical (facial development) and immune-related (MHC loci) traits (Zou et al., 2015). Nevertheless, modern admixed populations are still very much characterized by non-random assortative mating. Assortative mating in modern populations has been shown to rest on a variety of traits, including physical (stature and pigmentation) and neurological (cognition and personality) attributes. For example, numerous studies have demonstrated an influence of similarities in height and body mass on mate choice (Allison et al., 1996; Silventoinen et al., 2003; Robinson et al., 2017; Stulp et al., 2017). In addition, assortative mating has been observed for diverse neurological traits, such as educational attainment, introversion/extroversion and even neurotic tendencies (Merikangas, 1982; Mare, 1991; Hur, 2003; Salces et al., 2004; Domingue et al., 2014; Zou et al., 2015). Harder to classify traits related to personal achievement (income and occupational status) and culture (values and political leanings) also impact patterns of assortative mating (Merikangas, 1982; Kalmijn, 1994; Kandler et al., 2012). Odor is one of the more interesting traits implicated in mate choice, and it has been linked to so-called disassortative (or negative assortative) mating, whereby less similar mates are preferred. Odor-based disassortative mating has been attributed to differences in genes of the major histocompatibility (MHC) locus, which functions in the immune system, based on the idea that combinations of divergent human leukocyte antigen (HLA) alleles provide a selective advantage via elevated host resistance to pathogens (Wedekind et al., 1995; Chaix et al., 2008). The studies that have uncovered the role of genetic ancestry in assortative mating among Latinos have relied on estimates of global ancestry fractions between mate pairs (Risch et al., 2009; Zou et al., 2015). Citation: Norris ET, Rishishwar L, Wang L, Conley AB, Chande AT, Dabrowski AM, Valderrama-Aguirre A and Jordan IK (2019) Assortative Mating on Ancestry-Variant Traits in Admixed Latin American Populations. Front. Genet. 10:359. doi: 10.3389/fgene.2019.00359 April 2019 | Volume 10 | Article 359 Frontiers in Genetics | www.frontiersin.org 1 Ancestry Assortative Mating in Latinos Norris et al. human populations, such as the major continental population groups recognized today (Rosenberg et al., 2002; Li et al., 2008; Genomes Project et al., 2015). (Lykken and Tellegen, 1993). Comparison of monozygotic and dizygotic twin pairs provided the first evidence for genetic influences on human mate choice, with 10–30% of the variance in mate choice explained by genetics compared to 10% shared environment and 60% unique environmental variance (Rushton and Bons, 2005). Subsequent twin design studies either did not find any strong genetic effects on patterns of assortative mating (Zietsch et al., 2011) or found genetic effects on assortative mating with very different relative contributions of genes versus environmental effects depending on the trait under consideration (Verweij et al., 2012). A more recent study leveraged genome- wide association study (GWAS) variants that influence height to show even more clear evidence for genetic effects on assortative mating (Li et al., 2017). However, the process of geographic isolation followed by population divergence that characterized human evolution has not been strictly linear. Ongoing human migrations have continuously brought previously isolated populations into contact; when this occurs, the potential exists for once isolated populations to admix, thereby forming novel population groups (Hellenthal et al., 2014). Perhaps the most precipitous example of this process occurred in the Americas, starting just over 500 years ago with the arrival of Columbus in the New World (Mann, 2011). This major historical event quickly led to the co-localization of African, European and Native American populations that had been (mostly) physically isolated for tens of thousands of years (Jordan, 2016). As can be expected, the geographic reunification of these populations was accompanied, to some extent, by genetic admixture and the resulting formation of novel populations. This is particularly true for populations in Latin America, which often show high levels of three-way genetic admixture between continental population groups (Wang et al., 2008; Bryc et al., 2010; Ruiz-Linares et al., 2014; Montinaro et al., 2015; Rishishwar et al., 2015). Frontiers in Genetics | www.frontiersin.org April 2019 | Volume 10 | Article 359 Citation: Given the recent accumulation of numerous whole genome sequences from admixed Latin American populations – along with genome sequences from global reference populations (Genomes Project et al., 2015) – it is now possible to characterize local genetic ancestry for individuals from admixed American populations (Moreno-Estrada et al., 2013; Homburger et al., 2015; Rishishwar et al., 2015). In other words, the ancestral origins for specific chromosomal regions (haplotypes) can be assigned with high confidence for admixed individuals (Maples et al., 2013). For the first time here, we sought to evaluate the impact of local ancestry on assortative mating in admixed Latin American populations. Since the genetic variants that influence numerous phenotypes have been mapped to specific genomic regions, we reasoned that a focus on local ancestry could help to reveal the specific phenotypic drivers of ancestry-based assortative mating. Our approach to this question entailed an integrated analysis of local genetic ancestry and the genetic architecture of a variety of human traits thought to be related to assortative mating. Assortative mating results in an excess of homozygosity, whereas disassortative mating yields excess heterozygosity. It follows that assortative (or disassortative) mating based on local ancestry would yield an excess (or deficit) of ancestry homozygosity at specific genetic loci. In other words, for a given population, a locus implicated in ancestry-based assortative mating would be more likely to have the same ancestry at both pairs of haploid chromosomes within individuals than expected by chance. We The traits that influence human mate choice are shaped by multiple factors with contributions from genes (G) and the environment (E) along with gene-by-environment (GxE) interactions. Studies that consider both genes and environment have shown different contributions of these factors to assortative mating patterns in human populations. Twin studies were initially used in an effort to tease apart the genetic and environmental contributions to mate choice April 2019 | Volume 10 | Article 359 April 2019 | Volume 10 | Article 359 2 Norris et al. Ancestry Assortative Mating in Latinos FIGURE 1 | Genetic ancestry proportions for the admixed Latin American populations studied here. For each population, distributions and average values are shown for African (blue), European (orange), and Native American (red) ancestry. The program RFMix (Maples et al., 2013) was used to infer local African, European and Native American genetic ancestry for individuals from the four admixed Latin American populations analyzed here. Citation: RFMix uses global reference populations to perform chromosome painting, whereby the ancestral origins of specific haplotypes are characterized across the entire genome for admixed individuals. Only haplotypes with high confidence ancestry assignments (≥99%) were taken for subsequent analysis. Examples of local ancestry assignment chromosome paintings for representative admixed individuals from each population are shown in Supplementary Figure S3. The overall continental ancestry fractions for admixed genomes calculated by global and local ancestry analysis are highly correlated, and in fact virtually identical, across all individuals analyzed here, in support of the reliability of these approaches to ancestry assignment (Supplementary Figure S4). FIGURE 1 | Genetic ancestry proportions for the admixed Latin American populations studied here. For each population, distributions and average values are shown for African (blue), European (orange), and Native American (red) ancestry. Assortative Mating and Local Ancestry in Latin America We analyzed genome-wide patterns of local ancestry assignment to assess the evidence for assortative mating based on local ancestry in Latin America (Figure 2A). For each individual, the ancestry assignments for pairs of haplotypes at any given gene were evaluated for homozygosity (i.e., the same ancestry on both haplotypes) or heterozygosity (i.e., different ancestry on both haplotypes) (Figure 2B). For each gene, across all four populations, the observed values of ancestry homozygosity and heterozygosity were compared to expected values in order to compute gene- and population-specific AMI values. AMI is computed as a log odds ratio as described in the Materials and Methods. The expected values of local ancestry homozygosity and heterozygosity used for the AMI calculations are based on a Hardy-Weinberg (HW) triallelic model with the three allele frequencies computed as the locus-specific ancestry fractions. High positive AMI values result from an excess of observed local ancestry homozygosity and are thereby taken to indicate assortative mating based on shared local genetic ancestry. Conversely, low negative AMI values indicate excess local ancestry heterozygosity and disassortative mating. We performed a series of controls to validate the performance of the AMI test statistic and the justification of the HW model for locus- specific ancestry. These controls are described in detail in the Supplementary Methods, and results of the controls can be seen in Supplementary Figures S5–S7. developed a test statistic – the assortative mating index (AMI) – that evaluates this prediction for individual gene loci, and we applied it to sets of genes that function together to encode polygenic phenotypes. We find evidence of substantial local ancestry-based assortative mating, and far less disassortative mating, for four admixed Latin American populations across a variety of anthropometric, neurological and immune-related phenotypes. Our approach also allowed us to assess the specific ancestry components that drive patterns of assortative and disassortative mating in these populations. April 2019 | Volume 10 | Article 359 Frontiers in Genetics | www.frontiersin.org Global and Local Genetic Ancestry in Latin America We compared whole genome sequences from four admixed Latin American populations, characterized as part of the 1000 Genomes Project (1KGP) (Genomes Project et al., 2015) to genome sequences and whole genome genotypes from a panel of 34 global reference populations from Africa, Europe and the Americas (Table 1 and Supplementary Figure S1). The program ADMIXTURE (Alexander et al., 2009) was used to infer the continental genetic ancestry fractions – African, European and Native American – for individuals from the four Latin American populations (Supplementary Figure S2). Distributions of individuals’ continental ancestry fractions illustrate the distinct ancestry profiles of the four populations (Figure 1). Puerto Rico and Colombia show the highest European ancestry fractions along with the highest levels of three-way admixture. These two populations also have the highest African ancestry fractions, although all four populations have relatively small fractions of African ancestry. Peru and Mexico show more exclusively Native American and European admixture, with Peru having by far the largest Native American ancestry fraction. While we were interested in exploring the relationship between local genetic ancestry and assortative mating, we recognized that mate choice is based on phenotypes rather than genotypes per se. Since phenotypes are typically encoded by multiple genes, expressed in the context of their environment, we used data from genome-wide association studies (GWAS) to identify sets of genes that function together to encode polygenic phenotypes (Figure 2C). We combined data from several GWAS database sources in order to curate a collection of 105 gene sets that have been linked to the polygenic genetic architecture of a variety of human traits. These gene sets range in size from 2 to 212 genes and include a total of 923 unique genes April 2019 | Volume 10 | Article 359 April 2019 | Volume 10 | Article 359 Frontiers in Genetics | www.frontiersin.org 3 Ancestry Assortative Mating in Latinos Norris et al. TABLE 1 | Human populations analyzed in this study. Dataseta Geographical source Short n Dataseta Geographical source n Africa (n = 547) 1KGP Esan in Nigeria ESN 99 Native American (n = 280) HGDP Pima in Mexico 14 1KGP Gambian in Western Division, The Gambia GWD 113 HGDP Maya in Mexico 21 1KGP Luhya in Webuye, Kenya LWK 99 Reich et al. Tepehuano in Mexico 25 1KGP Mende in Sierra Leone MSL 85 Reich et al. Native American (n = 280) ental groups, for both ancestral and admixed Latin American populations, and the number of individuals in each population and es Project; HGDP, Human Genome Diversity Panel; (Reich et al., 2012). populations are considered separately (Supplementary Figure S9). Mean observed AMI values vary substantially across populations, with Mexico showing the highest levels of local ancestry-based assortative mating and Puerto Rico showing the lowest (Figure 3B). There is also substantial variation seen for the extent of assortative mating among the three broad functional categories of phenotypes (Figure 3C). Local ancestry- based assortative mating is particularly variable for HLA genes, with high levels of assortative mating seen for Mexico and evidence for disassortative mating seen for Colombia and Puerto Rico. Anthropometric traits tend to show higher levels of local ancestry-based assortative mating across all four populations compared to neurological traits. (Supplementary Figure S8). We focused on phenotypes that are known or expected to influence mate choice and thereby impact assortative mating patterns. These phenotypes fall into three broad categories: anthropometric traits (e.g., body shape, stature, and pigmentation), neurological traits (e.g., cognition, personality, and addiction), and immune response (HLA genes). Finally, we used a meta-analysis of the AMI values for the sets of genes that underlie each polygenic phenotype in order to evaluate the impact of local ancestry on assortative mating (Figure 2D). (Supplementary Figure S8). We focused on phenotypes that are known or expected to influence mate choice and thereby impact assortative mating patterns. These phenotypes fall into three broad categories: anthropometric traits (e.g., body shape, stature, and pigmentation), neurological traits (e.g., cognition, personality, and addiction), and immune response (HLA genes). Finally, we used a meta-analysis of the AMI values for the sets of genes that underlie each polygenic phenotype in order to evaluate the impact of local ancestry on assortative mating (Figure 2D). p y g g We compared the distributions of observed AMI values versus those expected under random mating to assess the overall evidence for local ancestry-based assortative mating in Latin America. Expected AMI values were computed via permutation analysis by randomly combining pairs of haplotypes into 10,000 diploid individuals for each population to approximate random mating. Global and Local Genetic Ancestry in Latin America Mixtec in Mexico 5 1KGP Yoruba in Ibadan, Nigeria YRI 108 Reich et al. Mixe in Mexico 17 HGDP Mandenka 22 Reich et al. Zapotec in Mexico 43 HGDP Yoruba 21 Reich et al. Kaqchikel in Guatemala 13 Europe (n = 471) 1KGP Finnish in Finland FIN 99 Reich et al. Kogi in Colombia 4 1KGP British in England and Scotland GBR 90 Reich et al. Waunana in Colombia 3 1KGP Iberian populations in Spain IBS 107 Reich et al. Embera in Colombia 5 1KGP Toscani in Italy TSI 107 Reich et al. Guahibo in Colombia 6 HGDP Russian 25 Reich et al. Piapoco in Colombia 7 HGDP Orcadian 15 Reich et al. Inga in Colombia 9 HGDP French 28 Reich et al. Wayuu in Colombia 11 Admixed (n = 347) 1KGP Colombian in Medellin, Colombia CLM 94 HGDP Karitiana in Brazil 14 1KGP Peruvian in Lima, Peru PEL 85 HGDP Suruí in Brazil 8 1KGP Mexican Ancestry in LA, California MXL 64 Reich et al. Ticuna in Brazil 6 1KGP Puerto Rican in Puerto Rico PUR 104 Reich et al. Quechua in Peru 40 Reich et al. Aymara in Bolivia 23 Reich et al. Guarani in Paraguay 6 Populations are organized into continental groups, for both ancestral and admixed Latin American populations, and the number of individuals in each population and group is shown. a1KGP, 1000 Genomes Project; HGDP, Human Genome Diversity Panel; (Reich et al., 2012). TABLE 1 | Human populations analyzed in this study. Native American (n = 280) The distribution of the expected AMI values under random mating is narrow and centered around 0, whereas the observed AMI values have a far broader distribution and tend to be positive (expected AMI µ = −0.01, σ = 0.03, observed AMI µ = 0.11, σ = 0.14; Figure 3A). When all four admixed Latin American populations are considered together, the mean observed AMI value is significantly greater than the expected mean AMI under random mating (t = 18.14, P = 8.12e-56). The same trend can be seen when all four Local Ancestry-Based Assortative Mating for Polygenic Phenotypes When considered together, observed AMI levels are enriched for positive values compared to the expected values based on randomly paired haplotypes, indicative of an overall trend of assortative mating based on local ancestry in admixed Latin American populations (Figure 3A and Supplementary Figure S10). We evaluated polygenic phenotypes individually to look for the strongest examples of traits linked to local ancestry-based April 2019 | Volume 10 | Article 359 Frontiers in Genetics | www.frontiersin.org 4 Ancestry Assortative Mating in Latinos Norris et al. FIGURE 2 | Approach used to measure assortative mating on local ances (A) Local ancestry is assigned for specific haplotypes across the genome: African (blue), European (orange), and Native American (red). (B) Within individual genomes, genes are characterized as homozygous or heterozyg for local ancestry. For any given population, at each gene locus, the (Contin FIGURE 2 | Continued assortative mating index (AMI) is computed from the observed and expected counts of homozygous and heterozygous gene pairs. (C) Data from genome-wide association studies (GWAS) are used to evaluate polygenic phenotypes. (D) Meta-analysis of AMI values is used to evaluate the significance of ancestry-based assortative mating for polygenic phenotypes. assortative mating and to evaluate traits that show either similar or variable assortative mating trends across populations. We computed AMI values for 105 polygenic phenotypes across the four populations; the expected and observed AMI values for all traits are shown in Supplementary Figure S10. As can be seen for the overall patterns of assortative mating, individual polygenic phenotypes show more extreme positive (for most cases) and negative (in a few cases) AMI values in the four admixed Latin American populations than can be expected for randomly mating populations. However, as discussed previously, it is known that admixed Latin American populations mate assortatively based on genetic ancestry (Risch et al., 2009; Zou et al., 2015). This can be expected to lead to an overall excess of ancestry homozygosity genome-wide compared to expectations based on truly random mating, and we wanted to control for this as well when analyzing the assortative mating signals for specific traits. To do so, we performed an additional permutation analysis by choosing random sets of genes, of the same size as the observed trait-specific gene sets, and then computing AMI values and their significance levels for the randomly permuted gene sets. Local Ancestry-Based Assortative Mating for Polygenic Phenotypes This allowed us to ask whether the polygenic phenotypes that have statistically significant AMI values show more extreme deviations than can be expected based on genome-wide signals of ancestry-based assortative mating. The results of this additional permutation control are described below in the context of the specific polygenic phenotypes that were found to have significant AMI values. FIGURE 2 | Approach used to measure assortative mating on local ances (A) Local ancestry is assigned for specific haplotypes across the genome: African (blue), European (orange), and Native American (red). (B) Within individual genomes, genes are characterized as homozygous or heterozyg for local ancestry. For any given population, at each gene locus, the (Conti g There are 11 polygenic phenotypes that yield statistically significant AMI values with the HW-based test, after correction for multiple tests, indicative of local ancestry-based assortative mating for specific traits (q < 0.05; Figure 4A). A number of other traits shown are marginally significant after correction for multiple testing. We compared the observed AMI values for the gene sets studied here to population-specific null distributions of expected AMI values generated using randomly permuted gene sets as described in the preceding paragraph (Figure 4B). This permutation test accounts for the genome-wide deviations from HW that occur due to ancestry-based assortative mating. The comparisons of the observed versus expected AMI values for this control indicate that the AMI signals that we observe here are trait-specific and cannot be attributed to the elevated levels of ancestry similarity seen for couples in admixed Latin American populations. The majority of the statistically significant cases of assortative mating are seen in the Mexican and Peruvian populations (10 out of 11), and the anthropometric functional category is most commonly seen among the significant phenotypes (8 out of 11). Height and body mass index are the most commonly observed phenotypes among the significant cases, FIGURE 2 | Approach used to measure assortative mating on local ancestry. (A) Local ancestry is assigned for specific haplotypes across the genome: African (blue), European (orange), and Native American (red). (B) Within individual genomes, genes are characterized as homozygous or heterozygous for local ancestry. For any given population, at each gene locus, the (Continued) April 2019 | Volume 10 | Article 359 Frontiers in Genetics | www.frontiersin.org 5 Ancestry Assortative Mating in Latinos Norris et al. Local Ancestry-Based Assortative Mating for Polygenic Phenotypes A list of these significant traits, including references to the literature where the trait single nucleotide polymorphism (SNP)-associations were originally reported, is provided in Supplementary Table S1. In addition to evaluating individual phenotypes for statistically significant AMI values, we also looked for polygenic phenotypes that showed the most similar or dissimilar patterns of assortative mating across the four admixed Latin American populations. p p pp y Given the evidence of significant local ancestry-based assortative mating that we observed for a number of traits, we evaluated whether there were particular ancestry components that were most relevant to mate choice. In other words, we asked whether the excess counts of observed ancestry homozygosity or heterozygosity are linked to specific local ancestry assignments: African, European and/or Native American. For significant polygenic phenotype gene sets of interest, we computed the observed versus expected ancestry homozygosity for each ancestry separately across all genes in the set (Figure 5). Height is an anthropometric trait for which Colombia, Mexico, and Peru show significant evidence of assortative mating after correction for multiple tests (q < 0.05; Figure 5A), and Puerto Rico shows nominally significant assortative mating for this same trait (P < 0.05). In Colombia, Peru, and Puerto Rico, assortative mating for this polygenic phenotype is driven by an excess of African homozygosity, whereas in Mexico there is a lack of African homozygosity. The neurological disease schizophrenia shows statistically significant assortative mating in Mexico and Peru (q < 0.05), with marginally significant values in Colombia (Figure 5B). Patterns of assortative mating for this trait in Mexico and Peru are driven mainly by European ancestry, whereas Colombia and Puerto Rico show an excess of African ancestry homozygosity for this same trait. FIGURE 3 | Overview of ancestry-based assortative mating in the four admixed Latin American populations analyzed here. (A) Distributions of observed and expected AMI values for all four populations. Inset: Mean observed and expected AMI values (±se) for all four populations. Significance between mean observed and expected AMI values (P = 8.12e-56) is indicated by two asterisks. (B) Observed and expected average AMI values (±se) across all polygenic phenotype gene sets are shown for each population. (C) Average AMI values (±se) for each population are shown for the three main phenotype functional categories characterized here: anthropometric, neurological, and human leukocyte antigen (HLA) genes. Local Ancestry-Based Assortative Mating for Polygenic Phenotypes FIGURE 3 | Overview of ancestry-based assortative mating in the four admixed Latin American populations analyzed here. (A) Distributions of observed and expected AMI values for all four populations. Inset: Mean observed and expected AMI values (±se) for all four populations. Signific between mean observed and expected AMI values (P = 8.12e-56) is ind by two asterisks. (B) Observed and expected average AMI values (±se) across all polygenic phenotype gene sets are shown for each population (C) Average AMI values (±se) for each population are shown for the thre main phenotype functional categories characterized here: anthropometri neurological, and human leukocyte antigen (HLA) genes. Peru) and educational attainment (Mexico). A number of other neurological and anthropometric traits in Mexico are marginally significant. Puerto Rico was the only population that did not show any individual phenotypes with significant evidence of assortative mating, consistent with its low overall AMI values (Figure 3B and Supplementary Figure S8). A list of these significant traits, including references to the literature where the trait single nucleotide polymorphism (SNP)-associations were originally reported, is provided in Supplementary Table S1. In addition to evaluating individual phenotypes for statistically significant AMI values, we also looked for polygenic phenotypes that showed the most similar or dissimilar patterns of assortative mating across the four admixed Latin American populations. The top 20 phenotypes with the highest and lowest population variance are shown in Figure 4C (all are statistically significant at q < 0.05). The polygenic phenotypes with the most variance in population-specific AMI values show more functional diversity compared to the phenotypes with the strongest signals for assortative mating. All three functional categories are represented among the highly population variant phenotypes, and the highly variant phenotypes consist of both assortative and disassortative mating cases (specifically the HLA genes that are described in more detail below). Neurological phenotypes are enriched among the variant cases, including temperament and several addiction- related phenotypes: opioid sensitivity and drinking behavior. A list of the population (in)variant traits, including references to the literature where the trait SNP-associations were originally reported, is provided in Supplementary Table S1. Peru) and educational attainment (Mexico). A number of other neurological and anthropometric traits in Mexico are marginally significant. Puerto Rico was the only population that did not show any individual phenotypes with significant evidence of assortative mating, consistent with its low overall AMI values (Figure 3B and Supplementary Figure S8). Frontiers in Genetics | www.frontiersin.org Local Ancestry-Based Assortative Mating for Polygenic Phenotypes FIGURE 3 | Overview of ancestry-based assortative mating in the four admixed Latin American populations analyzed here. (A) Distributions of observed and expected AMI values for all four populations. Inset: Mean observed and expected AMI values (±se) for all four populations. Significance between mean observed and expected AMI values (P = 8.12e-56) is indicated by two asterisks. (B) Observed and expected average AMI values (±se) across all polygenic phenotype gene sets are shown for each population. (C) Average AMI values (±se) for each population are shown for the three main phenotype functional categories characterized here: anthropometric, neurological, and human leukocyte antigen (HLA) genes. Both Colombia and Puerto Rico show disassortative mating patterns for all HLA loci (both class I and II genes) (Figure 5C). The combined AMI values for the HLA loci are only marginally significant but they are among the lowest AMI values seen for any trait evaluated here (Supplementary Figure S10), and each appearing in two out of the four populations analyzed here (Colombia and Peru for height and Mexico and Peru for body mass index). The only neurological traits that show significant evidence of assortative mating are schizophrenia (Mexico and April 2019 | Volume 10 | Article 359 Frontiers in Genetics | www.frontiersin.org 6 Ancestry Assortative Mating in Latinos Norris et al. IGURE 4 | Phenotypes with statistically significant patterns of assortative mating within and among populations. (A) The top 20 phenotypes with the highest, and ost statistically significant, assortative mating values (AMI) seen within any individual population. All AMI values shown are significant at P < 0.05, and the dashed ne corresponds to a false discovery rate q-value cutoff of 0.05. (B) The observed AMI values for all trait-specific gene sets in each population (red lines) are ompared to distributions of expected AMI values (black lines) based on random permutations of 10,000 gene sets. The top panels show the overall distributions of bserved and permuted AMI values for each population, with steep peaks around the mean values for expected AMI. The bottom panels show a more narrow range f observed and expected AMI values for each population, which are centered around the population-specific mean expected AMI values. (C) The top 20 henotypes with the highest or lowest, and most statistically significant, AMI variance levels across populations. Across population variance levels are normalized sing the average AMI population variance level for all phenotypes. Local Ancestry-Based Assortative Mating for Polygenic Phenotypes All AMI variance levels shown are significant at q < 0.05. The highest variance (most dissimilar atterns) of the AMI are at the top, while the lowest variance (most similar patterns) of AMI are at the bottom. FIGURE 4 | Phenotypes with statistically significant patterns of assortative mating within and among populations. (A) The top 20 phenotypes with the highest, and most statistically significant, assortative mating values (AMI) seen within any individual population. All AMI values shown are significant at P < 0.05, and the dashed line corresponds to a false discovery rate q-value cutoff of 0.05. (B) The observed AMI values for all trait-specific gene sets in each population (red lines) are compared to distributions of expected AMI values (black lines) based on random permutations of 10,000 gene sets. The top panels show the overall distributions of observed and permuted AMI values for each population, with steep peaks around the mean values for expected AMI. The bottom panels show a more narrow range of observed and expected AMI values for each population, which are centered around the population-specific mean expected AMI values. (C) The top 20 phenotypes with the highest or lowest, and most statistically significant, AMI variance levels across populations. Across population variance levels are normalized using the average AMI population variance level for all phenotypes. All AMI variance levels shown are significant at q < 0.05. The highest variance (most dissimilar patterns) of the AMI are at the top, while the lowest variance (most similar patterns) of AMI are at the bottom. they are also highly variable among populations (Figure 4C). HLA loci in Colombia and Puerto Rico show a distinct lack of ancestry homozygosity for almost all ancestry components (Figure 5C). Mexico and Peru, on the other hand, have some evidence for assortative mating for the HLA loci; Mexico has the highest estimates of ancestry homozygosity at HLA loci for any of the four populations, and Peru has an excess of European and Native American ancestry homozygosity and a deficit of African homozygosity for these genes. Similar results for two additional anthropometric phenotypes are shown in Supplementary Figure S11: body mass index and facial development. These phenotypes show assortative mating in all four populations, with varying components of ancestral homozygosity driving the relationships. Local Ancestry-Based Assortative Mating for Polygenic Phenotypes When these results are considered together, African ancestry consistently shows the strongest effect on driving assortative and disassortative mating in admixed Latin American populations (Figure 5 and Supplementary Figure S11). April 2019 | Volume 10 | Article 359 Frontiers in Genetics | www.frontiersin.org 7 Ancestry Assortative Mating in Latinos Norris et al. FIGURE 5 | Individual examples of ancestry-based assortative and disassortative mating. Results of meta-analysis of (dis)assortative mating on polygenic phenotypes along with their ancestry drivers are shown for (A) an anthropometric trait: Height, (B) a neurological trait: Schizophrenia, and (C) the immune-related HLA class I and II genes. The meta-analysis plots show pooled AMI odds ratio values along with their 95% CIs and P-values. Stars indicate false discovery rate q-values < 0.05. The ancestry driver plots show the extent to which individual ancestry components – African (blue), European (orange), and Native American (red) – have an excess (>0) or a deficit (<0) of homozygosity. FIGURE 5 | Individual examples of ancestry-based assortative and disassortative mating. Results of meta-analysis of (dis)assortative mating on polygenic phenotypes along with their ancestry drivers are shown for (A) an anthropometric trait: Height, (B) a neurological trait: Schizophrenia, and (C) the immune-related HLA class I and II genes. The meta-analysis plots show pooled AMI odds ratio values along with their 95% CIs and P-values. Stars indicate false discovery rate q-values < 0.05. The ancestry driver plots show the extent to which individual ancestry components – African (blue), European (orange), and Native American (red) – have an excess (>0) or a deficit (<0) of homozygosity. FIGURE 5 | Individual examples of ancestry-based assortative and disassortative mating. Results of meta-analysis of (dis)assortative mating on polygenic phenotypes along with their ancestry drivers are shown for (A) an anthropometric trait: Height, (B) a neurological trait: Schizophrenia, and (C) the immune-related HLA class I and II genes. The meta-analysis plots show pooled AMI odds ratio values along with their 95% CIs and P-values. Stars indicate false discovery rate q-values < 0.05. The ancestry driver plots show the extent to which individual ancestry components – African (blue), European (orange), and Native American (red) – have an excess (>0) or a deficit (<0) of homozygosity. We further evaluated the extent to which specific ancestry components may drive assortative mating patterns among admixed individuals by evaluating the variance of the three continental ancestry components among individuals within each Latin American population. Local Ancestry-Based Assortative Mating for Polygenic Phenotypes Assortative mating is known to increase population variance for traits that are involved in mate choice; thus, the ancestry components that drive assortative mating in a given population are expected to show higher overall variance among individual genomes. African ancestry fractions show the highest variation among individuals for all four populations (Figure 6), consistent with the results seen for the five specific cases of assortative mating evaluated in Figure 5 and Supplementary Figure S11. 1972; Buss, 1985). Studies of assortative mating in humans have most often entailed direct measurements of traits – such as physical stature, education, and ethnicity – followed by correlation of trait values between partners. Decades of such studies have revealed numerous, widely varying traits that are implicated in mate choice and assortative mating. Studies of this kind typically make no assumptions regarding, nor have any knowledge of, the genetic heredity of the traits under consideration. Moreover, the extent to which the expression of these traits varies among human population groups has largely been ignored. The first attempts to evaluate the genetic contributions to assortative mating entailed twin studies, whereby the similarity of mate choice for dizygotic versus monozygotic twins were compared (Lykken and Tellegen, 1993). While twin studies did uncover a genetic contribution to variance in human mate choice, they often yielded widely inconsistent results. This was true for both the overall extent of heritability in mate choice, which ranged from 0 to 30% (Rushton and Bons, 2005; Zietsch et al., Frontiers in Genetics | www.frontiersin.org DISCUSSION Assortative mating is a nearly universal human behavior, and scientists have long been fascinated by the subject (Vandenburg, April 2019 | Volume 10 | Article 359 April 2019 | Volume 10 | Article 359 Frontiers in Genetics | www.frontiersin.org 8 Ancestry Assortative Mating in Latinos Norris et al. FIGURE 6 | Inter-individual ancestry variance for the four admixed Latin American populations analyzed here. Variance among individuals for the African (blue), European (orange), and Native American (red) ancestry fractions within each population are shown. data on the genetic architecture of polygenic human phenotypes, we were able to uncover specific traits that inform ancestry-based assortative mating. This is because, when individuals exercise mate choice decisions based on ancestry, they must do so using phenotypic cues that are ancestry-associated. In other words, ancestry-based assortative mating is, by definition, predicated upon traits that vary in expression among human population groups (Supplementary Figure S12). An obvious example of this is skin color (Hancock et al., 2011), and studies have indeed shown skin color to be an important feature of assortative mating (Frisancho et al., 1981; Malina et al., 1983; Trachtenberg et al., 1985; Procidano and Rogler, 1989). It follows that the assortative mating traits that our study uncovered in admixed Latin American populations must be both genetically heritable and variable among African, European and Native American population groups. The traits we found to influence ancestry-based assortative mating vary among the continental population groups that admixed to form modern Latin American populations (Supplementary Table S2). For example, the anthropometric traits found in our study – body mass, height and facial development – are both heritable and known to vary among ancestry groups. This implies that the genetic variants that influence these traits should also vary among these populations. Accordingly, it is readily apparent that mate choice decisions based on these physical features could track local genetic ancestry. Interpretation of the neurological traits that show evidence of local ancestry-based assortative mating – schizophrenia and educational attainment – is not quite as straightforward. For schizophrenia, it is far more likely that we are analyzing genetic loci associated with a spectrum of personality traits that influence assortative mating, as opposed to mate choice based on full-blown schizophrenia, and indeed personality traits are widely known to impact mate choice decisions (Merikangas, 1982; Hur, 2003; Kandler et al., 2012). DISCUSSION In addition, since schizophrenia prevalence does not vary greatly world-wide (Saha et al., 2005), it is more likely that ancestry-based assortative mating for this trait is tracking an underlying endophenotype rather than the disease itself. While educational attainment outcomes are largely environmentally determined, recent large-scale GWAS studies have uncovered a substantial genetic component to this trait, which is distributed among scores of loci across the genome (Rietveld et al., 2013, 2014; Davies et al., 2016; Okbay et al., 2016). The population distribution of education-associated variants is currently unknown, but our results suggest the possibility of ancestry-variation for some of them. Indeed, the average allele frequencies for the variants that influence our top four traits of interest – height, BMI, schizophrenia, and educational attainment – show significant variation among ancestry groups (Supplementary Figure S12). FIGURE 6 | Inter-individual ancestry variance for the four admixed Latin American populations analyzed here. Variance among individuals for the African (blue), European (orange), and Native American (red) ancestry fractions within each population are shown. FIGURE 6 | Inter-individual ancestry variance for the four admixed Latin American populations analyzed here. Variance among individuals for the African (blue), European (orange), and Native American (red) ancestry fractions within each population are shown. 2011), and the relative amounts of genetic versus environmental contributions across the different traits implicated in mate choice (Verweij et al., 2012). More recent studies of assortative mating, powered by advances in human genomics, have begun to explore the genetic architecture underlying the human traits that form the basis of mate choice in more detail (Domingue et al., 2014; Robinson et al., 2017). In addition, recent genomic analyses have underscored the extent to which human genetic ancestry influences assortative mating (Risch et al., 2009; Zou et al., 2015; Zaitlen et al., 2017). However, until this time, these two strands of inquiry have not been brought together. The approach that we developed for this study allowed us to directly assess the connection between local genetic ancestry – i.e., ancestry assignments for specific genome regions or haplotypes – and the human traits that serve as cues for assortative mating. Previous studies on human mate choice have demonstrated pronounced sex differences in mate preference; for example, females value earning capacity more in potential mates, whereas males value reproductive capacity, as inferred from youth and physical attractiveness (Buss, 1989; Geary, 2000). Frontiers in Genetics | www.frontiersin.org DISCUSSION It should be noted that the genome-based approach that we employed here does not allow us to consider sex differences in mate preference since we are essentially observing the effects of assortative mating on the offspring of mate pairs, by comparing ancestry homozygosity levels in the genomes of all individuals, rather than directly observing mate choice in couples. Mate choice based on divergent MHC loci, apparently driven by body odor preferences, is the best known example of human disassortative mating (Wedekind et al., 1995). However, studies of this phenomenon have largely relied on ethnically homogenous cohorts. In one case where females were asked to select preferred MHC-mediated odors from males of a Our approach relies on the well-established principle that assortative mating results in an excess of genetic homozygosity (Sebro et al., 2010). However, we do not analyze homozygosity of specific genetic variants per se, as is normally done; rather we evaluate excess homozygosity, or the lack thereof, for ancestry- specific haplotypes (Figure 2B). By merging this approach with April 2019 | Volume 10 | Article 359 9 Ancestry Assortative Mating in Latinos Norris et al. different ethnic group, they actually preferred odors of males with more similar MHC alleles (Jacob et al., 2002). Another study showed differences in MHC-dependent mate choice for human populations with distinct ancestry profiles (Chaix et al., 2008). Ours is the first study that addresses the role of ancestry in MHC-dependent mate choice in ethnically diverse admixed populations. Unexpectedly, we found very different results for MHC-dependent mate choice among the four Latin American populations that we studied. In fact, AMI values for the HLA loci are among the most population variable for any trait analyzed here (Figure 4C). Mexico and Peru show evidence of assortative mating at HLA loci, whereas Colombia and Puerto Rico show evidence for disassortative mating (Figure 5C). Interestingly, disassortative mating for HLA loci in Colombia and Puerto Rico is largely driven by African ancestry, and these two populations have substantially higher levels of African ancestry compared to Mexico and Peru. The population- and ancestry- specific dynamics of MHC-dependent mate choice revealed here underscore the complexity of this issue. Given the complexity of the results reported here, particularly as they relate to differences among populations, it should also be noted that anomalous patterns of linkage disequilibrium at MHC loci could confound the analysis at this region. DISCUSSION mating in the US (Abdellaoui et al., 2014), whereas assortative mating for height was observed within distinct US population groups, independent of their ancestry (Li et al., 2017). Here, we have tried to tease apart the overall effects of ancestry-based assortative mating versus trait-specific mate choice by permuting random sets of genes and re-computing our AMI test statistic for each of the four Latin American populations analyzed here. This procedure allowed us to control for the background levels of local ancestry homozygosity in these populations, which could have been generated by ancestry-based assortative mating alone. We used this control to parameterize the significance levels for the test statistic that we used to discover trait-specific ancestry-based assortative mating (Figure 4B). In other words, we only find a specific trait to be implicated in ancestry-based assortative mating if the levels of ancestry homozygosity for the genes associated with that trait are significantly higher than the genome-wide background levels. In this sense, we have shown how these specific traits may serve as cues that underlie, to some extent, ancestry influenced mate choice in Latin American populations. A corollary to this conclusion is the fact that ancestry- and trait-based assortative mating cannot be completely disentangled for modern admixed populations. Rather, the variance in the expression of these traits across ancestry groups may in fact be an informative marker for individuals’ ancestral origins. Assortative mating alone is not expected to change the frequencies of alleles, or ancestry fractions in the case of our study, within a population. Assortative mating does, however, change genotype frequencies, resulting in an excess of homozygous genotypes. Accordingly, ancestry-based assortative mating is expected to yield an excess of homozygosity for local ancestry assignments (i.e., ancestry-specific haplotypes) (Figure 2B). By increasing homozygosity in this way, assortative mating also increases the population genetic variance for the traits that influence mate choice. In other words, assortative mating will lead to more extreme, and less intermediate, phenotypes than expected by chance. This population genetic consequence of assortative mating allowed us to evaluate the extent to which specific continental ancestries drive mate choice decisions in admixed populations, since specific ancestry drivers of assortative mating are expected to have increased variance. MATERIALS AND METHODS It is important to reiterate that previous studies have shown evidence for assortative mating on both genetic ancestry and specific traits; accordingly, ancestry-based population stratification could lead to the appearance of trait-based assortative mating (Sebro et al., 2017). For example, assortative mating occurs among European-Americans along a North-South European ancestry cline, which happens to mirror the cline in height along this same axis (Sebro et al., 2010). This begs the question as to whether similarities in height among European- American couples is due to ancestry or due to the trait itself. Studies have shown conflicting results regarding this question. On the one hand, genetic ancestry (population stratification) alone was posited to account for observed patterns of assortative DISCUSSION We found that the fractions of African ancestry have the highest variance among individuals for all four populations, consistent with the idea that traits that are associated with African ancestry drive most of the local ancestry-based assortative mating seen in this study (Figure 6). The confluence of African, European and Native American populations that marked the conquest and colonization of the New World yielded modern Latin American populations that are characterized by three-way genetic admixture (Wang et al., 2008; Bryc et al., 2010; Ruiz-Linares et al., 2014; Montinaro et al., 2015; Rishishwar et al., 2015). Nevertheless, mate choice in Latin America is far from random (Risch et al., 2009; Zou et al., 2015). Indeed, our results underscore the prevalence of ancestry-based assortative mating in modern Latin American societies. The local ancestry approach that we developed provided new insight into this process by allowing us to hone in on the phenotypic cues that underlie ancestry-based assortative mating. Our method also illuminates the specific ancestry components that drive assortative mating for different traits and makes predictions regarding traits that should vary among continental population groups. Frontiers in Genetics | www.frontiersin.org 1http://portals.broadinstitute.org/collaboration/giant/index.php/GIANT_ consortium Global and Local Ancestry Analysis To infer continental (global) ancestry of the four admixed Latin American populations, ADMIXTURE (Alexander et al., 2009) was run on the pruned SNP genotype dataset (n = 58,898). ADMIXTURE was run using K = 4, yielding African, European, Asian and Native American ancestry fractions of each admixed individual; the final Asian and Native American fractions were summed to determine the Native American fraction of each individual. For local ancestry analysis of the admixed Latin American populations, the program RFMix (Maples et al., 2013) version 1.5.4 was run in the PopPhased mode with a minimum node size of 5 and the “usereference-panels-in-EM” option with 2 EM iterations for each individual in the dataset using the phased SNP genotypes (n = 239,989). Continental African, European, and Native American populations were used as reference populations, and contiguous regions with the same ancestry assignment, i.e., ancestry-specific haplotypes, were delineated where the RFMix ancestry assignment certainty was at least 99%. The timing of admixture events was analyzed using the program TRACTS (Gravel, 2012; Gravel et al., 2013) with the local ancestry haplotype assignments from RFMix. TRACTS was used to evaluate possible admixture timings across 1,000 bootstrap attempts, with the most likely series of admixture events chosen to represent each population. Linkage disequilibrium (LD) pruning was performed using the program PLINK to ensure that gene sets consisted of independent genes. LD pruning was done using pairwise r2-values between genic SNPs for all pairs of genes in any given set. For any pair of genes with SNP r2 > 0.1, only one member of the pair was retained for further analysis. The final data set contains gene sets for 105 polygenic phenotypes, hierarchically organized into three functional categories, including 923 unique genes (haplotypes) (Supplementary Figure S7). Whole Genome Sequences and Genotypes Whole genome sequence data for the four admixed Latin American populations studied here were taken from the Phase 3 data release of the 1000 Genomes Project (1KGP) (Genomes Project et al., 2015). Whole genome sequence data and genotypes for the putative ancestral populations (Africa, Europe, and the Americas) were taken from the 1KGP, the Human Genome Diversity Project (Li et al., 2008) (HGDP), and a previous study on Native American genetic ancestry (Reich et al., 2012). Whole genome sequence data and genotypes were merged, sites common to all datasets were kept, and SNP strand April 2019 | Volume 10 | Article 359 10 Ancestry Assortative Mating in Latinos Norris et al. a variety of studies taken from the NHGRI-EBI GWAS Catalog (MacArthur et al., 2017), the Genetic Investigation of ANthropometric Traits (GIANT) consortium1, and PubMed literature sources. orientation was corrected as needed, using PLINK version 1.9 (Chang et al., 2015). The resulting dataset consisted of 1,645 individuals from 38 populations with variants characterized for 239,989 SNPs. The set of merged SNP genotypes was phased, using the program SHAPEIT version 2.r837 (Delaneau et al., 2013), with the 1KGP haplotype reference panel. This phased set of SNP genotypes was used for local ancestry analysis. PLINK was used to further prune the phased SNPs for linkage, yielding a pruned dataset containing 58,898 linkage-independent SNPs. This pruned set of SNP genotypes was used for global ancestry analysis. For each polygenic phenotype, all SNPs previously implicated at genome-wide significance levels of P ≤5 × 10−8 were collected as the phenotype SNP set. The gene sets for the polygenic phenotypes were collected by directly mapping trait- associated SNPs to genes. SNPs were used to create a gene set only if the SNP fell directly within a gene and thus no intergenic SNPs were used in creating gene sets. Gene sets from the GWAS Catalog were mapped from SNPs using EBI’s in- house pipeline. Sets from GIANT were mapped according to specifications of each individual paper. Gene sets from literature searching were mapped using NCBI’s dbSNP. For each Latin American population, phenotype gene sets were filtered to only include genes that passed the ancestry genotype threshold, as described previously. Finally, the polygenic phenotype gene sets were filtered based on size, so that all polygenic phenotypes included two or more genes. Assortative Mating Index (AMI) To assess local ancestry-based assortative mating, we developed the AMI, a log odds ratio test statistic that computes the relative local ancestry homozygosity compared to heterozygosity for any given gene. Ancestry homozygosity occurs when both genes in a genome have the same local ancestry, whereas ancestry heterozygosity refers to a pair of genes in a genome with different local ancestry assignments. The AMI is calculated as: Autosomal NCBI RefSeq coding genes were accessed from the UCSC Genome Browser and mapped to the ancestry- specific haplotypes characterized for each admixed Latin American individual. For each diploid genome analyzed here, individual genes can have 0, 1, or 2 ancestry assignments depending on the number of high confidence ancestry-specific haplotypes at that locus. Our assortative mating index (AMI, see below) can only be computed for genes that have 2 ancestry assignments in any given individual, i.e., cases where the ancestry is assigned for both copies of the gene. Thus, for each Latin American population p, the mean (xp), and standard deviation (sdp) of the number of genes with 2 ancestry assignments were calculated and used to compute an ancestry genotype threshold for the inclusion of genes in subsequent analyses. Genes were used in subsequent assortative mating analyses only if they were present above the ancestry genotype threshold of xp −sdp. AMI = ln obs hom  /exp hom  obs het  /exp het  ! where obs hom  /exp hom  is the ratio of the observed and expected local ancestry homozygous gene pairs and obs het  /exp het  is the ratio of the observed and expected local ancestry heterozygous gene pairs. The observed values of local ancestry homozygous and heterozygous gene pairs are taken from the gene-to-ancestry mapping data for each gene in each population. The expected values of local ancestry homozygous and heterozygous gene pairs are calculated for each gene in a population using a triallelic Hardy-Weinberg (HW) model, in which the gene- specific local ancestry assignment fractions are taken as the three allele frequencies. For the African (a), European (e), and Native Gene Sets for Polygenic Phenotypes The polygenic genetic architectures of phenotypes that could be affected by assortative mating were characterized using Gene Sets for Polygenic Phenotypes The polygenic genetic architectures of phenotypes that could be affected by assortative mating were characterized using April 2019 | Volume 10 | Article 359 Frontiers in Genetics | www.frontiersin.org 11 Ancestry Assortative Mating in Latinos Norris et al. assortative mating) was completed using the t-test package in R. The metafor package, used for calculating the meta- analysis AMI values, also calculates a P-value and a false discovery rate q-value to correct for multiple statistical tests, which were used for identifying polygenic phenotypes that are significantly influenced by local ancestry-based assortative mating in each Latin American population. The variance of AMI values across the four populations for each phenotype was calculated as it is implemented in R and used for identifying phenotypes that had highly similar (minimal variance) or highly dissimilar (maximal variance) local ancestry-based assortative mating patterns. The coefficient of variation was used to measure the inter-individual variance for each of the three continental ancestry components within the four admixed Latin American populations analyzed here. American (n) gene-specific local ancestry assignment fractions in a population, the HW expected genotype frequencies are: (a + e + n)2 or a2 + 2ae + e2 + 2an + 2en + n2. Accordingly, the expected frequency of homozygous pairs is a2 + e2 + n2 and the expected frequency of heterozygous pairs is 2ae + 2an + 2en. For each gene, in each population, the expected homozygous and heterozygous frequencies are multiplied by the number of individuals with two ancestry assignments for that gene to yield the expected counts of gene pairs in each class. American (n) gene-specific local ancestry assignment fractions in a population, the HW expected genotype frequencies are: (a + e + n)2 or a2 + 2ae + e2 + 2an + 2en + n2. Accordingly, the expected frequency of homozygous pairs is a2 + e2 + n2 and the expected frequency of heterozygous pairs is 2ae + 2an + 2en. For each gene, in each population, the expected homozygous and heterozygous frequencies are multiplied by the number of individuals with two ancestry assignments for that gene to yield the expected counts of gene pairs in each class. For each polygenic phenotype, a meta-analysis of gene-specific AMI values was conducted to evaluate the effect of all of the genes involved in the phenotype on assortative mating, using the metafor (Viechtbauer, 2010) package in R. FUNDING where anc is one of the three ancestries – African, European or Native American, g ∈genes in the phenotype are all of the genes involved in the polygenic phenotype, obsanc g is the number of observed homozygous genes for gene g coming from anc, and expanc g is the number of expected homozygous genes for gene g coming from anc (as calculated using a triallelic Hardy– Weinberg model). EN, LR, ABC, ATC, and IJ were supported by the IHRC-Georgia Tech Applied Bioinformatics Laboratory (ABiL). LW and AD were supported by the Georgia Tech Bioinformatics Graduate Program. AV was supported by Fulbright, Colombia. Controls for Evaluating the Assortative Mating Index (AMI) All data were sourced from publicly-available databases and do not require additional ethics approval. Four different controls were used to evaluate the design and performance of the AMI test statistic: (1) a control for the use of HW as a null model in the AMI test statistic, (2) a permutation analysis to evaluate expected AMI values under random mating, (3) a population genetic simulation to evaluate the power of the AMI test statistic to detect ancestry-based assortative mating and its dependence on the different ancestry combinations of the populations we analyzed, and (4) a permutation of random gene sets to generate null distributions of AMI values expected given the observed genome-wide signals of ancestry-based assortative mating. Each of these control analyses is described in detail in the Supplementary Materials and Methods. As per the Data Availability section of the manuscript, data can be access from: 1000 Genomes Project data are available from http://www.internationalgenome.org/data/ Human Genome Diversity Project data are available from http: //www.hagsc.org/hgdp/ Previously published Native American genotype data can be accessed from a data use agreement governed by the University of Antioquia as previously described (Reich et al., 2012). Ancestry-Specific Drivers of Assortative Mating EN conducted all of the ancestry-based assortative mating analyses. LR performed the permutation and simulation analyses. LW participated in the assortative mating analysis for individual phenotypes. ABC performed the genetic ancestry analyses. EN, ATC, AD, and AV-A curated the GWAS SNP associations and polygenic phenotype gene sets. EN, LR, LW, and ABC generated the manuscript figures. IJ conceived of, designed and supervised the project. EN, LR, and IJ wrote the manuscript. 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Epidemiol. 34, 674–679. doi: 10.1002/gepi. 20528 Zou, J. Y., Park, D. S., Burchard, E. G., Torgerson, D. G., Pino-Yanes, M., Song, Y. S., et al. (2015). Genetic and socioeconomic study of mate choice in Latinos reveals novel assortment patterns. Proc. Natl. Acad. Sci. U.S.A. 112, 13621–13626. doi: 10.1073/pnas.1501741112 Sebro, R., Peloso, G. M., Dupuis, J., and Risch, N. J. (2017). Structured mating: patterns and implications. PLoS Genet. 13:e1006655. doi: 10.1371/journal.pgen. 1006655 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. Silventoinen, K., Kaprio, J., Lahelma, E., Viken, R. J., and Rose, R. J. (2003). Assortative mating by body height and BMI: finnish twins and their spouses. Am. J. Hum. Biol. 15, 620–627. doi: 10.1002/ajhb. 10183 Copyright © 2019 Norris, Rishishwar, Wang, Conley, Chande, Dabrowski, Valderrama-Aguirre and Jordan. 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. Stulp, G., Simons, M. J., Grasman, S., and Pollet, T. V. (2017). ). Frontiers in Genetics | www.frontiersin.org REFERENCES R., Moreno-Estrada, A., Gignoux, C. R., Nelson, D., Sanchez, E., Ortiz-Tello, P., et al. (2015). Genomic insights into the ancestry and demographic history of South America. PLoS Genet. 11:e1005602. doi: 10.1371/ journal.pgen.1005602 Rishishwar, L., Conley, A. B., Wigington, C. H., Wang, L., Valderrama-Aguirre, A., and Jordan, I. K. (2015). Ancestry, admixture and fitness in Colombian genomes. Sci. Rep. 5:12376. doi: 10.1038/srep12376 Hur, Y. M. (2003). Assortative mating for personality traits, educational level, religious affiliation, height, weight, and body mass index in parents of Korean twin sample. Twin Res. 6, 467–470. doi: 10.1375/136905203322686446 Robinson, M. R., Kleinman, A., Graff, M., Vinkhuyzen, A. A., Couper, D., Miller, M. B., et al. (2017). Genetic evidence of assortative mating in humans. Nat. Hum. Behav. 1:0016. April 2019 | Volume 10 | Article 359 Frontiers in Genetics | www.frontiersin.org 13 Norris et al. Ancestry Assortative Mating in Latinos Rosenberg, N. A., Pritchard, J. K., Weber, J. L., Cann, H. M., Kidd, K. K., Zhivotovsky, L. A., et al. (2002). Genetic structure of human populations. Science 298, 2381–2385. doi: 10.1126/science.10 78311 Vandenburg, S. G. (1972). Assortative mating, or who marries whom? Behav. Genet. 2, 127–157. doi: 10.1007/bf01065686 Verweij, K. J., Burri, A. V., and Zietsch, B. P. (2012). Evidence for genetic variation in human mate preferences for sexually dimorphic physical traits. PLoS One 7:e49294. doi: 10.1371/journal.pone.0049294 Ruiz-Linares, A., Adhikari, K., Acuna-Alonzo, V., Quinto-Sanchez, M., Jaramillo, C., Arias, W., et al. (2014). Admixture in Latin America: geographic structure, phenotypic diversity and self-perception of ancestry based on 7,342 individuals. PLoS Genet. 10:e1004572. doi: 10.1371/journal.pgen.10 04572 Viechtbauer, W. (2010). Conducting meta-analyses in R with the metafor package. J. Stat. Softw. 36, 1–48. Wang, S., Ray, N., Rojas, W., Parra, M. V., Bedoya, G., Gallo, C., et al. (2008). Geographic patterns of genome admixture in Latin American Mestizos PLoS Wang, S., Ray, N., Rojas, W., Parra, M. V., Bedoya, G., Gallo, C., et al. (2008). Geographic patterns of genome admixture in Latin American Mestizos. PLoS Genet. 4:e1000037. doi: 10.1371/journal.pgen.1000037 g y j y ( ) Geographic patterns of genome admixture in Latin American Mestizos. PLoS Genet. 4:e1000037. doi: 10.1371/journal.pgen.1000037 Rushton, J. P., and Bons, T. A. (2005). Mate choice and friendship in twins: evidence for genetic similarity. Psychol. Sci. 16, 555–559. doi: 10.1111/j.0956- 7976.2005.01574.x Wedekind, C., Seebeck, T., Bettens, F., and Paepke, A. J. (1995). MHC-dependent mate preferences in humans. Proc. Biol. Sci. 260, 245–249. doi: 10.1098/rspb. April 2019 | Volume 10 | Article 359 REFERENCES Assortative mating for human height: a meta-analysis. Am. J. Hum. Biol. 29:e22917. doi: 10.1002/ajhb.22917 j Trachtenberg, A., Stark, A. E., Salzano, F. M., and Da Rocha, F. J. (1985). Canonical correlation analysis of assortative mating in two groups of Brazilians. J. Biosoc. Sci. 17, 389–403. April 2019 | Volume 10 | Article 359 Frontiers in Genetics | www.frontiersin.org 14
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Real-time observation of the intravalley spin-flip process in single-layer WS<sub>2</sub>
EPJ web of conferences
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Real-time observation of the intravalley spin-flip process in single-layer WS2 In our experiment, spin-polarized carriers are photo-injected by a circularly polarized pump resonant to the A exciton transition, while their temporal evolution is detected by a co- circularly polarized probe pulse resonant with either the A or B excitons (red and blue curves in the central panel in Fig. 1). When the probe is resonant with the A exciton, we observe an instantaneous (i.e. limited by the temporal resolution ~ 100fs) build-up of the differential transmission (ΔT/T) signal. This positive signal (photo-bleaching, PB) arise from Pauli-blocking in the A excitonic state On the other hand when the probe is resonant with the B exciton the intravalley spin- In two-dimensional Transition Metal Dichalcogenides (TMDs) interactions with light are dominated by strongly bounded excitons due to the low-dimensional quantum confinement[1]. In Mo and W based TMDs, the large spin-orbit coupling lifts the spin degeneracy of the valence (VB) and the conduction bands (CB) giving rise to the A and B interband excitonic transitions[2]. Theory predicts the CB spin-ordering in Mo-based TMDs to be different from W-based TMDs [3]. In the former case, the spins of the electrons in the lowest CB and in the highest VB at K/K’ are parallel, giving rise to an optically bright A exciton state while in the latter case they are antiparallel, resulting in a dark A exciton at a lower energy than the bright one (intravalley dark exciton, see left panel in Fig.1). The presence of dark excitons has been revealed indirectly from the observation of anomalous quenching of the PL emission at low temperature in single-layer (1L)-WSe2[4]. Here we use two-colour helicity-resolved pump-probe spectroscopy to directly resolve the intravalley spin-flip process of the photoexcited electrons in the CB of 1L-WS2. In our experiment, spin-polarized carriers are photo-injected by a circularly polarized pump resonant to the A exciton transition, while their temporal evolution is detected by a co- circularly polarized probe pulse resonant with either the A or B excitons (red and blue curves in the central panel in Fig. 1). When the probe is resonant with the A exciton, we observe an instantaneous (i.e. limited by the temporal resolution ~ 100fs) build-up of the differential transmission (ΔT/T) signal. This positive signal (photo-bleaching, PB) arise from Pauli-blocking in the A excitonic state. © The Authors, published by EDP Sciences. This is an open access article distributed under the terms of the Creative Commons Attribution License 4.0 (http://creativecommons.org/licenses/by/4.0/). , (201 E Web of Conferences PJ 9) 205 0 UP 2018 5012 , (201 E Web of Conferences PJ 9) 205 0 UP 2018 5012 https://doi.org/10.1051/e onf /201920 pjc 505012 Real-time observation of the intravalley spin-flip process in single-layer WS2 Zilong Wang1, Alejandro Molina-Sanchez2, Patrick Altmann1, Davide Sangalli3, Domenico De Fazio4, Giancarlo Soavi4, Ugo Sassi4, Federico Bottegoni1, Franco Ciccacci1, Marco Finazzi1, Ludger Wirtz5, Andrea Ferrari4, Andrea Marini3, Giulio Cerullo1,6 and Stefano Dal Conte1,* 1Dipartimento di Fisica, Politecnico di Milano, Piazza L. da Vinci 32, I-20133 Milano, Italy 2Institute of Materials Science (ICMUV), University of Valencia, Catedràtico Beltràn 2, E-46980, Valencia, Spain 1Dipartimento di Fisica, Politecnico di Milano, Piazza L. da Vinci 32, I-20133 Milano, Italy 2Institute of Materials Science (ICMUV), University of Valencia, Catedràtico Beltràn 2, E-46980, Valencia, Spain 3Istituto di Struttura della Materia (ISM), CNR, Via Salaria Km 29.3, I-00016 Monterotondo Stazione, Italy 3Istituto di Struttura della Materia (ISM), CNR, Via Salaria Km 29.3, I-00016 Monterotondo Stazione, Italy 4Cambridge Graphene Centre, University of Cambridge, 9 JJ Thomson Avenue, Cambridge CB3 0FA, United Kingdom 4Cambridge Graphene Centre, University of Cambridge, 9 JJ Thomson Avenue, Cambridge CB3 0FA, United Kingdom g, , 6IFN-CNR, Piazza L. da Vinci 32, I-20133 Milano, Italy Abstract. We use helicity-resolved transient absorption spectroscopy to track intravalley scattering dynamics in monolayer WS2. We find that spin- polarized carriers scatter from upper to lower conduction band by reversing their spin orientation on a sub-ps timescale. In two-dimensional Transition Metal Dichalcogenides (TMDs) interactions with light are dominated by strongly bounded excitons due to the low-dimensional quantum confinement[1]. In Mo and W based TMDs, the large spin-orbit coupling lifts the spin degeneracy of the valence (VB) and the conduction bands (CB) giving rise to the A and B interband excitonic transitions[2]. Theory predicts the CB spin-ordering in Mo-based TMDs to be different from W-based TMDs [3]. In the former case, the spins of the electrons in the lowest CB and in the highest VB at K/K’ are parallel, giving rise to an optically bright A exciton state while in the latter case they are antiparallel, resulting in a dark A exciton at a lower energy than the bright one (intravalley dark exciton, see left panel in Fig.1). The presence of dark excitons has been revealed indirectly from the observation of anomalous quenching of the PL emission at low temperature in single-layer (1L)-WSe2[4]. Here we use two-colour helicity-resolved pump-probe spectroscopy to directly resolve the intravalley spin-flip process of the photoexcited electrons in the CB of 1L-WS2. Real-time observation of the intravalley spin-flip process in single-layer WS2 On the other hand, when the probe is resonant with the B exciton, the intravalley spin- flip scattering process (grey arrow in left panel in Fig. 1) from upper to lower CB states causes a delayed formation (on a time scale τrise) of the PB signal (blue curve in Fig.1b). We find that at 77 K this process occurs on a sub-ps time scale (i.e. ~ 200 fs). , (201 E Web of Conferences PJ 9) 205 0 UP 2018 5012 https://doi.org/10.1051/e onf /201920 pjc 505012 Fig. 1. (Left panel) Sketch of the band structure of 1L-WS2 around the K point of the Brillouin zone. The pump and probe pulses have the same circular polarization. The pump is resonant with the A exciton while the probe is resonant with either the A (degenerate configuration) or B exciton (non- degenerate configuration). Only the non-degenerate configuration is sketched for sake of clarity. Only excitons in K point are excited because of the valley dependent optical selection rules for circular polarization. The intravalley scattering process (grey arrow) from upper to lower CB state causes the reduction of the absorption of the probe beam by Pauli blocking and results in a delayed formation of the bleaching signal around the B exciton. (Central panel) The red and blue curves are the T/T signal measured in 1L-WS2 at 77K around the A and B excitonic transitions, following excitation of the A transition. For degenerate pump and probe energies, the build-up dynamics is pulse-width limited, while the non-degenerate configuration displays a delayed formation. In the inset, T/T around the B exciton peak is multiplied by 4 to highlight the finite build up time. The grey line is the cross correlation function between the pump and probe pulses. (Right panel) Temperature dependence of the B exciton rise time rise. Fig. 1. (Left panel) Sketch of the band structure of 1L-WS2 around the K point of the Brillouin zone. The pump and probe pulses have the same circular polarization. The pump is resonant with the A exciton while the probe is resonant with either the A (degenerate configuration) or B exciton (non- degenerate configuration). Only the non-degenerate configuration is sketched for sake of clarity. Only excitons in K point are excited because of the valley dependent optical selection rules for circular polarization. Real-time observation of the intravalley spin-flip process in single-layer WS2 2 2 , (201 E Web of Conferences PJ 9) 205 0 UP 2018 5012 https://doi.org/10.1051/e onf /201920 pjc 505012 Fig. 2. (Left panel) Calculated band structure of 1L-WS2. The spin-orbit splitting of the valence band in the K point is in good agreement with the experimental value. In the inset the calculated splitting of the CB (i.e. 26 meV) is reported on an enlarged scale. (Right panel) Temporal evolution of the number of carriers in the upper and lower CB state (respectively K,↑ and K,↓) around the K point after excitation by a 100 fs pump pulse (green curve) centered around the A exciton. Fig. 2. (Left panel) Calculated band structure of 1L-WS2. The spin-orbit splitting of the valence band in the K point is in good agreement with the experimental value. In the inset the calculated splitting of the CB (i.e. 26 meV) is reported on an enlarged scale. (Right panel) Temporal evolution of the number of carriers in the upper and lower CB state (respectively K,↑ and K,↓) around the K point after excitation by a 100 fs pump pulse (green curve) centered around the A exciton. Real-time observation of the intravalley spin-flip process in single-layer WS2 The intravalley scattering process (grey arrow) from upper to lower CB state causes the reduction of the absorption of the probe beam by Pauli blocking and results in a delayed formation of the bleaching signal around the B exciton. (Central panel) The red and blue curves are the T/T signal measured in 1L-WS2 at 77K around the A and B excitonic transitions, following excitation of the A transition. For degenerate pump and probe energies, the build-up dynamics is pulse-width limited, while the non-degenerate configuration displays a delayed formation. In the inset, T/T around the B exciton peak is multiplied by 4 to highlight the finite build up time. The grey line is the cross correlation function between the pump and probe pulses. (Right panel) Temperature dependence of the B exciton rise time rise. Moreover, the strong dependence of τrise on the lattice temperature strongly suggests that this relaxation process is mediated by phonons (right panel of Fig. 1). In order to get more insight into the origin and the dynamics of the measured intravalley relaxation process, we use first-principles calculations based on non-equilibrium many- body perturbation theory [5]. y p y The band structure and the static absorption spectrum of 1L-WS2 are first calculated using density functional theory within local density approximation by taking into account the strong spin-orbit interaction (left panel in Fig. 2). The temporal dynamics is obtained by solving the Kadanoff–Baym equation for the one–body density matrix. In order to simulate our pump-probe experiments, we impose that the photoexcited carriers occupy only the upper CB state of the K valley at time zero, while at later times they can scatter into other electronic states by emitting phonons. y g p The right panel in Fig. 2 reports the temporal dynamics of the occupations of upper and lower CB states. This shows that the upper CB states are quickly depleted by efficient scattering processes mediated by phonons, while the lower ones are progressively filled on a temporal scale close to our experimental value. In conclusion, our results shed light on the intravalley spin relaxation process in 1L-WS2, determining the formation of intravalley dark excitons on a sub-ps timescale. Dark excitons determine the light emission efficiency of 1L-TMDs. For this reason, understanding the formation process of dark excitons is of valuable importance for designing 1L-TMDs based optoelectronic devices such light emitting diodes and polarized photon emitters. References 1. G. Wang, A. Chernikov, M. M. Glazov, T. F. Heinz, X. Marie, T. Amand, and B. Urbaszek, Rev. Mod. Phys. 90, 021001 (2018) 2. T. Cheiwchanchamnangij and W. R. L. Lambrecht, Phys. Rev. B 85, 205302 (2012) 3. K. Kosmider, J. W. Gonzalez and J. Fernandez-Rossier, Phys. Rev. B 88, 245436 (2013). 3. K. Kosmider, J. W. Gonzalez and J. Fernandez-Rossier, Phys. Rev. B 88, 245436 (2013). 4. X.-X. Zhang, Y. You, S. Y. F. Zhao and T. F. Heinz, Phys. Rev. Lett. 115, 257403 (2015). 4. X.-X. Zhang, Y. You, S. Y. F. Zhao and T. F. Heinz, Phys. Rev. Lett. 115, 257403 (2015). 5. A. Molina-Sanchez, D. Sangalli, L. Wirtz and A. Marini, Nano Lett. 17, 4549 (2017) 3 3
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Relationship between Institutional Factors and FDI Flows in Developing Countries: New Evidence from Dynamic Panel Estimation
Economies
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Provided in Cooperation with: MDPI – Multidisciplinary Digital Publishing Institute, Basel Suggested Citation: Kurul, Zühal; Yalta, A. Yasemin (2017) : Relationship between institutional factors and FDI flows in developing countries: New evidence from dynamic panel estimation, Economies, ISSN 2227-7099, MDPI, Basel, Vol. 5, Iss. 2, pp. 1-10, https://doi.org/10.3390/economies5020017 Terms of use: Die Dokumente auf EconStor dürfen zu eigenen wissenschaftlichen Zwecken und zum Privatgebrauch gespeichert und kopiert werden. Documents in EconStor may be saved and copied for your personal and scholarly purposes. Sie dürfen die Dokumente nicht für öffentliche oder kommerzielle Zwecke vervielfältigen, öffentlich ausstellen, öffentlich zugänglich machen, vertreiben oder anderweitig nutzen. You are not to copy documents for public or commercial purposes, to exhibit the documents publicly, to make them publicly available on the internet, or to distribute or otherwise use the documents in public. If the documents have been made available under an Open Content Licence (especially Creative Commons Licences), you may exercise further usage rights as specified in the indicated licence. Sofern die Verfasser die Dokumente unter Open-Content-Lizenzen (insbesondere CC-Lizenzen) zur Verfügung gestellt haben sollten, gelten abweichend von diesen Nutzungsbedingungen die in der dort genannten Lizenz gewährten Nutzungsrechte. https://creativecommons.org/licenses/by/4.0/ https://creativecommons.org Economies Provided in Cooperation with: Kurul, Zühal; Yalta, A. Yasemin Relationship between Institutional Factors and FDI Flows in Developing Countries: New Evidence from Dynamic Panel Estimation Zühal Kurul * and A. Yasemin Yalta Department of Economics, Hacettepe University, Çankaya, Ankara 06800, Turkey; yyalta@hacettepe.edu.tr * Correspondence: zkurul@hacettepe.edu.tr; Tel.: +90-312-297-8650 Academic Editor: Eric Rougier Department of Economics, Hacettepe University, Çankaya, Ankara 06800, Turkey; yyalta@hacettepe.edu.tr * Correspondence: zkurul@hacettepe.edu.tr; Tel.: +90-312-297-8650 Department of Economics, Hacettepe University, Çankaya, Ankara 06800, Turkey; yyalta@hacettepe.edu.tr * Correspondence: zkurul@hacettepe.edu.tr; Tel.: +90-312-297-8650 Academic Editor: Eric Rougier Received: 22 February 2017; Accepted: 23 May 2017; Published: 30 May 2017 * Correspondence: zkurul@hacettepe.edu.tr; Tel.: +90-312-297-8650 Academic Editor: Eric Rougier Received: 22 February 2017; Accepted: 23 May 2017; Published: 30 May 2017 Academic Editor: Eric Rougier Received: 22 February 2017; Accepted: 23 May 2017; Published: 30 May 2017 Abstract: In this paper, we revisit the relation between institutional factors and foreign direct investment (FDI) inflows in developing countries by employing a dynamic panel methodology, which enables us to deal with the persistency of FDI flows and endogeneity issues. We also contribute to the literature by using various measures of institutions to identify which aspects of institutional quality affect FDI in the developing world. Our empirical findings based on 113 developing countries over the period 2002–2012 show evidence that some institutional factors matter more than others in attracting more FDI flows. We also found that the financial crisis in 2008 and 2009 had a negative impact on FDI flows. Keywords: institutions; foreign direct investment (FDI) flows; dynamic panel estimation; developing countries JEL Classification: F21; C23; D73; P48 JEL Classification: F21; C23; D73; P48 Economies 2017, 5, 17; doi:10.3390/economies5020017 economies economies www.mdpi.com/journal/economies 1. Introduction The link between institutions and FDI flows has received considerable attention in recent years. It is well known that foreign investors pay a great deal of attention to the institutional framework of the countries in which they undertake an investment (OECD 2012). Therefore, it is emphasized in the literature that developing countries should try to establish strong and high quality institutions to attract more FDI flows (Daude and Stein 2007). Not surprisingly, there is a growing body of literature on the relation between institutional factors and FDI inflows. Reviewing the existing literature, it is observed that the majority of the studies utilize static panel data estimation techniques with OLS or pooled time series methods, neglecting the dynamic nature of the link between institutions and FDI flows. However, the persistent nature of the FDI flows requires a dynamic panel data analysis. To the best of our knowledge, only Busse and Hefeker (2007) and Daude and Stein (2007) employ the difference GMM method of Arellano and Bond (1991) to explore the relationship between institutions and FDI. However, these studies have limited country coverage and sample periods. Although Okada (2013) and Asiedu (2013) adopt dynamic panel estimation methods as well, they particularly attempt to show the indirect effect of institutions on the relation between FDI and other variables such as financial openness and natural resource abundancy. Therefore, we aim to fill this gap in the literature by empirically examining the linkages between foreign direct investment and institutional factors by using the dynamic panel estimation model of Arellano and Bover (1995) and Blundell and Bond (1998). Aside from empirical methodology, we aim to contribute to the literature in the following ways. First, we consider various dimensions of institutions as the decisions of foreign investors might depend Economies 2017, 5, 17; doi:10.3390/economies5020017 www.mdpi.com/journal/economies 2 of 10 Economies 2017, 5, 17 on different aspects of institutions. For example, in addition to corruption or political regime, investors might consider the regulatory system, the security of property rights, enforcement of law and order, transparency, predictability of government policy, the guarantee of civil liberties, and the political structure of the host country. 2. Literature Review There is a growing body of empirical literature that examines the role of institutions on FDI flows. The literature on this issue can be divided into three strands. One strand of literature focuses mainly on identifying the effects of a specific institutional dimension such as corruption and political regime on FDI. For instance, Wei (2000) shows that corruption has a negative impact on FDI location preferences of multinationals by increasing the cost of doing business and uncertainty. Jensen (2003); Ahlquist (2006) state that more democratic countries attract more FDI than authoritarian countries because democratic regimes tend to reduce political risks of nationalization and expropriation and increase the credibility of the host country for foreign investors. Li and Resnick (2003) contrarily find that democracy in a host country has a negative effect on FDI inflows because of the impact of the provision of a lower cost work force, the repression of labor unions, entry deals, and operation affordance in authoritarian regimes. The second strand of the literature deals with analyzing the importance of different dimensions of institutional quality. Gastanaga et al. (1998) find that low levels of corruption, nationalization risk, and much better contract enforcement lead to an increase in FDI flows. Asiedu (2006) shows that inefficient institutions such as corruption, a lack of the rule of law, and political instability deter FDI inflows. By testing a set of institutional variables, Daude and Stein (2007) also examine which dimensions of the quality of governance institutions affect the investment decisions of foreign investors and find that unpredictable policies, excessive regulatory burden, and a lack of commitment of government discourage FDI inflows. Gani (2007) shows that improvements in control of corruption, political stability, regulatory quality, and effectiveness of government have positive effects on FDI inflows for some Latin American countries. The third strand of the literature explores the effect of a composite institutional indicator, which is constructed by combining different dimensions of institutional variables. For example, Wheeler and Mody (1992) find that a composite index that considers a broad dimension of institutions, such as bureaucratic red tape, corruption, political instability, and the effectiveness of the legal system, does not affect the location decisions of US multinationals. Globerman and Shapiro (2002) and Buchanan et al. 1. Introduction As a result, rather than focusing only on one of the institutional factors like some of the earlier studies did (Wei 2000; Jensen 2003; Ahlquist 2006), we analyze the impacts of different dimensions of institutions in order to identify which aspects of institutional quality affect FDI the most. Undertaking such an approach also allows us to prescribe different policy recommendations based on various institutional measures. Second, we use an extensive data set covering 113 developing countries over the period of 2002–2012. By extending the time period, we take into account the impact of the financial crisis in 2008 on the FDI flows. Furthermore, in our analysis, we include recent discussions regarding the effects of global liquidity and global volatility on FDI flows. The econometric results from our dynamic panel regression model show that control of corruption, government effectiveness, and voice and accountability measures of institutions positively affect FDI flows. However, we did not find any significant effect of the other institutional factors on FDI flows. The rest of the paper is organized as follows. Section 2 provides a brief literature on the link between institutional factors and FDI flows. Section 3 explains the econometric methodology and describes the data. Section 4 presents the econometric findings. Finally, Section 5 concludes by discussing policy implications of our findings. 3. Empirical Methodology Our empirical analysis is based on a panel of 113 developing countries over the period 2000–2012. The dependent variable, FDI flows, is captured by the annual data for the net FDI inflows as a percent of GDP from World Development Indicators. In this study, our baseline model is as follows: In this study, our baseline model is as follows: (1) FDIit = β1FDIi,t−1 + β2INSit + β3Xit + uit FDIit = β1FDIi,t−1 + β2INSit + β3Xit + uit (1) where FDIit represents the ratio of FDI inflows to GDP. We use the ratio of FDI inflows to GDP to control for the scale effects. FDIi,t−1 is the first lag of the dependent variable. INSit shows the vector of institutional indicators of the host country, and Xit is the vector of control variables that potentially affect FDI inflows. We employ a dynamic panel approach to determine the impact of institutions on FDI inflows in developing countries. Modeling FDI with simple OLS regression might lead to several econometric problems. First, it could lead to an autocorrelation problem when we include a lagged dependent variable in the regression. The presence of time-invariant fixed effects in the error term may be correlated with the explanatory variables, and, more seriously, there may be an endogeneity problem between the dependent variable and explanatory variables. Furthermore, the regressor may be correlated with the error term. The endogeneity problem can be solved by adopting an instrumental variable (IV) estimation. However, with weak instruments, the fixed-effects IV estimators are likely to be biased similar to OLS estimators. Instead of IV estimation, we could use the (Arellano and Bond 1991) difference GMM estimator first proposed by Holtz-Eakin et al. (1988). The difference GMM uses first differences of the dependent variable and a regressor to transform the regression in order to remove fixed country-specific effects, and makes the regressors time-invariant. In the difference GMM estimation, the first-differenced lagged dependent variable is also instrumented with its past levels, so the autocorrelation problem can be eliminated. However, the lagged levels of the regressors may sometimes be poor instruments for the first-differenced regressors and this decreases efficiency. In order to increase efficiency in the estimation, the system GMM estimator developed by Arellano and Bover (1995) and Blundell and Bond (1998) can be used. The system GMM estimator creates a system of two equations; while one equation is differenced, the second remains in levels. 2. Literature Review (2012) obtained a composite index using control of corruption, rule of law, regulatory environment, and political stability and concluded that the index of governance infrastructure has a positive effect on FDI flows. Similarly, Buchanan et al. (2012) state that, while institutional quality 3 of 10 Economies 2017, 5, 17 index positively influences FDI flows, it negatively affects the volatility of FDI flows. More recently, Asiedu (2013) found evidence that the FDI risk variable, which consists in contract viability, profit repatriation, and payment delay indicators, does not have a significant effect on the amount of FDI flows. Overall, there is substantial literature linking the quality of institutions with FDI inflows. However, the dynamic relation between institutions and FDI flows has not received enough attention. We address this gap in the literature and empirically focus on the association between institutional factors and FDI flows in the following sections. 3. Empirical Methodology Afterwards, the variables in levels in the second equation are instrumented with their own first differences, and the variables in differences are instrumented with the lags of their own levels (Bover et al. 2001). The soundness of the instruments is assessed by two diagnostic tests. First, the Hansen test is used for over-identifying restrictions. The null hypothesis of this test is that the instruments are uncorrelated with the error term. The second diagnostic test includes first-order and second-order autocorrelation tests (AR 1 and AR 2), which tests serial correlations of the error terms. 4. Data In order to analyze the role of institutions on the FDI flows, we use institutional indicators from World Bank Worldwide Governance Indicators developed by Kaufmann et al. (1999), which is the primary source of empirical research on institutions. Kaufmann et al. (1999) construct this dataset based on wide variety of cross country surveys and polls of experts and by using an unobserved components 4 of 10 Economies 2017, 5, 17 model. These indicators can be categorized in six broad groups, each of which represents a different aspect of institutional quality in a country. These are Control of Corruption, Government Effectiveness, Political Stability and Absence of Violence, Regulatory Quality, Rule of Law, and Voice and Accountability. The unbundling of institutions allow us to examine which of these different dimensions matter for FDI flows in developing countries. p g Control of Corruption measures perceptions of corruption, bribes, illegal activities of bureaucrats, and protection of foreign investors from illegal payments to public officials. Government Effectiveness includes the quality of bureaucracy, the competence of civil servants, the quality of public service provision, the credibility of government’s commitments to policies, and the independence of civil servants from political pressures. Hence, Government Effectiveness is expected to affect foreign investors by reducing the discretionary power of public authorities. Political Stability and Absence of Violence is an indicator of the ability of government to stay in office and measures the risk of removal of government in a violent and illegal way. Political Stability and Absence of Violence eases doing business through stable political systems and induces more FDI. Regulatory Quality includes the perceptions on market-unfriendly policies and the ability of excessive government regulation such as price controls and inadequate bank supervision. Regulatory Quality influences FDI by eliminating intrusion of public power and excessive regulation on the market and unofficial activities. Rule of Law considers the issues such as effectiveness and predictability of judicial system, enforceability of contracts, and perceptions of incidence of crime. By reducing the uncertainty and easing the business activities, rule of Law encourages FDI flows. Finally, Voice and Accountability captures the indicators that are related to the political process, civil rights, and the ability of citizens to control government actions. Voice and Accountability is expected to increase FDI flows by encouraging political reliability, participation in the political system, and promoting democratic institutions. 1 Control variables that affect FDI flows are selected through several studies in the literature on the determinants of FDI such as Fernandez-Arias (1996); Taylor and Sarno (1997); Milesi-Ferretti and Tille (2011); Arbatli (2011); Asiedu (2013); Fratzscher (2012) and Ahmed and Zlate (2014). 4. Data All of these indicators are reported in such a way that they all have mean zero and unit standard deviation and take values between −2.5 and +2.5. The larger values indicate better institutional quality. In our analysis, a set of push and pull factors that captures the common determinants of FDI flows are selected through the previous literature1. As push factors, we use a global liquidity and a global risk measure in order to analyze how important global shocks are for FDI. Much of the recent literature after the global financial crisis has especially focused on the role of global risk and liquidity (Milesi-Ferretti and Tille 2011; Forbes and Warnock 2012). As argued in OECD (2012); Forbes and Warnock (2012), a change in global liquidity due to rapid changes in global leverage or specific crisis events can induce changes in the pattern of capital flows. To measure the global liquidity, we use the weighted average of broad money growth of G7 countries. The data for money growth rates is taken from the World Development Indicators (WDI) database. Global risk in financial markets is another external factor that is included in recent empirical studies. This variable is measured by the implied volatility of S & P 500 index options as proposed by Milesi-Ferretti and Tille (2011), Fratzscher (2012), and Ghosh et al. (2014). The data for global risk measure is obtained from a database of the Bank of International Settlements (BIS). Among pull factors, in order to represent market size, we include GDP per capita, as did Neumayer and Spess (2005) and Bénassy-Quéré et al. (2007); to account for market potential, we use the lagged levels of annual GDP growth rate of host country as argued by Chakrabarti (2001). We consider the change in nominal exchange rates as a driver of FDI flows in order to address the effect of uncertainty resulting from exchange rate volatility. We also include financial development as a pull factor and proxy this variable by the M2 growth rates of countries. To represent the trade-oriented policy of the host country, we use trade openness, as the ratio of the total volume of trade to GDP; to measure capital account openness, we use the Chinn–Ito index. The data for the Chinn–Ito index 5 of 10 Economies 2017, 5, 17 is taken from a paper by Chinn and Ito (2006). 5. Empirical Results Following Equation (1), we consider the relationship between institutions and FDI flows and report the results in Table 1. Table 1 also presents the Hansen test of over identification and serial autocorrelation tests of second order autocorrelation (AR 2) statistics. These tests indicate that the disturbances at levels are uncorrelated. In our estimations, all of the institutional indicators (control of corruption, government effectiveness, political stability and absence of violence, regulatory quality, rule of law, and voice and accountability) are separately analyzed to avoid multicollinearity problems. Our results reveal that the effect of institutions depends on the type of institutional indicator. We find that control of corruption positively and significantly affects FDI inflows indicating that high corruption control serves to reduce FDI. As displayed in Table 1, the measure of government effectiveness is also positively correlated with FDI inflows, suggesting that supportive and less distortionary government policies are important motivators of FDI. Moreover, our results show that voice and accountability positively and significantly influences FDI inflows as a comprehensive indicator of fundamental rights and liberties, the functioning of the political system and a striking figure of country. The remaining three dimensions do not significantly affect FDI inflows. Therefore, developing countries that are deficient in control of corruption, government effectiveness, and voice and accountability, may attract less FDI. In our model, we also consider some pull and push factors. In all regressions, the statistically significant positive coefficients of lagged values of FDI flows show that FDI flows are influenced from the previous year's FDI. Test results also show that the global liquidity measure is insignificant. This finding makes sense because FDI flows are known to be more stable when compared to portfolio investment such that the changes in global liquidity conditions might be less potent on FDI flows, as argued in Milesi-Ferretti and Tille (2011). However, the coefficient of the global risk measure based on the VIX index is negative and significant in most of the specifications. This result supports that an increase in global risk in financial markets leads foreign investors to reduce their investments. It is known that foreign investors tend to be more attentive to cash balances when there are global financial fluctuations, and they prefer to wait for stabilization of the markets. This finding is also consistent with the studies of Milesi-Ferretti and Tille (2011), Forbes and Warnock (2012), and Ghosh et al. (2014). 2 Details for the variables and data sources are given in the Appendix A Section A2 and Section A3. 4. Data We also control for natural resource rents to identify the potential impact of natural resource abundancy. Finally, to reflect the impact of financial crisis on the relationship between FDI flows and institutions, we use a dummy variable that distinguishes the relation in crisis years 2008 and 2009. All data for pull factors, except the Chinn–Ito index, are taken from the WDI database2 5. Empirical Results ( ) ( ) ( ) On the pull side, the only variable that is positively and significantly influential on FDI flows is trade openness. This is because of the large consumer demand in the foreign markets or widened export-based production facilities in the host country. Our result for trade openness is also consistent with the evidences of Singh and Jun (1995), Chakrabarti (2001), and Asiedu (2002). When we add a financial crisis dummy for the years 2008 and 2009, it is seen that global financial crisis has a significant negative effect on the level of FDI flows, and this is also viable entirely in the trends of FDI flows in the period of 2008–2009. This result seems to be consistent with that of Ahmed and Zlate (2014), which demonstrate a decline in total net capital inflows in crisis years. However, we do not find that exchange rates, financial development, or capital account openness have a significant effect on FDI flows. Although the impact of capital account openness on FDI is ambiguous in the literature, we find evidence similar to that of Carlson and Hernández (2002) and Hernandez et al. (2001). We finally control for natural resource abundancy as another driver of FDI inflows, and we find a negative but insignificant relationship similar to Asiedu (2013). 6 of 10 Economies 2017, 5, 17 Table 1. FDI Flows and Different Dimensions of Institutions—Results of System GMM. Table 1. FDI Flows and Different Dimensions of Institutions—Results of System GMM. Table 1. FDI Flows and Different Dimensions of Institutions—Results of System GMM. Standard errors are given in the parenthesis. *, **, *** represent 10%, 5%, and 1% significance levels, respectively. For AR (1), H0 = there is no autocorrelation; for AR (2), it is defined that H0 = there is an autocorrelation. For the Hansen test, the null hypothesis is defined such that H0 = all instruments are exogenous as a group. Standard errors are given in the parenthesis. *, **, *** represent 10%, 5%, and 1% significance levels, respectively. For A H0 = there is an autocorrelation. For the Hansen test, the null hypothesis is defined such that H0 = all instruments are 5. Empirical Results Variables Control of Corruption Government Effectiveness Political Stability and Absence of Violence Regulatory Quality Rule of Law Voice and Accountability FDI (t−1) 0.479 *** 0.480 *** 0.475 *** 0.479 *** 0.479 *** 0.477 *** (0.083) (0.083) (0.084) (0.090) (0.084) (0.082) GL −0.109 −0.110 −0.090 −0.086 −0.098 −0.120 (0.185) (0.184) (0.178) (0.169) (0.179) (0.187) GR −0.629 *** −0.694 *** −0.369 * −0.325 −0.479 ** −0.791 *** (0.240) (0.261) (0.216) (0.336) (0.219) (0.271) Lagged GDPGRW 0.189 0.189 0.187 0.189 0.188 0.191 (0.180) (0.180) (0.179) (0.183) (0.180) (0.190) GDPPC 0.000 0.000 0.000 0.000 0.000 0.000 (0.000) (0.000) (0.000) (0.000) (0.000) (0.000) EXC −0.087 −0.127 −0.109 −0.193 −0.079 −0.182 (1.262) (1.259) (1.261) (1.278) (1.269) (1.253) M2GRW 0.002 0.002 0.001 −0.000 0.001 0.003 (0.016) (0.016) (0.016) (0.017) (0.017) (0.015) TRADE 0.034 *** 0.034 *** 0.036 *** 0.036 *** 0.035 *** 0.035 *** (0.009) (0.009) (0.012) (0.011) (0.010) (0.009) KAOPEN 0.881 0.884 1.040 1.054 0.937 0.579 (0.897) (0.899) (0.945) (1.229) (0.958) (0.879) NR 0.037 0.036 0.025 0.024 0.0314 0.040 (0.025) (0.024) (0.023) (0.021) (0.022) (0.026) Institutions 3.140 ** 3.162 ** 0.204 −0.074 1.431 3.131 *** (1.454) (1.574) (1.741) (2.777) (1.706) (1.153) DUM_0809 −1.112 * −1.122 * −1.211 * −1.457 ** −1.180 * −1.030 * (0.642) (0.661) (0.663) (0.736) (0.648) (0.622) AR (1) 0.003 0.003 0.003 0.003 0.002 0.002 AR (2) 0.315 0.312 0.312 0.312 0.314 0.314 Hansen Test 0.139 0.133 0.124 0.107 0.131 0.132 andard errors are given in the parenthesis. *, **, *** represent 10%, 5%, and 1% significance levels, respectively. For AR (1), H0 = there is no autocorrelation; for AR (2), it is defined tha 0 = there is an autocorrelation For the Hansen test, the null hypothesis is defined such that H0 = all instruments are exogenous as a group Economies 2017, 5, 17 7 of 10 7 of 10 6. Conclusions What role institutional quality plays and which institutional factors drive FDI flows are important policy questions in developing countries. This paper revisits the association between different institutional factors and FDI flows for a panel of 113 developing countries over the period of 2002–2012. We contribute to the literature by employing a dynamic panel data methodology, by extending the time period to include the global financial crisis in 2008–2009 and by using different aspects of institutions. Our findings reveal that not all indicators of institutional quality have a significant effect on foreign investors’ decisions in developing countries. We find that control of corruption, government effectiveness, and the voice and accountability have significant positive impacts on FDI flows. This finding indicates that reducing corruption and the excessive burden of bureaucracy, improvements in the political system, and transparency and accountability in politicians lead to an increase in FDI inflows and encourage multinationals to bring capital into a developing country. Furthermore, exercising policies to enhance the participation of citizens in a political system, e.g., by selecting their government, as well as the protection of civil rights, might increase FDI flows. These results lead us to conclude that countries that reflect weaknesses in control of corruption, effective government, transparency in government policies, accountable bureaucracy, and trust and participation in the political system should start to reform their institutional polices and arrangements to attract more FDI flows. Improving institutional factors for a favorable investment environment should be an important guideline for policy in developing countries. Author Contributions: The first and corresponding author, Zühal Kurul contributed the sections of literature review, data, empirical methodology and empirical results. The second author A. Yasemin Yalta contributed the section of introduction and conclusion of the manuscript. She also supervised the conception of the work and the interpretation of the empirical results. Conflicts of Interest: The authors declare no conflicts of interest. A3. Definitions of Institutional Factors Control of corruption: Control of corruption captures perceptions of the extent to which public power is exercised for private gain, including both petty and grand forms of corruption, as well as “capture” of the state by elites and private interests. Government effectiveness: Government effectiveness captures perceptions of the quality of public services, the quality of the civil service and the degree of its independence from political pressures, the quality of policy formulation and implementation, and the credibility of the government’s commitment to such policies. Regulatory Quality: Regulatory quality captures perceptions of the ability of the government to formulate and implement sound policies and regulations that permit and promote private sector development. Rule of Law: Rule of law captures perceptions of the extent to which agents have confidence in and abide by the rules of society, and in particular the quality of contract enforcement, property rights, the police, and the courts, as well as the likelihood of crime and violence. Political Stability and Absence of Violence: Political Stability and Absence of Violence/Terrorism measures perceptions of the likelihood of political instability and/or politically motivated violence. Voice and Accountability: Voice and accountability captures perceptions of the extent to which a country's citizens are able to participate in selecting their government, as well as freedom of expression, freedom of association, and a free press. A1. 113 Developing Countries Albania, Algeria, Angola, Antigua and Barbuda, Argentina, Armenia, Azerbaijan, Bahamas, Bangladesh, Belarus, Belize, Benin, Bhutan, Bolivia, Bosnia and Herzegovina, Botswana, Brazil, Bulgaria, Burkina Faso, Burundi, Cabo Verde, Cambodia, Cameroon, Central African Republic, Chad, Chile, China, Colombia, Comoros, Congo, Dem. Rep., Congo, Rep., Costa Rica, Cote d'Ivoire, Croatia, Dominica, Dominican Republic, Ecuador, Egypt, Arab Rep., El Salvador, Equatorial Guinea, Eritrea, Fiji, Gabon, Georgia, Ghana, Grenada, Guatemala, Guinea, Haiti, Honduras, India, Indonesia, Jordan, Kazakhstan, Kenya, Korea, Rep., Lao PDR, Latvia, Lebanon, Lesotho, Liberia, Libya, Lithuania, Macedonia FYR, Madagascar, Malawi, Malaysia, Maldives, Mali, Mauritius, Mexico, Moldova, Mongolia, Morocco, Mozambique, Namibia, Nepal, Nicaragua, Niger, Nigeria, Pakistan, Panama, Paraguay, Peru, Philippines, Romania, Russian Federation, Samoa, Senegal, Seychelles, Sierra Leone, Solomon Islands, South Africa, Sri Lanka, St. Kitts and Nevis, St. Lucia, St. Vincent and the Grenadines, Sudan, Swaziland, Tajikistan, Tanzania, Thailand, Togo, Tonga, Trinidad and Tobago, Tunisia, Turkey, Uganda, Ukraine, Uruguay, Venezuela RB, Vietnam, Zambia. 8 of 10 Economies 2017, 5, 17 A2. Definitions of Variables and Data Sources Variable Definition Source FDI_GDP FDI as a percentage of GDP World Development Indicators GL Global liquidity indicator that measures as the weighted averages of M2 growth rates of G7 countries World Development Indicators GR Global Volatility index that measures the implied volatility of S&P 500 index options. Bank of International Settlements GDPGRW The growth rate of GDP World Development Indicators GDPPC GDP per capita World Development Indicators EXC The logarithmic change in the real exchange rate World Development Indicators M2GRW The rate of growth of M2 World Development Indicators TRADE The sum of imports and exports as a percentage of GDP World Development Indicators KAOPEN Chinn–Ito index of capital account openness Chinn & Ito Database NR Natural resource exports minus net production costs as a percentage of GDP World Development Indicators A2. Definitions of Variables and Data Sources atli, Elif Ceren. 2011. 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The Walking Behaviour of Pedestrian Social Groups and Its Impact on Crowd Dynamics
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Introduction basically unknown how moving group members interact with each other, with other pedestrians and with other groups. It also needs to be studied how such groups organize in space and how these spatial patterns affect the crowd dynamics. This is expected to be important for the planning of pedestrian facilities, mass events and evacuation concepts. The study of human crowd dynamics has recently found great interest in many research fields [1,2,3,4,5]. In order to develop reliable prediction models for the design of urban infrastructures, traffic management or crowd safety during mass events or evacuation processes, it is necessary to understand the local interaction laws underlying collective crowd dynamics. We note that the term ‘group’ is used here in its sociological sense [18], that is, not only referring to several proximate pedestrians that happen to walk close to each other, but to individuals who have social ties and intentionally walk together, such as friends or family members. In particular, the duration of the interaction and the communicative setting distinguish from an occasional agglomerate. While a lot is known about the ‘physics’ of crowd motion, such as the organization emerging around bottlenecks [6,7], the segregation of opposite flows in pedestrian counterstreams [8,9,10], or the turbulent movement in extremely dense crowds [11,12], it is surprising that social interactions among pedestrians in crowd have been largely neglected. Indeed, the great majority of existing studies investigated a crowd as a collection of isolated individuals, each having an own desired speed and direction of motion, see e.g. Refs. [9,10,13,14]. In practice, however, it turns out that the majority of pedestrians actually do not walk alone, but in groups [15,16,17]. As we will show in this article, up to 70% of observed pedestrians in a commercial street are walking in group. Early observations have shown that groups composed of two to four members are the most frequent, while groups of size five and larger are rare. In addition, group sizes are distributed according to a Poisson distribution [17]. In this work, we analyze the organization of pedestrian social groups and their impact on the complex dynamics of crowd behavior. For this, we collected empirical data of the motion of pedestrian group by means of video recordings of public areas. Observations were made under low and moderate density conditions, called population A and B, respectively. 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. Funding: This work was supported by the ANR-08-SYSC-015. Mehdi Moussaid is supported by a jointly financed doctoral-engineer fellowship from ETH Zurich and the CNRS. 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: moussaid@cict.fr Abstract Human crowd motion is mainly driven by self-organized processes based on local interactions among pedestrians. While most studies of crowd behaviour consider only interactions among isolated individuals, it turns out that up to 70% of people in a crowd are actually moving in groups, such as friends, couples, or families walking together. These groups constitute medium-scale aggregated structures and their impact on crowd dynamics is still largely unknown. In this work, we analyze the motion of approximately 1500 pedestrian groups under natural condition, and show that social interactions among group members generate typical group walking patterns that influence crowd dynamics. At low density, group members tend to walk side by side, forming a line perpendicular to the walking direction. As the density increases, however, the linear walking formation is bent forward, turning it into a V-like pattern. These spatial patterns can be well described by a model based on social communication between group members. We show that the V-like walking pattern facilitates social interactions within the group, but reduces the flow because of its ‘‘non-aerodynamic’’ shape. Therefore, when crowd density increases, the group organization results from a trade-off between walking faster and facilitating social exchange. These insights demonstrate that crowd dynamics is not only determined by physical constraints induced by other pedestrians and the environment, but also significantly by communicative, social interactions among individuals. Citation: Moussaı¨d M, Perozo N, Garnier S, Helbing D, Theraulaz G (2010) The Walking Behaviour of Pedestrian Social Groups and Its Impact on Crowd Dynamics. PLoS ONE 5(4): e10047. doi:10.1371/journal.pone.0010047 Editor: Giuseppe Chirico, University of Milano-Bicocca, Italy Received October 20, 2009; Accepted March 18, 2010; Published April 7, 2010 C i ht  2010 M id l Thi i i l di ib d d h f h C i C A ib i Li hi h i Perozo N, Garnier S, Helbing D, Theraulaz G (2010) The Walking Behaviour of Pedestrian Social Groups and Its Impact on Crowd : e10047. doi:10.1371/journal.pone.0010047 Citation: Moussaı¨d M, Perozo N, Garnier S, Helbing D, Theraulaz G (2010) The Walking Behaviour of Pedestrian Social Groups and Its Impact on Crowd Dynamics. PLoS ONE 5(4): e10047. doi:10.1371/journal.pone.0010047 Editor: Giuseppe Chirico, University of Milano-Bicocca, Italy Received October 20, 2009; Accepted March 18, 2010; Published April 7, 2010 Copyright:  2010 Moussaid et al. oussaı¨d1,2,3*, Niriaska Perozo1,4, Simon Garnier1, Dirk Helbing2,5, Guy Theraulaz1,3 Mehdi Moussaı¨d1,2,3*, Niriaska Perozo1,4, Simon Garnier1, Dirk Helbing2,5, Guy Theraulaz1,3 1 Universite´ de Toulouse Paul Sabatier, Centre de Recherches sur la Cognition Animale, Toulouse, France, 2 ETH Zurich, Swiss Federal Institute of Technology, Chair of Sociology, Zurich, Switzerland, 3 CNRS, Centre de Recherches sur la Cognition Animale, Toulouse, France, 4 Unidad de Investigacio´n en Inteligencia Artificial, Universidad Centroccidental Lisandro Alvarado, Barquisimeto, Venezuela, 5 Santa Fe Institute, Santa Fe, New Mexico, United States of America PLoS ONE | www.plosone.org April 2010 | Volume 5 | Issue 4 | e10047 Empirical observations According to our empirical analysis, the proportion of pedestrians belonging to a group is 55% in population A and 70% in population B, i.e. higher than the proportion of pedestrians walking alone. As shown in figure 1, the size of pedestrian groups in population A follows a zero-truncated Poisson distribution (p= 0.06; on the basis of x2-test), in agreement with previous observations [15,19]. In population B, the same tendency is observed, but the proportion of single pedestrians is lower than a Poisson distribution would predict, while the proportion of groups of size 2 is greater than expected (p,0.01). This difference between populations A and B is probably related to the environments in which the observations were made: While population A was observed during the afternoon of a working day, population B was observed on a Saturday in a popular commercial walkway, where one expects a higher tendency for people to have a leisure walk with friends. Effects of the social environment have also been observed in the past [15,19], namely the higher frequency of groups in leisure areas such as shopping centres or public beaches. Past studies have suggested that the observed size distribution could be explained by assuming that individuals would independently join and leave a group with a typical probability per unit of time, which implies that the rate of losing a member is proportional to the group size. According to analytical calculations, this mechanism can generate the observed distributions [15]. Figure 2. Effects of group size on walking speed. Average walking speed as a function of group size at low density (light grey) and moderate density (dark grey). Error bars indicate the standard error of the mean value. The fit curves are y = 20.04x+1.26 for population A and y = 20.08x+1.24 for population B. doi:10.1371/journal.pone.0010047.g002 change with increasing density (see figure S1 of the supporting information). For this, we measured the average angle aij and distance dij between pedestrians i and j, where i and j belong to the same group and j is i’s closest neighbour on the right-hand side, as sketched in figure 3. Numerical measurements for each group size and density level are provided in table 1. On the basis of the average angle and distance values for all pairs of pedestrian (i, j), it is possible to reconstruct and visualize the observed patterns of spatial organization, as shown in figure 4. Introduction We analyzed the behaviour of NA = 260 groups in population A and NB = 1093 groups in population B composed of two to four members (see Material & Methods). Relying on our observations, we developed an individual-based model of pedestrian behaviour. The model describes how an individual interacts with other group members and with outgroup pedestrians. By means of numerical simula- tions, we show that the model predicts the emergence of the To our knowledge, however, the characteristics of the motion of pedestrian groups have not been empirically studied so far. It is PLoS ONE | www.plosone.org 1 April 2010 | Volume 5 | Issue 4 | e10047 Group Behavior in Human Crowds Figure 2. Effects of group size on walking speed. Average walking speed as a function of group size at low density (light grey) and moderate density (dark grey). Error bars indicate the standard error of the mean value. The fit curves are y = 20.04x+1.26 for population A and y = 20.08x+1.24 for population B. doi:10.1371/journal.pone.0010047.g002 empirically observed collective walking patterns well, and that pedestrian groups constitute a crucial component of the organi- zation of human crowds. Empirical observations Next, we have measured the average walking speed of observed pedestrians (figure 2). The speed of pedestrians is clearly dependent on the density level. At low density (population A), people walk faster than at higher density (population B). This is in agreement with previous empirical and theoretical studies of pedestrian traffic [20,21,22]. A new observation is that, in addition, pedestrian walking speeds decrease linearly with growing group size. Remarkably, the density level does not significantly affect the slope of the group-size- related speed decrease (ANCOVA, p = 0.19, with y = 20.04x+1.26 in population A and y = 20.08x+1.24 in population B). At low density (population A), we observed that group members walked in a horizontal formation, where each pedestrian had his/ her partners on the sides, at an angle of +90u to the walking direction. A series of student t-tests revealed that the angle aij was not different from 90u for groups of size two (p12.0.5), three (p12 = 0.14; p23.0.5), and four (p12 = 0.13; p23.0.5; p34 = 0.47). This configuration facilitates social interactions within the groups because each member can easily communicate with his partners without turning the back to any of them. We then investigated the spatial organisation of walking pedestrian groups to find out whether there are any specific patterns of spatial group organization, and how such patterns may At higher density levels (population B), the available space around the group is reduced. Group members can no longer maintain the same linear organization without interfering with Figure 1. Observed group size distribution in populations A and B. The light grey curve indicates the zero-truncated Poisson fit (Ni~e{l li i! 1{e{l ð Þ) with l~0:83 and l~1:11 for populations A and B, respectively. doi:10.1371/journal.pone.0010047.g001 PLoS ONE | www.plosone.org Figure 1. Observed group size distribution in populations A and B. The light grey curve indicates the zero-truncated Poisson fit (Ni~e{l li i! 1{e{l ð Þ) with l~0:83 and l~1:11 for populations A and B, respectively. doi:10.1371/journal.pone.0010047.g001 Figure 3. Illustration of the measurement method. We define aij and dij as the angle and distance between pedestrians i and j, where i and j belong to the same group and j is i’s closest neighbour on the right-hand side. doi:10.1371/journal.pone.0010047.g003 Figure 3. Illustration of the measurement method. Empirical observations We define aij and dij as the angle and distance between pedestrians i and j, where i and j belong to the same group and j is i’s closest neighbour on the right-hand side. doi:10.1371/journal.pone.0010047.g003 Figure 1. Observed group size distribution in populations A and B. The light grey curve indicates the zero-truncated Poisson fit (Ni~e{l li i! 1{e{l ð Þ) with l~0:83 and l~1:11 for populations A and B, respectively. doi:10.1371/journal.pone.0010047.g001 Figure 3. Illustration of the measurement method. We define aij and dij as the angle and distance between pedestrians i and j, where i and j belong to the same group and j is i’s closest neighbour on the right-hand side. doi:10.1371/journal.pone.0010047.g003 April 2010 | Volume 5 | Issue 4 | e10047 April 2010 | Volume 5 | Issue 4 | e10047 2 Group Behavior in Human Crowds Table 1. Average angle and distance values between group members for each group size and density level. Population A Population B aij(deg) dij (m) aij(deg) dij (m) Size = 2 p1p2 89.8 (+1.12) 0.78 (+0.02) 90.3 (+0.80) 0.54 (+0.01) Size = 3 p1p2 97.8 (+5.14) 0.79 (+0.05) 107.9 (+2.84) 0.55 (+0.01) p2p3 87.1 (+4.46) 0.81 (+0.10) 70.6 (+2.55) 0.62 (+0.04) Size = 4 p1p2 99.2 (+6.33) 0.87 (+0.06) 102.3 (+5.85) 0.67 (+0.02) p2p3 87.7 (+6.54) 0.93 (+0.09) 86.0 (+4.71) 0.66 (+0.02) p3p4 85.4 (+5.01) 0.80 (+0.05) 76.6 (+5.09) 0.64 (+0.03) Values between brackets indicate the standard error of the mean. doi:10.1371/journal.pone.0010047.t001 Values between brackets indicate the standard error of the mean. doi:10.1371/journal.pone.0010047.t001 like formation (a series of t-tests confirms that a12 is greater than 90u with a value of p.0.5, a23 is not different from 90u with p = 0.21, and a34 is smaller than 90u with a value of p.0.5). Therefore, the horizontal walking formation observed at low density is bent when the density level increases, allowing the group to occupy a smaller area. However, it is surprising that the bending is forward in walking direction, not backward as expected for a flexible structure moving against an opposite flow. This suggests that this structure is actively created and maintained in order to support certain functions (e.g. better communication). out-group pedestrians. As shown in table 1, the average distances between group members was, in fact, reduced. Mathematical model interactions between group members, and V! i is the velocity vector of pedestrian i. The related deceleration is assumed to be proportional to the head rotation ai. At the same time, pedestrian i keeps a certain distance to the group’s center of mass. According to our observations, the average to the center of mass increases with group size. Therefore, we define a second acceleration term To better understand the above empirical results, we extend an existing model of pedestrian behavior to include social interactions among people walking in groups. For this, we rely on the experimental specification of the social force model, that has been experimentally calibrated and validated in a previous work [9]. The basic modelling concept suggests that the motion of a pedestrian i can be described by the combination of a driving force f!0 i that reflects a pedestrian’s motivation to move in a given direction at a certain desired speed, a repulsive force f! ij describing the effects of interactions with other isolated pedestrians j, and f!wall i reflecting the repulsive effects of boundaries such as walls or obstacles in streets (see Material & Methods for the mathematical specification of these interactions forces). !group f!att i ~qAb2U ! i, where b2 is the strength of the attraction effects and U ! i is the unit vector pointing from pedestrian i to the center of mass. Furthermore qA = 1 if the distance between pedestrian i and the group’s centre of mass exceeds a threshold value, otherwise qA = 0. According to the data collected under low density conditions, the threshold value can N{1 ð Þ In this section, we formulate a new interaction term f!group i describing the response of pedestrian i to other group members. Therefore, the complete equation of motion reads be approximated as N 1 ð Þ 2 meters. be approximated as N 1 ð Þ 2 meters. Finally, we add a repulsion effect so that group members do not overlap each other, which is simply defined as d v! i dt ~ f!0 i z f!wall i z X j f! ijz f!group i : f!rep i ~ X k qRb3 W ! ik: We postulate that the observed patterns of group organization result from the desire of their respective members to communicate with each other. Simulation results Computer simulations of the above model were performed in a way reflecting the empirical conditions of populations A and B (see Material & Methods). As for the observed data, we measured the average angle and distance between each pair of pedestrians, and studied the related pattern of organization. Simulated groups form collective walking patterns that match the empirical ones very well (see figure 4). In particular, a series of Student t-tests reveals no significant difference between the observed angle distributions and the predicted ones (see the table S1 in Supporting information). The spatial pattern of the group is mainly influenced by parameter b1, representing the strength of the social interactions between group members (figure 6). When setting b1 = 0, group members only try to stick together with no communication rule, and tend to form an ‘‘aerodynamic’’ inverse V-like shape. In contrast, for the realistic value b1 = 4, groups form the observed forwardly directed V-like pattern, which, however, affects the overall walking speed of the crowd. In our computer simulations, group members turn their gazing direction to see their partners. To do so, the gazing direction vector H ! i is rotated by an angle ai, so that point ci is included in the vision field of pedestrian i (as sketched in figure 5). However, the greater ai, the less comfortable is the turning for walking. Therefore, we assume that pedestrian i adjusts its position to reduce the head rotation ai. This is modeled by the acceleration term f!vis i ~{b1aiV! i, where b1 is a model parameter describing the strength of the social Figure 5. Illustration of the model variables. a) H ! i is the gazing direction vector of pedestrian i. The dashed lines represent the borders of the visual field. b) Pedestrian i rotates his head direction by an angle a, so that the focus point ci is included in the vision field. doi:10.1371/journal.pone.0010047.g005 In accordance with empirical results, the model predicts a linear decrease of the walking speeds with increasing group size, with a similar slope for both density levels. An ANCOVA test delivers a p-value of 0.071 thereby accepting the hypothesis that the slopes are not different, with y = 20.05x+1.3 at low density and y = 20.07x+1.2 at moderate density. Figure 5. Illustration of the model variables. a) H ! i is the gazing direction vector of pedestrian i. Mathematical model Therefore, individuals continuously adjust their position to facilitate verbal exchange, while trying to avoid collisions with in-group members and out-group pedestrians. In particular, it has been shown that the gaze direction and eye contact are essential features of group communication, as it helps to get a feedback about the other persons’ reactions [23,24,25]. Accordingly, we introduce a vision field as an important component of our pedestrian simulation model. ! Here, W ! ik is the unit vector pointing from pedestrian i to the group member k, and b3 is the repulsion strength. Moreover, qR = 1 if pedestrians i and k overlap each other (when the distance dik is smaller than a threshold value do, that is one body diameter plus some safety distance), otherwise qR = 0.!group Here, W ! ik is the unit vector pointing from pedestrian i to the group member k, and b3 is the repulsion strength. Moreover, qR = 1 if pedestrians i and k overlap each other (when the distance dik is smaller than a threshold value do, that is one body diameter plus some safety distance), otherwise qR = 0.!group In summary, the social interaction term f!group i is defined as: is defined as: f!group i ~ f!vis i z f!att i z f!rep i : In a group of size N, we define a gazing direction vector H ! i for each of its members i. The angle of vision of pedestrian i is w degrees to the left and to the right of the gazing direction. In addition, we define the point ci as the centre of mass of all other group members walking with pedestrian i (figure 5). Simulation results The dashed lines represent the borders of the visual field. b) Pedestrian i rotates his head direction by an angle a, so that the focus point ci is included in the vision field. doi:10.1371/journal.pone.0010047.g005 Empirical observations Moreover, the configuration of the group changed: In groups of size 3, we observed that the middle pedestrian (p2) tended to stand back, while the pedestrians p1 and p3 got closer to each other. This generated a ‘V’-like formation, where the angle a12 was greater than 90u (108u+3; a unilateral t-test supports the difference from 90u with a value of p.0.5) and angle a23 is lower than 90u (71u+2; p.0.5 by unilateral t-test). In the same way, for groups of size 4, pedestrians p2 and p3 tend to move back, leading to a ‘U’- Figure 4. Average patterns of organization. The positions of pedestrians are reconstructed from the empirical angle and distance values provided in table 1 (dark grey), and from simulation results (light grey). The best fit parameters were obtained through a calibration process and amount to b1 = 4; b2 = 3; b3 = 1; do = 0.8 m; w = 90u. doi:10.1371/journal.pone.0010047.g004 Figure 4. Average patterns of organization. The positions of pedestrians are reconstructed from the empirical angle and distance values provided in table 1 (dark grey), and from simulation results (light grey). The best fit parameters were obtained through a calibration process and amount to b1 = 4; b2 = 3; b3 = 1; do = 0.8 m; w = 90u. doi:10.1371/journal.pone.0010047.g004 April 2010 | Volume 5 | Issue 4 | e10047 PLoS ONE | www.plosone.org 3 Group Behavior in Human Crowds Discussion This would require that each group member wanted to communicate with all the others at the same time. Instead, it expected that large groups (such as tourists or hiking groups) would typically split up. The most plausible explanation for group splitting is that, when group members are too far away from each other to communicate, they only consider those in the immediate surrounding. Consequently, clusters of two to four people would emerge within the group. In our model, this could be implemented by specifying the focus point ci of pedestrian i not as the centre of mass of all other group members, but only a few of them. doi:10.1371/journal.pone.0010047.g006 Despite past observations revealing the existence of groups in pedestrian crowds, nothing was known about the spatial organiza- tion of moving groups and their impact on the overall crowd dynamics. Combining empirical observations with a properly extended interaction model, we have shown how social interactions among group members generate a typical group organization. In addition, one may expect a leader effect in pedestrian groups. For example, it is known that the distribution of spoken contributions among group members is not equal during a conversation. It rather follows a Poisson distribution, where a few members speak most of the time, while the others listen [29,30]. Therefore, it is likely that pedestrians who talk more would end up in the middle of the group and the listeners would walk on the sides. In the same way, large groups would probably split up into subgroups around those who talk most. It will be interesting to test this hypothesis experimentally in the future. Our empirical observations reveal that much of pedestrian traffic is actually made up of groups. In our data, only one third of observed pedestrians were walking alone. Furthermore, it turns out that pedestrian groups have an important impact on the overall traffic efficiency. This underlines the necessity to consider groups in futur studies of pedestrian dynamics. In summary, social interactions are a crucial aspect of the organization of human crowds, which should to be taken into account in future studies of crowd behavior. We found that typical group walking patterns emerge from local interactions among group members. At low density, group members tend to walk side-by-side, forming a line perpendicular to the walking direction, thereby occupying a large area in the street. Ethics statement No ethics statement is required for this work. Video recordings of pedestrian crowds were made in public areas and the data were analyzed anonymously. Discussion The most plausible explanation for group splitting is that, when group members are too far away from each other to communicate, they only consider those in the immediate surrounding. Consequently, clusters of two to four people would emerge within the group. In our model, this could be implemented by specifying the focus point ci of pedestrian i not as the centre of mass of all other group members, but only a few of them. close to a situation with isolated individuals only (compare the dashed and dark grey curves in figure 6). In contrast for b1 = 4, the value determined from our empirical results, the speed is reduced by an average of 17% (see light grey curve). Therefore, two conflicting tendencies are involved: to walk fast and efficiently at minimum ‘friction’ (generating an inverse ‘V’-like configuration), and to have social interactions with group members (supporting a ‘V’-like configuration). At very low density, both tendencies are compatible, as pedestrians can walk side by side at a speed close to the desired one. At moderate densities, however, it appears that the social interactions are given a greater importance, supporting a V and U-like configuration, as empirically observed. However, it could happen that, when the density reaches very high levels, the physical constraints would prevail over the social preferences, and group members would start walking one behind another, forming a ‘river-like’ following pattern, as reported by Helbing et al. [28]. Figure 6. Simulation results for pedestrian groups with and without communication-enhancing interactions. (a) Speed-den- sity curves showing the impact of group organization on traffic efficiency. For b1 = 0, group members are attracted by the group’s centre of mass only letting them stay together. This creates an inverse V- shaped configuration. For b1 = 4, the value determined from our empirical observations, group members adapt their position to see the other group members, creating a V-shaped configuration. The dashed curve corresponds to simulations with isolated pedestrians only (no groups). (b) Illustration of typical group patterns for b1 = 0 and b1 = 4 at a density of 0.25 ped/m2. The simulation parameters are the same as in figure 4. One may also ask how groups with more than four members would organise. It is, in fact, unlikely that a group of ten people would still walk side by side. Discussion Hence, when the local density level increases, the group needs to adapt to the reduced availability of space. This is done by the formation of ‘V’-like or ‘U’-like walking patterns in groups with three or four members, respectively. As shown by numerical simulations, these configurations are emergent patterns resulting from the tendency of each pedestrian to find a comfortable walking position supporting communication with the other group members. PLoS ONE | www.plosone.org Discussion When studying crowd dynamics, the majority of previous publications have neglected the influence of pedestrians groups. PLoS ONE | www.plosone.org PLoS ONE | www.plosone.org April 2010 | Volume 5 | Issue 4 | e10047 April 2010 | Volume 5 | Issue 4 | e10047 4 Group Behavior in Human Crowds Figure 6. Simulation results for pedestrian groups with and without communication-enhancing interactions. (a) Speed-den- sity curves showing the impact of group organization on traffic efficiency. For b1 = 0, group members are attracted by the group’s centre of mass only letting them stay together. This creates an inverse V- shaped configuration. For b1 = 4, the value determined from our empirical observations, group members adapt their position to see the other group members, creating a V-shaped configuration. The dashed curve corresponds to simulations with isolated pedestrians only (no groups). (b) Illustration of typical group patterns for b1 = 0 and b1 = 4 at a density of 0.25 ped/m2. The simulation parameters are the same as in figure 4. doi:10.1371/journal.pone.0010047.g006 close to a situation with isolated individuals only (compare the dashed and dark grey curves in figure 6). In contrast for b1 = 4, the value determined from our empirical results, the speed is reduced by an average of 17% (see light grey curve). Therefore, two conflicting tendencies are involved: to walk fast and efficiently at minimum ‘friction’ (generating an inverse ‘V’-like configuration), and to have social interactions with group members (supporting a ‘V’-like configuration). At very low density, both tendencies are compatible, as pedestrians can walk side by side at a speed close to the desired one. At moderate densities, however, it appears that the social interactions are given a greater importance, supporting a V and U-like configuration, as empirically observed. However, it could happen that, when the density reaches very high levels, the physical constraints would prevail over the social preferences, and group members would start walking one behind another, forming a ‘river-like’ following pattern, as reported by Helbing et al. [28]. One may also ask how groups with more than four members would organise. It is, in fact, unlikely that a group of ten people would still walk side by side. This would require that each group member wanted to communicate with all the others at the same time. Instead, it expected that large groups (such as tourists or hiking groups) would typically split up. April 2010 | Volume 5 | Issue 4 | e10047 Acknowledgments Finally, the pedestrian interactions f! ij have been specified according to the experimental model described by Moussaı¨d et al. [9]. We are grateful to Toulouse’s city hall for their support that made this work possible. We thank Christian Jost, Jacques Gautrais, Alexandre Campo, Jeanne Goue¨llo, Mathieu Moreau and the members of the EMCC research group in Toulouse for inspiring discussions, as well as four anonymous reviewers for helpful comments on the manuscript. The model parameters given in the caption of figure 4 represent the calibration result of a systematic scan of the parameter space, during which group motion was simulated with parameter values from reasonable ranges, identifying the parameter combination that generated the best agreement with the empirical observations. The comparison with the empirical data was made on the basis of the average angle and distance values between pedestrians given in Table 1. Supporting Information f!0 i ~ d v! i dt ~ v0 i e!0 i { v! i tð Þ t : Figure S1 Observed patterns of spatial organization. The group’s centre of mass is located at the origin and the red points indicate the average positions of group members. The black bars indicate the standard deviation of the average positions along the x and y axes. This relationship reflects the adaptation of the current velocity v! i of pedestrian i to a desired speed v0 i and a desired direction of motion e!0 i within a certain relaxation time t. The empirically determined parameter values are v0 i ~1:3m=s and t = 0.5 s. !wall y Found at: doi:10.1371/journal.pone.0010047.s001 (3.23 MB TIF) y Found at: doi:10.1371/journal.pone.0010047.s001 (3.23 MB TIF) Table S1 Comparison between observed and simulated pat- terns. The table shows the results of a series of t-tests comparing the observed and predicted distributions of angle aij for group size two, three and four in population A and B. Interactions f!wall i with the boundaries have been specified in agreement with previous findings [13], i.e. as an exponentially decaying function of the distance dw perpendicular to the boundary: f!wall i dw ð Þ~ae{dw=b. The parameters a = 10 and b = 0.1 reflect that the wall repulsion extends over 30 cm. ! p p Found at: doi:10.1371/journal.pone.0010047.s002 (0.05 MB DOC) Found at: doi:10.1371/journal.pone.0010047.s002 (0.05 MB DOC) Group Behavior in Human Crowds In our computer simulations, pedestrians started with random positions and with a random specification of the walking direction parallel to the street. Members of a group started one meter away from each other, having the same desired walking direction. The desired speeds were normally distributed with mean value 1.3 m/s and standard deviation 0.2 m/s, to reflect the natural variability of pedestrian behavior. The simulations were performed with periodic boundary conditions. In order to reflect the environment where the data were collected, the street dimension was set to 18618 meters and 5614 meters for the low-density scenario and the moderate-density scenario, respectively. The number Ns of groups of size s was specified in such a way that the density level in the simulation was the same as the empirically observed one for population A and B, i.e. N1 = 2, N2 = 1, N3 = 1, and N4 = 1 at low density corresponding to population A, and N1 = 5, N2 = 2, N3 = 1, and N4 = 1 at moderate density corresponding to population B. Measurements were made after 10 seconds of simulation which was enough for the walking patterns to appear, and over a time period of 5 seconds. Simulation results were averaged over 1000 runs. The time step was set to dt~1=20s. identified by a clear social interactions among group members, such as talking, laughter, smiles or gesticulation. On average, populations A and B were characterized by global density levels of 0.03 and 0.25 peds/m2, respectively. In both populations, the speed of each group was computed as the average speed of its group members. Groups which temporarily stopped their motion were detected according to the procedure described by Collins et al. [31] and not considered in the computation of the average walking speed and the spatial patterns (but included in the density measurement). Author Contributions Conceived and designed the experiments: GT. Performed the experiments: MM NP SG. Analyzed the data: MM NP SG DH. Wrote the paper: MM DH GT. Conceived and designed the experiments: GT. Performed the experiments: MM NP SG. Analyzed the data: MM NP SG DH. Wrote the paper: MM DH GT. Model and Simulation Design According to previous work, the motion of an isolated pedestrian i can be well described by means of three different acceleration components [10]: (1) the acceleration behavior f!0 i , reflecting the pedestrian’s desire to move in a particular direction at a certain speed, (2) repulsive effects f!wall i on the pedestrian due to boundaries, and (3) interaction effects f! ij, reflecting the response of pedestrian i to other pedestrians j. !0 The acceleration behavior f! i was experimentally measured in past studies [9] and can be well described by 16. Aveni A (1977) The Not-So-Lonely Crowd: Friendship Groups in Collective Behavior. Sociometry 40: 96–99. 1. Helbing D, Molnar P, Farkas IJ, Bolay K (2001) Self-organizing pedestrian movement. Environment and Planning B: Planning and Design 28: 361–383. 2. Ball P (2004) Critical Mass: How One Thing Leads to Another. New York: Farrar, Straus and Giroux. 15. Coleman JS, James J (1961) The equilibrium size distribution of freely-forming groups. Sociometry 24: 36–45. p y 14. Antonini G, Bierlaire M, Weber M (2006) Discrete choice models of pedestrian walking behavior. Transportation Research Part B 40: 667–687. Empirical observations The data for population A were collected during spring 2006 in a public place in the city of Toulouse, France, while data for population B were collected during spring 2007 in a crowded commercial walkway on a Saturday afternoon. Observations were made with a digital camera (SONY DCR-TRV950E, 7206576 pixels) during two hours at a frequency of one frame per second and five frames per second for population A and B, respectively. Pedestrian positions were then manually tracked by means of a dedicated software developed in our team, and their coordinates were reconstructed after correction of the camera lens distortion. A total of 1098 and 3461 pedestrians were tracked in population A and B respectively. People belonging to the same group were identified with a series of criteria defined in previous studies on pedestrian groups [17]. In particular, group membership was However, the walking efficiency is considerably affected by the fact that ‘V’-like and ‘U’-like configurations are convex shapes, which do not have optimal ‘aerodynamic’ features. Indeed, a concave shape, such as an inverse ‘V’ shape, would be advantageous since it would support the movement against a flow of people (as the flight formation of migrating birds such as geese or ducks reduces the aerodynamic friction [26,27]). Additional computer simulations show that the model param- eter b1 representing the strength of social interactions among group members is essential to capture the dynamics of the system (see figure 6a). When b1 is set to 0 (i.e. when group members would only try to stick together with no communication rule), an inverse ‘V’-like configuration is generated and the walking speed is PLoS ONE | www.plosone.org April 2010 | Volume 5 | Issue 4 | e10047 April 2010 | Volume 5 | Issue 4 | e10047 5 Group Behavior in Human Crowds 3. Couzin I, Krause J (2003) Self-organization and collective behavior in vertebrates. Advances in the Study of Behavior 32: 1–75. 6. Hoogendoorn S, Daamen W (2005) Pedestrian Behavior at Bottlenecks. Transportation Science 39: 147–159. 5. Daamen W, Hoogendoorn S (2002) Controlled experiments to derive walking behaviour. Journal of Transport and Infrastructure Research 3: 39–59. References 9. Moussaı¨d M, Helbing D, Garnier S, Johansson A, Combe M, et al. (2009) Experi- mental study of the behavioural mechanisms underlying self-organization in human crowds. Proceedings of the Royal Society B: Biological Sciences 276: 2755–2762. 2. Ball P (2004) Critical Mass: How One Thing Leads to Another. New York: Farrar, Straus and Giroux. 10. Helbing D, Molnar P (1995) Social force model for pedestrian dynamics. Physical Review E 51: 4282–4286. 3. Couzin I, Krause J (2003) Self-organization and collective behavior in vertebrates. Advances in the Study of Behavior 32: 1–75. 11. Helbing D, Johansson A, Al-Abideen H (2007) The Dynamics of crowd disasters: an empirical study. Physical Review E 75: 046109. 11. Helbing D, Johansson A, Al-Abideen H (2007) The D 4. Sumpter D (2006) The principles of collective animal behaviour. Philosophical Transactions of the Royal Society B: Biological Sciences 361: 5–22. 12. Yu W, Johansson A (2007) Modeling crowd turbulence by many-particle simulations. Physical Review E 76: 046105. 5. Daamen W, Hoogendoorn S (2002) Controlled experiments to derive walking behaviour. Journal of Transport and Infrastructure Research 3: 39–59. 13. Johansson A, Helbing D, Shukla P (2007) Specification of the social force pedestrian model by evolutionary adjustment to video tracking data. Advances in Complex Systems 10: 271–288. 6. Hoogendoorn S, Daamen W (2005) Pedestrian Behavior at Bottlenecks. Transportation Science 39: 147–159. 14. Antonini G, Bierlaire M, Weber M (2006) Discrete choice models of pedestrian walking behavior. Transportation Research Part B 40: 667–687. p 7. Kretz T, Gru¨nebohm A, Schreckenberg M (2006) Experimental study of pedestrian flow through a bottleneck. Journal of Statistical Mechanics: Theory and Experiments P10014. 15. Coleman JS, James J (1961) The equilibrium size distribution of freely-forming groups. Sociometry 24: 36–45. 8. Kretz T, Gru¨nebohm A, Kaufman M, Mazur F, Schreckenberg M (2006) Experimental study of pedestrian counterflow in a corridor. Journal of Statistical Mechanics: Theory and Experiments P10001. 8. Kretz T, Gru¨nebohm A, Kaufman M, Mazur F, Schreckenberg M (2006) Experimental study of pedestrian counterflow in a corridor. Journal of Statistical Mechanics: Theory and Experiments P10001. 16. Aveni A (1977) The Not-So-Lonely Crowd: Friendship Groups in Collective Behavior. Sociometry 40: 96–99. PLoS ONE | www.plosone.org April 2010 | Volume 5 | Issue 4 | e10047 April 2010 | Volume 5 | Issue 4 | e10047 6 Group Behavior in Human Crowds 24. Kendon A (1967) Some functions of gaze-direction in social interaction. Acta Psychol (Amst) 26: 22–63. Group Behavior in Human Crowds 17. James J (1953) The Distribution of Free-Forming Small Group Size. American Sociological Review 18: 569–570. 25. Ballerini M, Cabibbo N, Candelier R, Cavagna A, Cisbani E, et al. (2008) Interaction ruling animal collective behavior depends on topological rather than metric distance: Evidence from a field study. Proceedings of the National Academy of Sciences 105: 1232. g are AP (1962) Handbook of small group research. New York: Macmil 19. Singh H, Arter R, Dodd L, Langston P, Lester E, et al. (2009) Modelling Subgroup Behaviour in Crowd Dynamics DEM Simulation. Applied Mathe- matical Modelling 33: 4408–4423. 26. Lissaman PBS, Shollenberger C (1970) Formation Flight of Birds. Science 168: 1003–1005. g 20. Seyfried A, Steffen B, Klingsch W, Boltes M (2005) The Fundamental Diagram of Pedestrian Movement Revisited. Journal of Statistical Mechanics: Theory and Experiment P10002. 27. Heppner F (1974) Avian Flight Formations. Bird-Banding 45: 160–169. 28. Helbing D, Buzna L, Johansson A, Werner T (2005) Self-Organized Pedestrian Crowd Dynamics: Experiments, Simulations, and Design Solutions. Transpor- tation Science 39: 1–24. 21. Mori M, Tsukaguchi H (1987) A new method for evaluation of level of service in pedestrian facilities. Transportation Research A 21: 223–234. pedestrian facilities. Transportation Research A 21: 223–234. 29. Stephan F, Mishler E (1952) The Distribution of Participation in Small Groups: An Exponential Approximation. American Sociological Review 17: 598–608. 22. Weidmann U (1993) Transporttechnik der Fussganger: ETH Zu¨rich, Schrif- tenreiheIVT-Berichte 90. 30. Horvath W (1965) A mathematical model of participation in small group discussions. Behavioral Science 10: 164–166. 23. Argyle M, Dean J (1965) Eye-Contact, Distance and Affiliation. Sociometry 28: 289–304. discussions. Behavioral Science 10: 164–166. 31. Collins RD, Tourtellot MK, Bell WJ (1995) Defining stops in search pathways. Journal of neuroscience methods 60: 95–98. 24. Kendon A (1967) Some functions of gaze-direction in social interaction. Acta Psychol (Amst) 26: 22–63. PLoS ONE | www.plosone.org April 2010 | Volume 5 | Issue 4 | e10047 7 7
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Nlrx1-Regulated Defense and Metabolic Responses to Aspergillus fumigatus Are Morphotype and Cell Type Specific
Frontiers in immunology
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Keywords: NLRX1, aspergillus fumigalus, glycolysis, nod-like proteins, defense, fungi, reactive oxygen species, NADPH oxidase ORIGINAL RESEARCH published: 01 November 2021 doi: 10.3389/fimmu.2021.749504 ORIGINAL RESEARCH published: 01 November 2021 doi: 10.3389/fimmu.2021.749504 Kale shiv@nimml.org †These authors have contributed equally to this work Reviewed by: Denis Gris, Universite´ de Sherbrooke, Canada Lakshna Mahajan, University of Delhi, India Specialty section: This article was submitted to Molecular Innate Immunity, a section of the journal Frontiers in Immunology Received: 29 July 2021 Accepted: 29 September 2021 Published: 01 November 2021 Citation: Kastelberg B, Ayubi T, Tubau-Juni N, Leber A, Hontecillas R, Bassaganya-Riera J and Kale SD (2021) Nlrx1- Regulated Defense and Metabolic Responses to Aspergillus fumigatus Are Morphotype and Cell Type Specific. Front. Immunol. 12:749504. doi: 10.3389/fimmu.2021.749504 Specialty section: This article was submitted to Molecular Innate Immunity, a section of the journal Frontiers in Immunology Received: 29 July 2021 Accepted: 29 September 2021 Published: 01 November 2021 Specialty section: This article was submitted to Molecular Innate Immunity, a section of the journal Frontiers in Immunology Received: 29 July 2021 Accepted: 29 September 2021 Edited by: Maciej Lech, LMU Munich University Hospital, Germany Edited by: Maciej Lech, LMU Munich University Hospital, Germany Edited by: Maciej Lech, LMU Munich University Hospital, Germany NIMML Institute, Blacksburg, VA, United States The Nlr family member X1 (Nlrx1) is an immuno-metabolic hub involved in mediating effective responses to virus, bacteria, fungi, cancer, and auto-immune diseases. We have previously shown that Nlrx1 is a critical regulator of immune signaling and mortality in several models of pulmonary fungal infection using the clinically relevant fungus Aspergillus fumigatus. In the absence of Nlrx1, hosts produce an enhanced Th2 response primarily by CD103+ dendritic cell populations resulting in enhanced mortality via immunopathogenesis as well as enhanced fungal burden. Here, we present our subsequent efforts showcasing loss of Nlrx1 resulting in a decreased ability of host cells to process A. fumigatus conidia in a cell-type-specific manner by BEAS-2B airway epithelial cells, alveolar macrophages, bone marrow-derived macrophages, but not bone marrow-derived neutrophils. Furthermore, loss of Nlrx1 results in a diminished ability to generate superoxide and/or generic reactive oxygen species during specific responses to fungal PAMPs, conidia, and hyphae. Analysis of glycolysis and mitochondrial function suggests that Nlrx1 is needed to appropriately shut down glycolysis in response to A. fumigatus conidia and increase glycolysis in response to hyphae in BEAS-2B cells. Blocking glycolysis and pentose phosphate pathway (PPP) via 2- DG and NADPH production through glucose-6-phosphate dehydrogenase inhibitor resulted in significantly diminished conidial processing in wild-type BEAS-2B cells to the levels of Nlrx1-deficient BEAS-2B cells. Our findings suggest a need for airway epithelial cells to generate NADPH for reactive oxygen species production in response to conidia via PPP. In context to fungal pulmonary infections, our results show that Nlrx1 plays significant roles in host defense via PPP modulation of several aspects of metabolism, particularly glycolysis, to facilitate conidia processing in addition to its critical role in regulating immune signaling. Reviewed by: Denis Gris, Universite´ de Sherbrooke, Canada Lakshna Mahajan, University of Delhi, India *Correspondence: Shiv D. Kale shiv@nimml.org †These authors have contributed equally to this work Reviewed by: Denis Gris, Universite´ de Sherbrooke, Canada Lakshna Mahajan, University of Delhi, India *Correspondence: Shiv D. INTRODUCTION This diversity of concurrent functions has made Nlrx1 a promising therapeutic target for a variety of diseases (29, 30). Studies to dissect defense responses to A. fumigatus have been primarily pursued in macrophages, neutrophils, and airway epithelial cells. Macrophages rapidly ingest A. fumigatus resting or swollen conidia via receptor-mediated phagocytosis followed by phagosome acidification and reactive oxygen species production (8–11). This process has been shown to be dependent upon LC3-associated phagocytosis, NOX2 NADPH oxidase complex, and enhancement of glycolysis (8–10). Neutrophils have also been shown to rapidly internalize and produce superoxide, hydrogen peroxide, and hypochlorous acid in response to resting and swollen conidia; however, the relative production of these defense compounds was significantly lower in resting conidia in comparison to swollen (12). Further non- oxidative responses have also been observed (13). Responses to the hyphal form of A. fumigatus results in the production of neutrophil extracellular traps that are thought to ensnare the fungus as well as allow for the generation of massive levels of reactiveoxygenspeciesviaNADPHoxidasesandmyeloperoxidase (13, 14). Both neutrophils and macrophages provide important examples of morphotype-specific responses by critical host cell populations (13, 15). Our prior work on Nlrx1 identified the gene to be differentially expressed during models of invasive pulmonary aspergillosis (31). In vivo studies involving several models of invasive pulmonary aspergillosis using Nlrx1 knockout mice indicated enhanced fungal burden, mortality, and enhanced immune signaling towards a detrimental Th2 response via CD103+ dendritic cells in the absence of Nlrx1 that ultimately resulted in immunopathogenesis-driven mortality (6). We hypothesized that the enhanced fungal burden may function as a double detriment to the Th2-mediated immunopathogenesis. Here, we follow up on our prior observation of enhanced fungal burden by determining if the loss of Nlrx1 results in enhanced conidial survival in a variety of cell types as well as dissecting how Nlrx1 mediates these processes. Results from this study provided novel insight into how Nlrx1 regulates defense and metabolic responses to A. fumigatus in a morphotype- and cell-type- specific manner. In vitro internalization rates of A. fumigatus conidia by airway epithelial cells are highly variable, ranging from 10%–50%, and dependent on cell type (BEAS-2B, 16HBE14o-, A549, primary bronchial, nasal, etc.) [Reviewed in (16)]. Recognition of conidia by airway epithelial cells occurs in at least a Tlr2 manner and involves the increased expression of Dectin-1 (17). INTRODUCTION microscopy did not observe internalization of A. fumigatus conidia by airway epithelial cells post challenge in immuno suppressed mice, but rather found conidia at junction sites between ciliated and/or goblet cells (19). Preliminary data on the generation of reactive oxygen species have been observed by airway epithelial cells after prolonged exposure to viable A. fumigatus resting conidia and is dependent on Dectin-1; however, this mechanism also remains unknown (17). Aspergillus fumigatus is a clinically relevant, fungal pathogen that causes a wide variety of pulmonary disease manifestations. As an opportunistic pathogen, A. fumigatus relies on inherent deficiencies in the host immune system to facilitate disease (1). These clinically identified defects are often associated with an inability by the host to appropriately recruit innate immune cells, primarily macrophages and neutrophils, in order to identify, process, and clear the fungus (1). While much focus has been placed on macrophages and neutrophils, the importance of dendritic cell subsets, airway epithelial cells, and T cells as orchestrators of the innate and adaptive immune system has become evident (2–7). There has also been substantial effort to understand intra- and intercellular communication within and among host cell populations that facilitates these processes. Our prior work identified the host nod-like receptor X1 (Nlrx1) as a critical regulator of defense and immune signaling that functioned in a cell- and context-specific manner (6). Here, we expand on aspects of that work using a variety of in vitro cell models and Nlrx1 knockouts to unravel novel aspects of defense responses and metabolism that are fungal morphotype, host cell type, and Nlrx1 dependent. Nlrx1 is a nod-like receptor consisting of a mitochondrial targeting signal, a nucleotide binding domain, and leucine-rich repeat domain. Nlrx1 has been shown to be a critical regulator of host immune and defense responses to a variety of microbial pathogens, cancers, and auto-immune diseases [reviewed recently in (20)]. Mechanistically, Nlrx1 appears to function as a multi-faceted hub. A subset of Nlrx1’s functions include its ability to bind TRAF6/2, thereby mitigating a variety of immune signal transduction pathways (21), interact within the inner mitochondrial membrane, thereby impacting mitochondrial function as well as forms of reactive oxygen species production (22–25), bind TUFM to facilitate autophagy and LC3-associated phagocytosis (26), and insulate the DNA sensing adaptors STING and/or MAVS to mitigate innate immune signaling to a variety of viruses (27, 28). Citation: November 2021 | Volume 12 | Article 749504 Frontiers in Immunology | www.frontiersin.org Nlrx1-Regulated Defense and Metabolism Kastelberg et al. INTRODUCTION Processing of conidia has been shown to be dependent on host phosphoinositide 3-kinase, flotillin-2, caveolin, and Rab5c (11). Further several putative defensins have been identified to be expressed in response to conidia (17). A growing body of literature indicates that conidia are also processed extracellularly or made inactive though the precise mechanism(s) remaining unknown (11, 18). One study using transmission electron Frontiers in Immunology | www.frontiersin.org Modified Mitochondrial and Glycolytic Stress Tests Both mitochondrial and glycolytic stress tests were performed as described by the manufacturer’s protocol (Agilent). Cells were plated at a density of 50,000 cells per well (24-well format) approximately 24 h prior to run. Cells were washed three times with PBS (500 ml) and incubated for 1 h in serum and bicarbonate free DMEM in the absence of glutamine (glycolytic) or in the presence of 1 mM glutamine (mitochondrial) at 37°C. After initial baseline equilibration, fungal PAMPs curdlan (100 ng/ml) and zymosan depleted (100 ng/ml), killed conidia (50,000), killed hyphae (100 ng/ml), and control media were injected via port-A and allowed to mix prior to sequential addition of compounds for glycolytic and mitochondrial stress tests. For the mitochondrial stress test, basal respiration was determined by averaging the oxygen consumption rate (OCR) prior to treatment with control media. ATP production was determined by measuring the minimal OCR post oligomycin treatment and the average basal OCR. Maximal respiration was calculated based on the difference in maximal OCR post FCCP treatment and minimal OCR post oligomycin treatment. Spare capacity was determined by the difference in average basal OCR and the maximal OCR post FCCP treatment. For the glycolytic stress test, glycolytic activity was determined by the difference in basal extracellular acidification rate (ECAR) and ECAR post glucose treatment. Glycolytic capacity was determined by the difference in basal ECAR and ECAR post oligomycin treatment. Glycolytic reserve was determined by the difference in the ECAR post glucose injection and the ECAR post 2-DG injection. All experiments were independently repeated. N = 6. Statistical significance was assessed by the Kruskal–Wallis test followed by a Dunn’s test for multiple comparisons. g For the XTT cell viability assay (CyQuant), cells (5 × 104, 96- well) were challenged for 24 h with A. fumigatus conidia, washed with PBS, and resuspended in fresh media (100 ml). Cells were then vigorously pipetted to lyse BEAS-2B cells as viable BEAS-2B cells masked XTT metabolism by the fungus. No PBS wash or vigorous pipetting was required for alveolar macrophage and BMDM challenges. XTT solution was made fresh as per the manufacturer’s instruction and 50 ml was added to each well. Cells were incubated for 2–4 h at 37°C and the absorbance was read at 450 and 660 nm (background correction). Corrected absorbance from media only wells was subtracted from challenges to determine specific absorbance. All experiments were independently repeated. Challenge Assays Freshly harvested Af293 conidia were challenged against wild- type and Nlrx1-deficient BMDMs, BMDNs, alveolar macrophages, and immortalized human bronchial epithelial BEAS-2B cells (5 × 104 96-well, 5 × 105 24-well, American Type Culture Collection) for 3, 6, 9, 12, and/or 24 h at 37°C in the presence of 5% CO2. For the FUN-1 assay, conidia and mammalian cells were incubated with calcofluor white M2R (CFWM2R, 25 mM) for 15 min to label conidia. Cells and conidia were incubated in NP-40 buffer (250 ml) plus the metabolic dye FUN-1 (2.5 mM) for 1 h at 37°C. Conidia (50,000–60,000) from independent challenges were analyzed by flow cytometry for FUN-1 and CRWM2R fluorescence. Positive gating was determined using conidia challenged onto empty tissue culture wells containing respective cell culture media. Independent experiments were run in triplicate. All experiments were independently repeated. Statistical difference was determined using the Kruskal–Wallis test followed by a Dunn’s test for multiple comparisons. For challenge assays involving inhibitors, BEAS-2B cells were incubated for 3 h with the respective inhibitor prior to challenge and then washed 3× to remove the inhibitor. MATERIALS AND METHODS Cell Extraction, Culture, and Maintenance A. fumigatus strain Af293 was routinely cultured on glucose minimal media at 37°C for 5–7 days. Conidia were harvested in PBS + Tween 20 (0.1%) and passed through a 90-micron filter to remove hyphae and particulate prior to challenge. Fresh aliquots of A. fumigatus were taken after every fourth passage. Wild-type and Nlrx1-deficient cells generated by CRISPR-Cas9 (DNlrx1) BEAS-2B cells were routinely cultured at 37°C in the presence of 5% CO2 using RPMI base medium supplemented with 10% fetal bovine serum and 1× penicillin-streptomycin (6). Wild-type and November 2021 | Volume 12 | Article 749504 Frontiers in Immunology | www.frontiersin.org 2 Nlrx1-Regulated Defense and Metabolism Kastelberg et al. Measurement of Reactive Oxygen Species Production and Oxidative Stress DNlrx1 BEAS-2B cells were grown to a maximum of 75% confluence and discarded after their ninth passage. Wild-type and Nlrx1 knockout (Nlrx1-/-, derived from homozygous mice) bone marrow-derived macrophages (BMDMs) and bone marrow-derived neutrophils (BMDNs) were extracted from male mice between 15 and 30 weeks of age as previously described in (32). BMDNs were immediately utilized post purification. BMDMs were differentiated using 25 ng/ml M-CSF. On day 6 post incubation, BMDMs were seeded at 5 × 105 or 5 × 104 cells into 24- and 96-well plates, respectively, and utilized the following day for challenge experiments. Wild-type and Nlrx1-deficient BEAS-2B airway epithelial cells, BMDMs, and BMDNs (50,000 per well, 96-well plate format) were pre-stained with ROS- and OS-specific fluorescent dyes (Enzo scientific, ROS-ID® ROS/RNS detection kit) for 30 min prior to challenge with fungal pathogen-associated molecular patterns (PAMPs) curdlan (100 ng/ml, InvivoGen), zymosan depleted (100 ng/ml, InvivoGen), zymosan (100 ng/ml, InvivoGen), killed hyphae (100 ng/ml, laboratory derived), and killed Af293 conidia (50,000 per well in 10 ml). Cells were incubated at 37°C in the presence of 5% CO2 prior to and post challenge. Fluorescence was measured for ROS production (Excitation: 490/14, Emission: 525/20) and OS production (Excitation: 550/20, Emission: 620/20) at 30, 60, 90, 180, 360, and 540 min post challenge using a Cytation 5 plate reader at 37°C in the presence of 5% CO2. Experiments were conducted at 6× and repeated independently. Statistical difference was determined using the Kruskal–Wallis test followed by a Dunn’s test for multiple comparisons. Frontiers in Immunology | www.frontiersin.org Modified Mitochondrial and Glycolytic Stress Tests Statistical significance was determined by Kruskal–Wallis test followed by a Dunn’s test for multiple comparisons. For the colony-forming unit assay, conidia (5 × 103) were challenged against cells (5 × 104) for 12 h and were resuspended in 250 ml of NP-40 buffer, plated (50 ml) onto GMM plates, and incubated for 12–24 h at 37°C. All experiments were independently repeated. Statistical significance was determined by the Kruskal–Wallis test followed by a Dunn’s test for multiple comparisons. November 2021 | Volume 12 | Article 749504 Frontiers in Immunology | www.frontiersin.org 3 Nlrx1-Regulated Defense and Metabolism Kastelberg et al. Loss of Nlrx1 Results in Diminished Mitochondrial Function in BEAS-2B Cells Our results suggested that BEAS-2B cells were processing a significant amount of conidia in a manner that did not involve superoxide production, but correlated with the need to rapidly produce alternate forms of reactive oxygen species in a Nlrx1- dependent manner. ROS can be generated within the mitochondria as a product of oxidative phosphorylation (OxPhos) as well as in the cytoplasm by a variety of stress- and defense-related enzymes. To determine if Nlrx1 was contributing to mitochondrial ROS generation in BEAS-2B cells via OxPhos, we conducted standard and modified mitochondrial stress test using BEAS-2B cells pre-challenged with killed A. fumigatus conidia, hyphae, and fungal PAMPs curdlan, zymosan depleted, and zymosan (Figure 3). Wild-type BEAS-2B cells produced O− 2 within 30 min to the three hyphae-associated fungal PAMPs and killed hyphae, but not to killed conidia in comparison to control (Figure 2A). Concurrent measurements of ROS indicated a robust response to all five stimuli in comparison to control by 30 min, but diminished to or below baseline levels by 60–90 min, with the exception of zymosan, which remained elevated throughout (Figure 2B). DNlrx1 cells produced significantly decreased amounts of O− 2 and general ROS in response to all stimuli in comparison to WT cells (p < 0.05) (Figures 2C, D and Supplementary Figure 1). The loss of ROS in the absence of Nlrx1 correlated well with a decrease in conidial processing observed during challenge assays (Figure 1). Our findings illuminate a very exciting phenomena that BEAS-2B airway cells do not produce detectable levels of O− 2 over control PBS treatment in response to conidia, but do so for hyphae and hyphae-associated PAMPs. Further elevated ROS responses, which do occur for all five stimuli are mitigated in the absence of Nlrx1. The decrease in ROS in the absence of Nlrx1 fit well with the decreased processing of conidia observed by BEAS-2B cells. Loss of Nlrx1 resulted in a near-complete loss of mitochondrial ATP-linked respiration, a significantly diminished maximal respiration and spare capacity using the standard mitochondrial stress test (p < 0.05, Figures 3A–C, O–R). Our data suggest that mitochondrial respiration is what we would assume to be near the minimum possible to retain viability for DNlrx1 BEAS-2B cells. At first impression, this would fit with the decreased production of O− 2 and ROS. RESULTS November 2021 | Volume 12 | Article 749504 Frontiers in Immunology | www.frontiersin.org Nlrx1-Regulated Defense and Metabolism Kastelberg et al. populations involved in early response to and processing of A. fumigatus. BMDNs did not have an altered ability to process conidia. This finding is quite relevant as enhanced mortality and fungal burden dependent on Nlrx1 were greater in in vivo models of IPA where neutrophils were depleted or rendered ineffectual (6). It has yet to be determined if Nlrx1 impacts processing of hyphae in these cell types. We then performed similar experiments using BMDNs using the five stimuli. BMDNs did not produce elevated O− 2 in response to killed conidia, but did to hyphae and hyphae-associated PAMPs (Figures 2G, H and Supplementary Figure 3). BMDNs did produce statistically significant levels of ROS in response to conidia (p < 0.05), but the amount was minuscule in comparison to killed hyphae and fungal PAMPs. Loss of Nlrx1 in BMDNs did not result in meaningful changes in ROS or OS production. Our initial assessment of ROS and OS regulation in response to A. fumigatus conidia and hyphae suggests that cell-type (BEAS-2B, BMDMs, and BMDNs) and morphotype (conidia, hyphae) responses are often, but not always, dependent upon Nlrx1 (summarized in Table 1). y y Prior work of others indicates reactive oxygen species production, specifically superoxide produced by NADH and NADPH oxidases, are critical for processing A. fumigatus conidia by macrophages (8–10). Nlrx1 has been shown to be needed for robust generation of reactive oxygen species to combat a variety of microbial pathogens (22–25). We sought to determine if Nlrx1 regulated the production of general oxidative stress (ROS) as well as specific generation of superoxide (O− 2) in response to A. fumigatus. We established a time course approach (measurements at 30, 60, 90, 180, 360, and 540 min post challenge) using cell- stable fluorescent dyes to measure ROS as well as specific generation of O− 2 by BEA2B airway epithelial cells (Figures 2A–D and Supplementary Figure 1). We challenged both WT and DNlrx1 cell populations over 12 h with killed A. fumigatus conidia, killed hyphae, control buffer, or fungal PAMPs curdlan, zymosan, and zymosan depleted. Both curdlan and zymosan depleted are thought to be recognized by C-type lectin receptors such as Dectin-1, while zymosan is recognized by both human Tlr2 and Dectin-1. These three PAMPs are also commonly associated with the hyphal form of A. RESULTS fumigatus. RESULTS challenge as well as an XTT metabolism 24 h post challenge (p < 0.05 where denoted by an asterisk) (Figures 1A, B, D–H). We had previously established a flow cytometry assay to measure conidial viability through FUN-1 fluorescence at early time points post challenge (11). This assay also indicated that Nlrx1-deficient BEAS-2B (DNlrx1) cells processed approximately half as many viable conidia as wild-type cells 3 and 6 h post challenge (p < 0.05) (Figure 1C). Our in vitro results suggest that the contributions of Nlrx1 to fungal processing are relevant to airway epithelial cell and macrophages, two critical cell We initially set out to determine if Nlrx1 contributes to the host cell’s ability to process A. fumigatus conidia. Our prior efforts had indicated that loss of Nlrx1 resulted in enhanced fungal burden in immuno-competent and suppressed mice when inoculated with A. fumigatus (6). Loss of Nlrx1 in BEAS-2B airway epithelial cells, alveolar macrophages, and BMDMs, but not BMDNs resulted in significantly decreased conidial processing using both colony-forming units 12 h post A B D E F G H C FIGURE 1 | Nlrx1 mediated A. fumigatus processing occurs in a cell-type-specific manner. Viable A. fumigatus conidia were challenged against wild-type and Nlrx1- deficient (A–C) BEAS-2B airway epithelial cells, (F, G) bone marrow-derived macrophages, (D, E) alveolar macrophages, and (H) bone marrow-derived neutrophils. Conidial viability was assessed via (A, D, F, H) XTT viability assay 24 h post challenge, (B, E, G) the colony-forming unit assay 12 h post challenge, and (C) FUN-1+ fluorescence assay 3 h post challenge. p < 0.05, indicated by asterisk via Kruskal–Wallis test followed by a Dunn’s test for multiple comparisons. C C B A E D E D E E D G F G H FIGURE 1 | Nlrx1 mediated A. fumigatus processing occurs in a cell-type-specific manner. Viable A. fumigatus conidia were challenged against wild-type and Nlrx1- deficient (A–C) BEAS-2B airway epithelial cells, (F, G) bone marrow-derived macrophages, (D, E) alveolar macrophages, and (H) bone marrow-derived neutrophils. Conidial viability was assessed via (A, D, F, H) XTT viability assay 24 h post challenge, (B, E, G) the colony-forming unit assay 12 h post challenge, and (C) FUN-1+ fluorescence assay 3 h post challenge. p < 0.05, indicated by asterisk via Kruskal–Wallis test followed by a Dunn’s test for multiple comparisons. Frontiers in Immunology | www.frontiersin.org Loss of Nlrx1 Results in Diminished Mitochondrial Function in BEAS-2B Cells However, treatment of wild-type BEAS-2B cells with killed hyphae resulted in significantly decreased mitochondrial respiration, maximal respiration, and a complete lack of spare capacity (Figures 3I, M, O–R). This suggested that the observed increases in ROS and superoxide production in response to hyphae by WT BEAS-2B cells was not a part of mitochondrial OxPhos. Treatment of WT BEAS-2B cells with killed conidia or fungal PAMPs did not appear to modulate mitochondrial respiration, further indicating that the observed O− 2 and general ROS responses did not correlate with changes in mitochondrial function (Figures 3G, H, J–L, N–R). Though the decrease in ROS and OS as well as mitochondrial function appear to correlate in the absence of Nlrx1, the significant decrease in mitochondrial function as measured by oxygen consumption by wild-type cells does not fit this hypothesis, suggesting that Nlrx1 function in ROS is occurring elsewhere or indirectly associated with its role in the mitochondria. Our results additionally highlight a novel finding that BEAS-2B cells respond to hyphae, but not conidia, by immediately diminishing mitochondrial OxPhos as measured by oxygen consumption. These unique responses fit the notion of We then conducted cellular ROS and OS measurements in BMDMs using killed conidia, and fungal PAMPs (Figures 2E, F and Supplementary Figure 2). Elevated and significant levels of O− 2 and ROS were detected in response to all four stimuli within 30 min as expected for phagocytic cells (p < 0.05). Surprisingly, loss of Nlrx1 resulted in similar, non-statistically significant, levels of O− 2 and ROS in comparison to wild-type (p > 0.10). This finding suggested that Nlrx1-dependent O− 2 and ROS production does not meaningfully contribute to the diminished conidial processing observed for the absence of Nlrx1 in BMDMs. November 2021 | Volume 12 | Article 749504 Frontiers in Immunology | www.frontiersin.org 5 Nlrx1-Regulated Defense and Metabolism Kastelberg et al. A B D E F G H C FIGURE 2 | Reactive oxygen species production and superoxide production in response to A. fumigatus conidia hyphae, and a subset of fungal PAMPs is dependent on Nlrx1. BEAS-2B airway epithelial cells were pre-stained for 30 min with cell-permeable, stable fluorescent dyes specific for (A, C, E, G) superoxide production or (B, D, F, G) general reactive oxygen species production prior to challenge. (A, B) Wild-type BEAS-2B cells, (E, F) bone marrow-derived macrophages, and (G, H) neutrophils were challenged for 9 h with killed A. Loss of Nlrx1 Results in Diminished Mitochondrial Function in BEAS-2B Cells fumigatus conidia, hyphae, and fungal PAMPs, and fluorescence was measured 30, 60, 90, 180, 360, and 540 min post challenge. Colored asterisk (corresponding to treatment group) denotes p < 0.05 via Kruskal–Wallis test followed by a Dunn’s test for multiple comparisons against the control. (C, D) Fluorescence emission from wild-type and Nlrx1-deficient BEAS-2B cells 30 min post challenge. Black asterisk denotes p < 0.05 via Kruskal–Wallis test followed by a Dunn’s test for multiple comparisons against the control. Red asterisk denotes p < 0.05 between genotypes for a given treatment group. Supplementary Figures S1–S3 show time course data for Nlrx1-deficient background compared to wild type. B A D C C D F E E F G H G H FIGURE 2 | Reactive oxygen species production and superoxide production in response to A. fumigatus conidia hyphae, and a subset of fungal PAMPs is dependent on Nlrx1. BEAS-2B airway epithelial cells were pre-stained for 30 min with cell-permeable, stable fluorescent dyes specific for (A, C, E, G) superoxide production or (B, D, F, G) general reactive oxygen species production prior to challenge. (A, B) Wild-type BEAS-2B cells, (E, F) bone marrow-derived macrophages, and (G, H) neutrophils were challenged for 9 h with killed A. fumigatus conidia, hyphae, and fungal PAMPs, and fluorescence was measured 30, 60, 90, 180, 360, and 540 min post challenge. Colored asterisk (corresponding to treatment group) denotes p < 0.05 via Kruskal–Wallis test followed by a Dunn’s test for multiple comparisons against the control. (C, D) Fluorescence emission from wild-type and Nlrx1-deficient BEAS-2B cells 30 min post challenge. Black asterisk denotes p < 0.05 via Kruskal–Wallis test followed by a Dunn’s test for multiple comparisons against the control. Red asterisk denotes p < 0.05 between genotypes for a given treatment group. Supplementary Figures S1–S3 show time course data for Nlrx1-deficient background compared to wild type. morphotype-specific responses by the host cell that have been observed by our group and others. correlation between mitochondrial respiration and superoxide/ ROS production in response to A. fumigatus by BEAS-2B cells, we thought to explore if glycolysis is perturbed in response to A. fumigatus and if this process is dependent on Nlrx1. Early aspects of glycolysis serve as a central conduit to the pentose phosphate pathway, which is a critical source of NADPH utilized by NADPH oxidases to generate ROS. Loss of Nlrx1 Results in Diminished Mitochondrial Function in BEAS-2B Cells When sugars are diverted to the PPP, glycolysis can also become effectively diminished. Glycolysis Is Differentially Modulated in Response to A. fumigatus Conidia and Hyphae in a Nlrx1-Dependent Manner Summarized data are from BEAS-2B airway epithelial cells, bone marrow-derived macrophages, and bone marrow-derived neutrophils. Similarly, movement of molecules into the TCA cycle can give a false appearance that glycolysis is shut down when in fact glycolysis is occurring just not via lactate production as measured in the glycolytic stress test. We conducted a standard glycolytic stress test as well as the modified form where we once again pretreated cells with killed A. fumigatus conidia, hyphae, and fungal PAMPs. The basal glycolytic stress test indicated that Nlrx1-deficient cells were statistically deficient in glycolysis and had diminished glycolytic capacity and glycolytic reserve (p < 0.05) (Figures 4A–C, O–Q). Thus, the absence of Nlrx1 also decreases basal glycolysis function and reserve. Contrastingly, treatment of BEAS-2B cells with killed hyphae prior to the stress test indicated significantly elevated glycolysis, decreased glycolytic capacity, and a near-complete depletion of the glycolytic reserve in comparison to control cells (p < 0.05) (Figures 4D, E, I, M, O–Q). Nlrx1-deficient BEAS-2B cells treated with hyphae were also elevated in glycolysis in comparison to control treatments yet were decreased in glycolysis activation in comparison to wild type treated with hyphae. Both WT and Nlrx1-deficient BEAS-2B cells were completely depleted of any glycolytic reserves, suggesting significant bioenergetics in response to stimuli. Similarly, movement of molecules into the TCA cycle can give a false appearance that glycolysis is shut down when in fact glycolysis is occurring just not via lactate production as measured in the glycolytic stress test. We conducted a standard glycolytic stress test as well as the modified form where we once again pretreated cells with killed A. fumigatus conidia, hyphae, and fungal PAMPs. The basal glycolytic stress test indicated that Nlrx1-deficient cells were statistically deficient in glycolysis and had diminished glycolytic capacity and glycolytic reserve (p < 0.05) (Figures 4A–C, O–Q). Thus, the absence of Nlrx1 also decreases basal glycolysis function and reserve. Surprisingly, pre-treating BEAS-2B cells with killed conidia resulted in near-complete shutdown of glycolysis, glycolytic capacity, and reserve during the glycolytic stress test. This highly novel and significant finding suggests that glycolysis is shut down in response to killed conidia (Figures 4D, E). Glycolysis Is Differentially Modulated in Response to A. fumigatus Conidia and Hyphae in a Nlrx1-Dependent Manner This shutdown may be part of a process to shunt glucose into the PPP to facilitate NADPH production to be utilized for ROS production, thereby reducing lactate production, which is indirectly measured via decreased changes in pH over time (ECAR) by the Seahorse metabolic flux analyzer. Even more surprising, Nlrx1-deficient BEAS-2B cells did not shut down glycolysis in response to conidia and had a similar response to Nlrx1-deficient cells treated with control buffer (Figures 4J, N–Q). We conclude that loss of Nlrx1 results in a failure to shut down glycolysis in response to conidia by BEAS-2B cells. This failure to shut down glycolysis may provide an explanation into why enhanced conidial germination and decreased ROS production is observed for DNlrx1 cells. Treatment with curdlan and zymosan did not significantly elevate glycolysis, but did significantly decrease glycolytic reserve in comparison to control BEAS-2B cells (Figures 4G, H, K, L). Ultimately, our results suggest that BEAS-2B cells activate glycolysis and deplete reserves in response to killed hyphae while turning off glycolysis in response to conidia. Nlrx1- deficient cells fail to ablate glycolysis in response to conidia and can only partially elevate glycolysis in response to hyphae (Figure 4F). Glycolysis Is Differentially Modulated in Response to A. fumigatus Conidia and Hyphae in a Nlrx1-Dependent Manner Given the novel observation of decreased mitochondrial respiration in response to hyphae and the lack of direct November 2021 | Volume 12 | Article 749504 Frontiers in Immunology | www.frontiersin.org 6 Nlrx1-Regulated Defense and Metabolism Kastelberg et al. TABLE 1 | Summary of superoxide production and ROS production and their dependency on Nlrx1 in response to A. fumigatus and fungal PAMPs. BEAS-2B Airway Epithelial Cells SuperoxideProduction Nlrx1Dependency ROSProduction Nlrx1Dependency Conidia Killed - Not Applicable + Yes Hyphae Killed + Yes + Yes Curdlan + Yes + Yes Zymosan + Yes + Yes Zymosan Depleted + Yes + Yes Bone Marrow Derived Macrophages Superoxide Production Nlrx1 Dependency ROS Production Nlrx1 Dependency Conidia Killed + No + No Hyphae Killed + No + No Curdlan + No + No Zymosan + No + No Zymosan Depleted + No + No Bone Marrow Derived Neutrophils Superoxide Production Nlrx1 Dependency ROS Production Nlrx1 Dependency Conidia Killed - Not Applicable + No Hyphae Killed + No + No Curdlan + No + No Zymosan + No + No Zymosan Depleted + No + No Summarized data are from BEAS-2B airway epithelial cells, bone marrow-derived macrophages, and bone marrow-derived neutrophils. TABLE 1 | Summary of superoxide production and ROS production and their dependency on Nlrx1 in response to A. fumigatus and fungal PAMPs. BEAS-2B Airway Epithelial Cells SuperoxideProduction Nlrx1Dependency ROSProduction Nlrx1Dependency Conidia Killed - Not Applicable + Yes Hyphae Killed + Yes + Yes Curdlan + Yes + Yes Zymosan + Yes + Yes Zymosan Depleted + Yes + Yes Bone Marrow Derived Macrophages Superoxide Production Nlrx1 Dependency ROS Production Nlrx1 Dependency Conidia Killed + No + No Hyphae Killed + No + No Curdlan + No + No Zymosan + No + No Zymosan Depleted + No + No Bone Marrow Derived Neutrophils Superoxide Production Nlrx1 Dependency ROS Production Nlrx1 Dependency Conidia Killed - Not Applicable + No Hyphae Killed + No + No Curdlan + No + No Zymosan + No + No Zymosan Depleted + No + No Summarized data are from BEAS-2B airway epithelial cells, bone marrow-derived macrophages, and bone marrow-derived neutrophils. TABLE 1 | Summary of superoxide production and ROS production and their dependency on Nlrx1 in response to A. fumigatus and fungal PAMPs. TABLE 1 | Summary of superoxide production and ROS production and their dependency on Nlrx1 in response to A. fumigatus and fungal PAMPs. Block-Aid of Pentose Phosphate Pathway Reduces ROS Production and Processing in Response to A. fumigatus Conidia Our results from the modified glycolytic stress tests indicated that glycolysis is significantly diminished in response to conidia and is also controlled via a Nlrx1-dependent process or potentially Nlrx1 directly. This finding fit well with the observation of decreased ROS production by DNlrx1 BEAS-2B November 2021 | Volume 12 | Article 749504 Frontiers in Immunology | www.frontiersin.org Kastelberg et al. Nlrx1-Regulated Defense and Metabolism A B D E F G I H J K L M N C O P Q R FIGURE 3 | Modulation of mitochondrial energetics within wild-type BEAS-2B cells in response to A. fumigatus conidia, hyphae, and a subset of fungal PAMPs is dependent on Nlrx1. (A) Oxygen consumption rate (OCR, pmol/min) and (B) extracellular acidification rate (ECAR, mpH/min) for wild-type and Nlrx1-deficient (DNlrx1) cells using a standardized mitochondrial stress test outlined in (C). Measurement of (D) OCR and (E) ECAR by wild-type BEAS-2B cells during a modified mitochondrial stress test. The modified version of the assay provides an injection of fungal PAMPs (zymosan depleted and curdlan), killed hyphae, or killed conidia prior to the standard test. (F) Summary of mitochondrial function, superoxide production, and general reactive oxygen species production by BEAS-2B cells in response to killed conidia, hyphae, and fungal PAMPs zymosan depleted, and curdlan. (G–J) OCR and (K–N) ECAR by wild-type and DNlrx1 BEAS-2B cells during a modified mitochondrial stress test using fungal PAMPs (zymosan depleted and curdlan), killed hyphae, or killed conidia. Calculated values for (O) respiration with compound, (P) mitochondrial ATP-linked respiration, (Q) maximal respiration, and (R) spare capacity. For (O–R), black asterisk denotes p < 0.05 via Kruskal–Wallis test followed by a Dunn’s test for multiple comparisons against the control. Red asterisk denotes p < 0.05 between genotypes for a given treatment group. C B A E D E F F E D D F I J G H I H J G H K L L K N M M N N M O P Q R Q R O P O P P P O R Q FIGURE 3 | Modulation of mitochondrial energetics within wild-type BEAS-2B cells in response to A. fumigatus conidia, hyphae, and a subset of fungal PAMPs is dependent on Nlrx1. (A) Oxygen consumption rate (OCR, pmol/min) and (B) extracellular acidification rate (ECAR, mpH/min) for wild-type and Nlrx1-deficient (DNlrx1) cells using a standardized mitochondrial stress test outlined in (C). Frontiers in Immunology | www.frontiersin.org Block-Aid of Pentose Phosphate Pathway Reduces ROS Production and Processing in Response to A. fumigatus Conidia Measurement of (D) OCR and (E) ECAR by wild-type BEAS-2B cells during a modified mitochondrial stress test. The modified version of the assay provides an injection of fungal PAMPs (zymosan depleted and curdlan), killed hyphae, or killed conidia prior to the standard test. (F) Summary of mitochondrial function, superoxide production, and general reactive oxygen species production by BEAS-2B cells in response to killed conidia, hyphae, and fungal PAMPs zymosan depleted, and curdlan. (G–J) OCR and (K–N) ECAR by wild-type and DNlrx1 BEAS-2B cells during a modified mitochondrial stress test using fungal PAMPs (zymosan depleted and curdlan), killed hyphae, or killed conidia. Calculated values for (O) respiration with compound, (P) mitochondrial ATP-linked respiration, (Q) maximal respiration, and (R) spare capacity. For (O–R), black asterisk denotes p < 0.05 via Kruskal–Wallis test followed by a Dunn’s test for multiple comparisons against the control. Red asterisk denotes p < 0.05 between genotypes for a given treatment group. cells and enhanced conidial germination. We hypothesized that the shutdown of glycolysis was occurring to facilitate a movement of energy towards the PPP to generate NADPH. To test this hypothesis, we treated wild-type BEAS-2B cells with 2- DG, an inhibitor of hexokinase and glucose-6-phosphate isomerase, thereby inhibiting glycolysis and PPP, as well as glucose-6-phosphate dehydrogenase inhibitor 1, an inhibitor of the enzyme responsible for NADPH production in PPP. We also tested sodium oxamate, an inhibitor of lactate dehydrogenase, and a combination of Rotenone/Antimycin A, potent inhibitors of mitochondrial complex I and III, respectively. Pre-treatment of wild-type BEAS-2B cells with either 2-DG or glucose-6-phosphate dehydrogenase inhibitor 1 resulted in a significantly increased percentage of metabolically viable conidia in comparison to control and produced similar viability levels as DNlrx (p < 0.05, Figure 5). Pre-treatment with sodium oxamate, a Frontiers in Immunology | www.frontiersin.org November 2021 | Volume 12 | Article 749504 8 Nlrx1-Regulated Defense and Metabolism Kastelberg et al. A B D E F G I H J K L M N C O P Q FIGURE 4 | Modulation of glycolysis within BEAS-2B in response to A. fumigatus conidia, hyphae, and a subset of fungal PAMPs is dependent on Nlrx1. (A) Extracellular acidification rate (ECAR, mpH/min) and (B) oxygen consumption rate (OCR, pmol/min) for wild-type and Nlrx1-deficient (DNlrx1) cells using a standardized glycolytic stress test outlined in (C). Measurement of (D) ECAR and (E) OCR by wild-type BEAS-2B cells during a modified glycolytic stress test. Block-Aid of Pentose Phosphate Pathway Reduces ROS Production and Processing in Response to A. fumigatus Conidia The modified version of the assay provides an injection of fungal PAMPs (zymosan depleted and curdlan), killed hyphae, or killed conidia prior to the standard test. (F) Summary of glycolysis, superoxide production, and general reactive oxygen species production by BEAS-2B cells in response to killed conidia, hyphae, and fungal PAMPs zymosan depleted and curdlan. (G–J) ECAR and (K–N) OCR by wild-type and DNlrx1 BEAS-2B cells during a modified glycolytic stress test using fungal PAMPs (zymosan depleted and curdlan), killed hyphae, or killed conidia. Calculated values for (O) glycolysis, (P) glycolytic capacity, and (Q) glycolytic reserve. For (O–Q), black asterisk denotes p < 0.05 via Kruskal–Wallis test followed by a Dunn’s test for multiple comparisons against the control. Red asterisk denotes p < 0.05 between genotypes for a given treatment group. C A B B C D E F D E E D F F I I G H H J G J H L K L K N M N M O P Q O Q FIGURE 4 | Modulation of glycolysis within BEAS-2B in response to A. fumigatus conidia, hyphae, and a subset of fungal PAMPs is dependent on Nlrx1. (A) Extracellular acidification rate (ECAR, mpH/min) and (B) oxygen consumption rate (OCR, pmol/min) for wild-type and Nlrx1-deficient (DNlrx1) cells using a standardized glycolytic stress test outlined in (C). Measurement of (D) ECAR and (E) OCR by wild-type BEAS-2B cells during a modified glycolytic stress test. The modified version of the assay provides an injection of fungal PAMPs (zymosan depleted and curdlan), killed hyphae, or killed conidia prior to the standard test. (F) Summary of glycolysis, superoxide production, and general reactive oxygen species production by BEAS-2B cells in response to killed conidia, hyphae, and fungal PAMPs zymosan depleted and curdlan. (G–J) ECAR and (K–N) OCR by wild-type and DNlrx1 BEAS-2B cells during a modified glycolytic stress test using fungal PAMPs (zymosan depleted and curdlan), killed hyphae, or killed conidia. Calculated values for (O) glycolysis, (P) glycolytic capacity, and (Q) glycolytic reserve. For (O–Q), black asterisk denotes p < 0.05 via Kruskal–Wallis test followed by a Dunn’s test for multiple comparisons against the control. Red asterisk denotes p < 0.05 between genotypes for a given treatment group. Frontiers in Immunology | www.frontiersin.org DISCUSSION mitochondrial function during oxidative phosphorylation (33). ROS, specifically hydrogen peroxide, can also be produced via NADPH-dependent DUOXs (DUOX1 and DUOX2) in a non- phagocytic manner at the cell membrane (34). Given our prior work and that of others on extracellular processing of conidia by airway epithelial cells (11, 18), DUOXs are a prime candidate for this function. DUOXs have also been previously shown to be critical in the killing and/or immune response to a number of microbes including Helicobacter felix, Psuedomonas aeruginosa, Enterococcus faecalis, Candida albicans, and influenza A virus, as well as maintaining gut and pulmonary homeostasis (35–41). Given the lack of mitochondrial perturbation in response to conidia as well as the Nlrx1-independent effect of Rot/AntA on conidial processing, we suspect that the Nlrx1-dependent ROS burst observed would therefore be due to NADPH oxidases such as DUOXs. Host resistance and clearance of A. fumigatus, and other ubiquitous microorganisms inhaled into the respiratory system, is an inherent and evolved feature with significant selection pressure. Mucociliary clearance is thought to be a key mechanism by which conidia and fungal particulate are removed from the upper respiratory system. Beyond mucociliary clearance, there exists a highly coordinated process of inter- and intracellular signaling events leading to the appropriate recognition, processing, containment, and eventual clearance of A. fumigatus. Aberrations in these processes may result in a variety of disease manifestation. Our prior results using Nlrx1-deficient mice in models of IPA indicated enhanced immunopathogenesis due to loss of regulation in both inter- and intracellular signaling as well as fungus burden, thereby resulting in a double detriment. Our in vitro studies indicate a defect in processing and killing of conidia by Nlrx1-deficient airway epithelial cells, alveolar macrophages, and BMDMs. This fit well with the enhanced fungal burden observed for Nlrx1- deficient mice in our prior studies on day 1 and day 3 post challenge using three different models of IPA and one of immuno-competent challenge (6). Cellular NADPH can be generated from glucose-6-phosphate dehydrogenase (G6PD) in the pentose phosphate pathway, cytoplasmic isocitrate dehydrogenase (IDH1), and cytoplasmic maleic enzyme (ME1) [Reviewed in (42)]. Our analysis of glycolysis via Seahorse metabolic flux analyzer indicated that glycolysis was significantly decreased in response to conidia by wild-type BEAS-2B cells. One explanation to this occurrence was the need to move molecules into the pentose phosphate pathway. Block-Aid of Pentose Phosphate Pathway Reduces ROS Production and Processing in Response to A. fumigatus Conidia specific inhibitor of lactate dehydrogenase, did not alter conidial processing for WT or DNlrx1 cells (p > 0.10), while the treatment with Rot/AntA resulted in a statistically significant increase in conidial survival for both genotypes (p < 0.05, Figure 5). These results fit well with our working model that glycolysis is shut down in order to shunt glucose 6-phosphate to fuel the pentose phosphate pathway specifically NADPH production. While our metabolic analysis via Seahorse metabolic flux analyzer did not identify a perturbation in mitochondrial function in response to killed conidia. Our inhibitor challenge assays suggest that loss of basal mitochondria function results in a Nlrx1-independent decrease in conidial viability. A summary, working model is presented in Figure 6 for how BEAS-2B cells respond to conidia and hyphae in a Nlrx1-dependent manner based on our findings. November 2021 | Volume 12 | Article 749504 Frontiers in Immunology | www.frontiersin.org 9 Nlrx1-Regulated Defense and Metabolism Kastelberg et al. FIGURE 5 | Inhibition of glycolysis and mitochondrial function in BEAS-2B reduces early conidial processing. Wild-type and Nlrx1-deficient (DNlrx1) BEAS-2B cells were pre-incubated with inhibitors at varying concentrations for 3 h. Cells were then washed three times with 2 × PBS to remove all inhibitors. Cells were then challenged with AF293 for 3 h and a FUN-1+ fluorescence assay was subsequently conducted. Final concentration of inhibitors: 2-DG, 25 mM; G6PDi-1, 50 mM; Sodium oxamate (S.O.), 25 mM; Rotenone/Antimycin A (Rot/Ant), 0.5 mM. Black double asterisk denotes p < 0.05 via Kruskal–Wallis test followed by a Dunn’s test for multiple comparisons against the control. Black single asterisk with a line across the two genotypes denotes p < 0.05 between genotypes for a given treatment group. FIGURE 5 | Inhibition of glycolysis and mitochondrial function in BEAS-2B reduces early conidial processing. Wild-type and Nlrx1-deficient (DNlrx1) BEAS-2B cells were pre-incubated with inhibitors at varying concentrations for 3 h. Cells were then washed three times with 2 × PBS to remove all inhibitors. Cells were then challenged with AF293 for 3 h and a FUN-1+ fluorescence assay was subsequently conducted. Final concentration of inhibitors: 2-DG, 25 mM; G6PDi-1, 50 mM; Sodium oxamate (S.O.), 25 mM; Rotenone/Antimycin A (Rot/Ant), 0.5 mM. Black double asterisk denotes p < 0.05 via Kruskal–Wallis test followed by a Dunn’s test for multiple comparisons against the control. Block-Aid of Pentose Phosphate Pathway Reduces ROS Production and Processing in Response to A. fumigatus Conidia Black single asterisk with a line across the two genotypes denotes p < 0.05 between genotypes for a given treatment group. Frontiers in Immunology | www.frontiersin.org DISCUSSION Inhibition of glycolysis and the pentose phosphate pathway via 2- DG and the specific inhibition of G6PD via G6PDi resulted in significant increase in conidial survival post challenge against WT BEAS-2B cells to levels similar to the Nlrx1 knockout. Our results in total suggest that the shutdown of glycolysis in response to A. fumigatus conidia is regulated by Nlrx1 to shunt glucose towards Our results presented in this study indicate that conidia do not induce a specific production of superoxide in BEAS-2B cells, but rather induce general ROS production as an early burst that may be associated with general oxidative stress or specific production for defense purposes. The intensity of this burst was significantly lower in DNlrx1 cells. Reactive oxygen species can be produced as either a product or by-product of November 2021 | Volume 12 | Article 749504 10 Kastelberg et al. Nlrx1-Regulated Defense and Metabolism A B D E C FIGURE 6 | Simplified, working models for metabolic responses to conidia and hyphae in airway epithelial cells and their dependency on Nlrx1. (A) Simplified representation of glycolysis, the pentose phosphate pathway, oxidative phosphorylation, ROS, and superoxide production. Modulation of these pathway in response to (B) conidia and (D) hyphae by wild-type cells. Relative modulation of these pathways in response to (C) conidia and (E) hyphae by Nlrx1-deficient cells in comparison to wild type. A B D FIGURE 6 | Simplified, working models for metabolic responses to conidia and hyphae in airway epithelial cells and their dependency on Nlrx1. (A) Simplified representation of glycolysis, the pentose phosphate pathway, oxidative phosphorylation, ROS, and superoxide production. Modulation of these pathway in response to (B) conidia and (D) hyphae by wild-type cells. Relative modulation of these pathways in response to (C) conidia and (E) hyphae by Nlrx1-deficient cells in comparison to wild type. support this connection as we noted a robust production of superoxide and ROS by BMDMs that is Nlrx1 dependent. Differences in the method of ROS generation between the cell types will be exciting to explore into the future as ample prior evidence suggests cell-specific ROS generation [reviewed in (34)]. Similarly, our work also suggests that Nlrx1 plays a critical role in not only shutting down glycolysis when needed in response to conidia, but also its amplification in response to hyphae. Frontiers in Immunology | www.frontiersin.org DISCUSSION How this contrasting modulation of glycolysis occurs will provide unique insight into the underlying differences for these signaling pathways in different cell types. the pentose phosphate pathway to generate NADPH. This response has not been observed for A. fumigatus conidia or clinically relevant fungi to the best of our knowledge. How Nlrx1 shuts down glycolysis in response to A. fumigatus conidia is of high relevance as this cellular metabolic function is critical for processing conidia. The increase in glycolysis and depletion of reserves in response to hyphae suggest that metabolism is an important component in mediating the appropriate morphotype- specific response to A. fumigatus. An increase in glycolysis in response to a bacteria, parasites, and viruses has been documented for several pathosystems (43– 46). A recent study has observed enhanced glycolysis in response to A. fumigatus conidia by macrophage cell types (8). Our results Much of our current study has centered around the role of an early ROS burst in response to A. fumigatus that is dependent on November 2021 | Volume 12 | Article 749504 Frontiers in Immunology | www.frontiersin.org Nlrx1-Regulated Defense and Metabolism Kastelberg et al. superoxide or ROS production by BMDMs and BMDNs in response to fungal PAMPs or killed conidia. Relatedly, Nlrx1 was shown to not influence Syk/NADPH mediated ROS production in response to fungal pathogen Histoplasma capsulatum, but Nlrx1 did modulate LC3 phagocytosis by macrophages via cytoplasmic interactions with TUFM/ATG5- ATG12 (50). In totality, the cell-type and morphotype specificity to A. fumigatus and fungal PAMPs observed in our work transcends to a wider scope and implies specific pathway level regulation of ROS production that is dependent on cell type and stimuli. Nlrx1. However, it is critical to acknowledge a number of additional non-oxidative defense strategies such as secreted peptides and proteins (47–49) may also be differentially expressed in a decreasing manner in the Nlrx1-deficient background. One broad conclusion of our study is that the functions and roles of Nlrx1 continue to extend, and these processes, such as an absence of negative regulation of glycolysis may also impact additional processes within the cell such as gene expression of defense proteins. Our preliminary work with BMDMs and alveolar macrophages indicated that Nlrx1 is critical for conidial processing. Macrophages rapidly internalize A. fumigatus conidia and process conidia in a manner dependent on NADPH oxidases as shown through p47phox deficient macrophages and chemical inhibitors of NADPH oxidases (10). DISCUSSION P47phox functions as a central organizer of the NOX2 NADPH oxidase phagocytic complex that produces superoxide (10). We observed small decreases in superoxide and ROS production by Nlrx1-deficient BMDMs indicating that Nlrx1 may be modulating additional non-oxidative aspects of conidial processing. Nlrx1 has been shown to facilitate LC3-associated phagocytosis (LAP) of Histoplasma capsulatum in macrophages via cytoplasmic interactions with TUFM/ATG5-ATG12, but not Dectin-1/Syk-mediated ROS production (50). Loss of Nlrx1 did not impact H. capsulatum replication, only LAP. It will be interesting to explore if Nlrx1 regulates phagocytosis of A. fumigatus conidia in macrophages and neutrophils and if this process has an impact on conidial processing. The function of Nlrx1 in mitochondrial respiration has also been contrasting among studies, and recent meta-analysis suggests a highly cell-type-specific functionality of Nlrx1 (52). Mechanistically, Nlrx1 has been shown to translocate into the mitochondria where it interacts with UQCRC2, a member of complex III, and Fas-activated serine-threonine kinase family protein-5 (FASTKD5) (22, 23, 53). The Nlrx1/UQCRC2/ Complex III is thought to impact mitochondrial ROS as well as mitochondrial respiration (22, 23, 53). Nlrx1 binding of FASTKD5 and mitochondrial RNA leads to an inhibition of maturation for transcripts encoding complex I and IV components (54). Loss of Nlrx1 results in an increased rate of OxPhos in hepatocytes presumably due to maturation of these transcripts (54). In epithelial cell (HEK293) models of ischemia– reperfusion injury, loss of Nlrx1 also resulted in increased oxygen consumption, oxidative stress, and downstream apoptosis (51). In CD4+ T cells, activation of Nlrx1 leads to increased expression of markers associated with oxidative phosphorylation (29). Our results with BEAS-2B epithelial cells indicate that loss of Nlrx1 resulted in decreased oxygen consumption, mitochondrial function, spare capacity, and maximal respiration during the mitochondrial stress test. We also observed a decreased oxygen consumption during the glycolytic stress test. Ultimately, these findings add the notion of Nlrx1 being highly cell type specific in regards to mitochondrial function. There have been a variety of reports indicating ROS production being independent or dependent on Nlrx1. Overexpression and targeting of NLRX1 to the mitochondria triggered ROS production to levels similar to that produced by TNFa treatment in HeLa cells, suggesting a dependence on Nlrx1 (23). Concurrent overexpression of Nlrx1 and treatment of HeLa cells with either TNFa, Shigella infection, or the viral RNA analog polyinosinic:polycytidylic acid resulted in further enhanced ROS production (23). Frontiers in Immunology | www.frontiersin.org November 2021 | Volume 12 | Article 749504 REFERENCES Responses to Aspergillus Fumigatus in Hematopoietic Transplanted Patients. Blood (2012) 119(4):967–77. doi: 10.1182/blood-2011-06-362582 Blood (2012) 119(4):967–77. doi: 10.1182/blood-2011-06-362582 1. Latge JP, Chamilos G. Aspergillus Fumigatus and Aspergillosis in 2019. Clin Microbiol Rev (2019) 33(1):1–75. doi: 10.1128/CMR.00140-18 8. Goncalves SM, Duarte-Oliveira C, Campos CF, Aimanianda V, Ter Horst R, Leite L, et al. Phagosomal Removal of Fungal Melanin Reprograms Macrophage Metabolism to Promote Antifungal Immunity. Nat Commun (2020) 11(1):2282. doi: 10.1038/s41467-020-16120-z 2. de Luca A, Bozza S, Zelante T, Zagarella S, D'Angelo C, Perruccio K, et al. Non-Hematopoietic Cells Contribute to Protective Tolerance to Aspergillus Fumigatus via a TRIF Pathway Converging on IDO. Cell Mol Immunol (2010) 7(6):459–70. doi: 10.1038/cmi.2010.43 9. Kyrmizi I, Ferreira H, Carvalho A, Figueroa JAL, Zarmpas P, Cunha C, et al. Calcium Sequestration by Fungal Melanin Inhibits Calcium-Calmodulin Signalling to Prevent LC3-Associated Phagocytosis. Nat Microbiol (2018) 3 (7):791–803. doi: 10.1038/s41564-018-0167-x 3. Loures FV, Rohm M, Lee CK, Santos E, Wang JP, Specht CA, et al. Recognition of Aspergillus Fumigatus Hyphae by Human Plasmacytoid Dendritic Cells Is Mediated by Dectin-2 and Results in Formation of Extracellular Traps. PLoS Pathog (2015) 11(2):e1004643. doi: 10.1371/ journal.ppat.1004643 10. Philippe B, Ibrahim-Granet O, Prevost MC, Gougerot-Pocidalo MA, Sanchez Perez M, van der Meeren A, et al. Killing of Aspergillus Fumigatus by Alveolar Macrophages Is Mediated by Reactive Oxidant Intermediates. Infect Immun (2003) 71(6):3034–42. doi: 10.1128/IAI.71.6.3034-3042.2003 4. Bozza S, Gaziano R, Spreca A, Bacci A, Montagnoli C, di Francesco P, et al. Dendritic Cells Transport Conidia and Hyphae of Aspergillus Fumigatus From the Airways to the Draining Lymph Nodes and Initiate Disparate Th Responses to the Fungus. J Immunol (2002) 168(3):1362–71. doi: 10.4049/ jimmunol.168.3.1362 11. Clark HR, Powell AB, Simmons KA, Ayubi T, Kale SD. Endocytic Markers Associated With the Internalization and Processing of Aspergillus Fumigatus Conidia by BEAS-2b Cells. mSphere (2019) 4(1). doi: 10.1128/mSphere. 00663-18 12. Levitz SM, Diamond RD. Mechanisms of Resistance of Aspergillus Fumigatus Conidia to Killing by Neutrophils In Vitro. J Infect Dis (1985) 152(1):33–42. doi: 10.1093/infdis/152.1.33 5. Espinosa V, Jhingran A, Dutta O, Kasahara S, Donnelly R, Du P, et al. Inflammatory Monocytes Orchestrate Innate Antifungal Immunity in the Lung. PLoS Pathog (2014) 10(2):e1003940. doi: 10.1371/journal. ppat.1003940 13. Gazendam RP, van Hamme JL, Tool AT, Hoogenboezem M, van den Berg JM, Prins JM, et al. Human Neutrophils Use Different Mechanisms To Kill Aspergillus Fumigatus Conidia and Hyphae: Evidence From Phagocyte Defects. J Immunol (2016) 196(3):1272–83. doi: 10.4049/jimmunol.1501811 6. ETHICS STATEMENT The animal study was reviewed and approved by the NIMML Institute. DISCUSSION Supplementary Figure 1 | Reactive oxygen species and oxidative stress production by wild type and DNlrx1 BEAS-2B airway epithelial in response to fungal PAMPs and A. fumigatus. Wild type and DNlrx1 BEAS-2B cells were pre-incubated with (A–F) a fluorescent dye specific for superoxide production or (G–L) a fluorescent oxidative stress (OS) indicator. Cells were then treated with (A, G) control PBS buffer, (B, H) killed hyphae, (C, I) zymosan, (D, J) curdlan, (E, K) zymosan depleted, or (F, L) killed conidia for 9hrs. Fluorescence was measured at 30, 60, 90, 180, 360, 540 min post treatment. N=6-8. Error bars denote standard deviation. All experiments were independently repeated. P < 0.05, indicated by asterisk via Kruskal-Wallis test followed up by a Dunn’s test for multiple comparisons. stem cell populations such as airway epithelial cells in response to conidia will also be important to determine. AUTHOR CONTRIBUTIONS SK conceived the idea. SK, JB-R, and RH designed the experiments. BK, TA, NT-J, and SK conducted the experiments. BK, TA, NT-J, AL, and SK analyzed the results. BK and SK wrote the manuscript with input from all authors. All authors contributed to the article and approved the submitted version. Supplementary Figure 3 | Reactive oxygen species and oxidative stress production by wild type and Nlrx1 deficient bone marrow derived neutrophils in response to fungal PAMPs and A. fumigatus. Wild type and Nlrx1 deficient bone marrow derived neutrophils (BMDNs) were pre-incubated with (A–G) a fluorescent dye specific for superoxide production or (H–N) a fluorescent oxidative stress (OS) indicator. Production of (A, B) superoxide and (H, I) reactive oxygen species by wildtype BMDNs to stimuli (killed conidia, zymosan depleted, zymosan, curdlan, and control PBS) over 6 hours. Cells were then treated with (C, J) curdlan, (D, K) zymosan depleted, (E, L) zymosan, (F, M) killed conidia or (G, N) control PBS buffer for 6hrs. Fluorescence was measured at 30, 60, 90, 180, 360 min post treatment. N=8. Error bars denote standard deviation. All experiments were independently repeated. P < 0.05, indicated by asterisk via Kruskal-Wallis test followed by a Dunn’s test for multiple comparisons. SUPPLEMENTARY MATERIAL The Supplementary Material for this article can be found online at: https://www.frontiersin.org/articles/10.3389/fimmu.2021. 749504/full#supplementary-material DISCUSSION Similarly, Nlrx1 overexpression was shown to enhance Chlamydia trachomatis-induced ROS production in HeLa cells (24). This ROS production could be inhibited via either DPI treatment, indicating that the source was cytoplasmic or membrane NOX and/or DUOX proteins or by siRNA targeting either DUOX1, DUOX2, or NOX4. This finding fits well with our hypothesis that Nlrx1 is regulating ROS production external to the mitochondria in BEAS-2B epithelial cells. While our hypothesis is centered on the loss of Nlrx1 resulting in a failure to modulate pathways at the protein level, an interesting hypothesis is that the loss of Nlrx1 has resulted in an underlying change in gene expression that results in the loss of signal transduction pathway components from being expressed versus a failure for that pathway to transduce that signal in the absence of Nlrx1. Given the observed effects of Nlrx1 on maturing complex I and IV components as well as gene expression of OxPhos components, this will be an important consideration in the future (29, 54). Ongoing studies will allow us to determine if loss of Nlrx1 changes the underlying transcriptome. Conversely, loss of Nlrx1 has been shown to increase ROS production by BMDMs in response to H. pylori that correlated with decreased H. pylori survival post challenge (25). In animal and cell models of ischemia–reperfusion injury reactive oxygen species, specifically mitochondrial superoxide production was shown to increase in the absence of Nlrx1 (51). No statistically significant or minimal decrease in ROS production was observed in Nlrx1-/- BMDMs and neutrophils in comparison to WT with a variety of PAMPs (LPS, TNFa, polyI: C, Pam3Cys, and fmlp) (28). Our results were in accord with these finding as we did not observe a Nlrx1 dependency on The interplay between host metabolism, immune signaling, and cellular defense towards microbes is an exciting field of study that presents novel therapeutic options and insight into host biology. One aspect of the intertwined and complex nature of these processes has been partially illuminated in the context of Nlrx1. Why and how BEAS-2B cells decrease glycolysis in response to conidia yet increase for hyphae will be an exciting exploration for future studies. Furthermore, the physiological relevance of why glycolysis is decreased by non-hematopoietic November 2021 | Volume 12 | Article 749504 Frontiers in Immunology | www.frontiersin.org 12 Nlrx1-Regulated Defense and Metabolism Kastelberg et al. DATA AVAILABILITY STATEMENT The raw data supporting the conclusions of this article will be made available by the authors, without undue reservation. Supplementary Figure 2 | Reactive oxygen species and oxidative stress production by wild type and Nlrx1 deficient bone marrow derived macrophages in response to fungal PAMPs and A. fumigatus. Wild type and Nlrx1 deficient bone marrow derived macrophages (BMDMs) were pre-incubated with (A–F) a fluorescent dye specific for superoxide production or (G–L) a fluorescent oxidative stress (OS) indicator. Production of (A) superoxide and (B) reactive oxygen species by wildtype BMDMs to stimuli (killed conidia, zymosan depleted, zymosan, curdlan, and control PBS) over 9 hours. Wildtype and Nlrx1-/- BEAS-2B cells were then treated with either (B, H) curdlan, (C, I) zymosan depleted, (D, J) zymosan, (E, K) killed conidia or (F, L) control PBS buffer over 9hrs. Fluorescence was measured at 30, 60, 90, 180, 360, 540 min post treatment. N=8. Error bars denote standard deviation. All experiments were independently repeated. P < 0.05, indicated by asterisk via Kruskal-Wallis test followed by a Dunn’s test for multiple comparisons. REFERENCES Richard N, Marti L, Varrot A, Guillot L, Guitard J, Hennequin C, et al. 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Nlrx1-Regulated Defense and Metabolism 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. 50. Huang JH, Liu CY, Wu SY, Chen WY, Chang TH, Kan HW, et al. NLRX1 Facilitates Histoplasma Capsulatum-Induced LC3-Associated Phagocytosis for Cytokine Production in Macrophages. Front Immunol (2018) 9:2761. doi: 10.3389/fimmu.2018.02761 51. Stokman G, Kors L, Bakker PJ, Rampanelli E, Claessen N, Teske GJD, et al. NLRX1 Dampens Oxidative Stress and Apoptosis in Tissue Injury via Control of Mitochondrial Activity. J Exp Med (2017) 214(8):2405–20. doi: 10.1084/ jem.20161031 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. 52. Fekete T, Bencze D, Biro E, Benko S, Pazmandi K. Focusing on the Cell Type Specific Regulatory Actions of NLRX1. Int J Mol Sci (2021) 22(3). doi: 10.3390/ijms22031316 53. Rebsamen M, Vazquez J, Tardivel A, Guarda G, Curran J, Tschopp J. NLRX1/ NOD5 Deficiency Does Not Affect MAVS Signalling. Cell Death Differ (2011) 18(8):1387. doi: 10.1038/cdd.2011.64 Copyright © 2021 Kastelberg, Ayubi, Tubau-Juni, Leber, Hontecillas, Bassaganya- Riera and Kale. This is an open-access article distributed under the terms of the Creative Commons Attribution License (CC BY). 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. 54. Kors L, Rampanelli E, Stokman G, Butter LM, Held NM, Claessen N, et al. Deletion of NLRX1 Increases Fatty Acid Metabolism and Prevents Diet- Induced Hepatic Steatosis and Metabolic Syndrome. Biochim Biophys Acta Mol Basis Dis (2018) 1864(5 Pt A):1883–95. doi: 10.1016/j.bbadis.2018.03.003 November 2021 | Volume 12 | Article 749504 Frontiers in Immunology | www.frontiersin.org 15
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ABSTRACT ian cyclicity. A smaller proportion of VD 5 (85.8%) cows received at least one AI compared with VD 1/2 (91.5%), VD 3 (91.0%), or VD 4 (91.6%) cows. Although we did not detect differences in pregnancy at first AI according to VD, fewer cows with VD 5 (64.4%) were pregnant at 300 DIM than cows with VD 1/2 (76.5%), VD 3 (76.2%), or VD 4 (74.7%). Hazard of pregnancy by 300 DIM was smaller for VD 5 compared with VD 1/2, VD 3, or VD 4 cows. A greater proportion of VD 5 cows were removed from the herd within 300 DIM compared with other VD groups. Milk production was 760 kg lower within 300 DIM for VD 5 compared with VD 2, VD 3, and VD 4, whereas VD 2, VD 3, and VD 4 had similar milk produc- tion. We did not detect an association between fever at diagnosis of VD 5 and reproductive performance or milk production. A greater proportion of VD 5 cows without fever were removed from the herd by 300 DIM compared with VD 5 cows with fever. Differences in productive and reproductive performance, and removal of the herd were restricted to fetid, watery, and reddish-brownish vaginal discharge, which was independent of fever. The objective was to assess differences in productive and reproductive performance, and survival associated with vaginal discharge characteristics and fever in post- partum dairy cows located in western and southern states of the United States. This retrospective cohort study in- cluded data from 3 experiments conducted in 9 dairies. Vaginal discharge was evaluated twice within 12 DIM and scored on a 5-point scale. The highest vaginal discharge score observed for each cow was used to allocate them into 1 of 5 possible groups (VD group) as follows: VD 1 and 2 (VD 1/2; n = 1,174) = clear mucus or lochia with or without flecks of pus; VD 3 (n = 1,802) = mucopurulent with <50% pus; VD 4 (n = 1,643) = mucopurulent with ≥50% of pus or nonfetid reddish-brownish mucus, n = 1,643; VD 5 = fetid, watery, and reddish-brownish, n = 1,800. All VD 5 cows received treatment according to each herd’s protocol. Rectal temperature was assessed in a subset of VD 5 cows, and subsequently divided into fever (rectal temperature ≥39.5°C; n = 334) and no fever (n = 558) groups. Evaluating differences in milk production, reproductive performance, and survival associated with vaginal discharge characteristics and fever in postpartum dairy cows Evaluating differences in milk production, reproductive performance, and survival associated with vaginal discharge characteristics and fever in postpartum dairy cows C. C. Figueiredo,1* S. Casaro,2 F. Cunha,2 V. R. Merenda,3 E. B. de Oliveira,4 P. Pinedo,5 J. E. P. Santos,6 R. C. Chebel,2,6 G. M. Schuenemann,7 R. C. Bicalho,8 R. O. Gilbert,9 S. Rodriguez Zas,10 C. M. Seabury,11 G. Rosa,12 W. W. Thatcher,6 R. S. Bisinotto,2 and K. N. Galvão2* 1Department of Veterinary Clinical Sciences, Washington State University, Pullman, WA 99163 2Department of Large Animal Clinical Sciences, D. H. Barron Reproductive and Perinatal Biology Research Program, University of Florida, Gainesville, FL 32610 g R. C. Chebel,2,6 G. M. Schuenemann,7 R. C. Bicalho,8 R. O. Gilbert,9 S. Rodriguez Z G. Rosa, W. W. Thatcher, R. S. Bisinotto, and K. N. Galvão 1Department of Veterinary Clinical Sciences, Washington State University, Pullman, WA 99163 2Department of Large Animal Clinical Sciences D H Barron Reproductive and Perinatal Biology p , y, , 6Department of Animal Sciences, University of Florida, Gainesville, FL 32608 p y 7Department of Veterinary Preventative Medicine, The Ohio State University, Columbus, OH 43210 8FERA Diagnostics and Biologicals, College Station, TX 77845 g g , g , 9School of Veterinary Medicine, Ross University, St. Kitts KN0101, West Indies 10Department of Animal Sciences, University of Illinois Urbana-Champaign, Urbana, IL 6180 11College of Veterinary Medicine, Texas A&M University, College Station, TX 77843 g y y g 12Department of Animal Sciences, University of Wisconsin–Madison, Madison, WI 53706 J. Dairy Sci. 107:6079–6089 https://doi.org/10.3168/jds.2023-23905 © 2024, The Authors. Published by Elsevier Inc. on behalf of the American Dairy Science Association®. This is an open access article under the CC BY license (http://creativecommons.org/licenses/by/4.0/). © 2024, The Authors. Published by Elsevier Inc. on behalf of the American Dairy Science Association®. This is an open access article under the CC BY license (http://creativecommons.org/licenses/by/4.0/). ABSTRACT A smaller proportion of cows with VD 5 (67.6%) resumed ovarian cyclicity compared with VD 1/2 (76.2%) and VD 4 (72.9%) cows; however, a similar proportion of VD 5 and VD 3 (72.6%) cows resumed ovar- Key words: uterine disease, vaginal discharge, fever, dairy cow Accepted February 26, 2024. The list of standard abbreviations for JDS is available at adsa.org/jds-abbreviations-24. Nonstandard abbreviations are available in the Notes. Received June 26, 2023. Received June 26, 2023. Accepted February 26, 2024. *Corresponding authors: caio.figueiredo@​wsu​.edu and galvaok@​ufl​ .edu J. Dairy Sci. 107:6079–6089 https://doi.org/10.3168/jds.2023-23905 © 2024, The Authors. Published by Elsevier Inc. on behalf of the American Dairy Science Association®. This is an open access article under the CC BY license (http://creativecommons.org/licenses/by/4.0/). INTRODUCTION Metritis is a uterine infection that affects approxi- mately 25% of postpartum dairy cows in the Unites States (Pinedo et al., 2020), and it affects animal welfare (Stojkov et al., 2015; Barragan et al., 2018), reproduc- The list of standard abbreviations for JDS is available at adsa.org/jds-abbreviations-24. Nonstandard abbreviations are available in the Notes. DS is available at adsa.org/jds-abbreviations-24. Nonstandard abbreviations are available in the Notes. 6079 Figueiredo et al.: VAGINAL DISCHARGE IN DAIRY COWS 6080 tive performance and milk yield (Ribeiro et al., 2013; Figueiredo et al., 2021), removal from herd (Bartlett et al., 1986; Figueiredo et al., 2021), and economic suc- cess of dairy farms (Pérez-Báez et al., 2021). Although metritis has long been a concern to the dairy industry (Robertson, 1938), its definition was not standardized until 2006 when metritis was classified as puerperal metritis (cows with fetid watery red-brown uterine dis- charge, signs of systemic illness, and rectal temperature >39.5°C within 21 DIM) or clinical metritis (cows not ill, but have abnormally enlarged uterus and purulent uterine discharge within 21 DIM; Sheldon et al., 2006). A recent review reported that 60% of studies used the definition of metritis proposed by Sheldon et al. (2006) to character- ize metritis (Garzon et al., 2022). However, in spite of the improvement achieved in standardization of metritis definition based on vaginal discharge characteristics (i.e., odor and color; which is a method with inconsisten- cies, Sannmann and Heuwieser, 2015), large variations in vaginal discharge viscosity that defines metritis still exist (Garzon et al., 2022). Approximately 35% of stud- ies considered purulent or mucopurulent discharge as the clinical diagnosis of metritis (Garzon et al., 2022). Data comparing productive outcomes in cows displaying different vaginal discharge characteristics are scarce, but one study reported differences in milk production and reproductive performance between cows that displayed fetid, watery, and reddish-brownish discharge and cows that displayed mucopurulent or purulent discharge (Pic- cardi et al., 2016), indicating different degrees of inflam- mation between the 2 groups. The high variability in the vaginal discharge characteristics used to define metritis was also observed in dairy practices (Espadamala et al., 2018). Approximately 62% of dairies characterized me- tritis as the presence of fetid/nonfetid reddish-brownish, and purulent discharge, subsequently leading to the use of antimicrobial in all cases. MATERIALS AND METHODS MATERIALS AND METHODS Study Population and Vaginal Discharge Assessment INTRODUCTION A clearer characterization of metritis based on differences in lactational performance could result in reducing antimicrobial use in cows that are erroneously diagnosed as having metritis. Considering the large variations in vaginal discharge features that characterize metritis and the inconsistent findings related to fever in cows with metritis, the ob- jective of the present study was to assess differences in productive and reproductive performance, and survival associated with vaginal discharge characteristics and fever in postpartum dairy cows located in western and southern states of the United States. We hypothesize that (1) cows that display fetid, watery, and reddish-brownish vaginal discharge have inferior reproductive and pro- ductive performance, and survival compared with cows displaying purulent or mucopurulent vaginal discharges; and (2) fever in cows displaying fetid, watery, and red- dish-brownish vaginal discharge is associated with more severe negative changes in reproductive and productive performance, and survival compared with nonfebrile cows displaying fetid, watery, and reddish-brownish vaginal discharge. INTRODUCTION A clearer characterization of metritis based on differences in lactational performance could result in reducing antimicrobial use in cows that are erroneously diagnosed as having metritis. tently associated with severity in lactational performance losses (Giuliodori et al., 2013). Understanding whether fever is associated with more severe negative effects in cows with metritis is a major concern in dairy herds as well, as approximately 30% of dairies treated clinically sick cows with antimicrobials only when fever was pres- ent (Espadamala et al., 2018). tive performance and milk yield (Ribeiro et al., 2013; Figueiredo et al., 2021), removal from herd (Bartlett et al., 1986; Figueiredo et al., 2021), and economic suc- cess of dairy farms (Pérez-Báez et al., 2021). Although metritis has long been a concern to the dairy industry (Robertson, 1938), its definition was not standardized until 2006 when metritis was classified as puerperal metritis (cows with fetid watery red-brown uterine dis- charge, signs of systemic illness, and rectal temperature >39.5°C within 21 DIM) or clinical metritis (cows not ill, but have abnormally enlarged uterus and purulent uterine discharge within 21 DIM; Sheldon et al., 2006). A recent review reported that 60% of studies used the definition of metritis proposed by Sheldon et al. (2006) to character- ize metritis (Garzon et al., 2022). However, in spite of the improvement achieved in standardization of metritis definition based on vaginal discharge characteristics (i.e., odor and color; which is a method with inconsisten- cies, Sannmann and Heuwieser, 2015), large variations in vaginal discharge viscosity that defines metritis still exist (Garzon et al., 2022). Approximately 35% of stud- ies considered purulent or mucopurulent discharge as the clinical diagnosis of metritis (Garzon et al., 2022). Data comparing productive outcomes in cows displaying different vaginal discharge characteristics are scarce, but one study reported differences in milk production and reproductive performance between cows that displayed fetid, watery, and reddish-brownish discharge and cows that displayed mucopurulent or purulent discharge (Pic- cardi et al., 2016), indicating different degrees of inflam- mation between the 2 groups. The high variability in the vaginal discharge characteristics used to define metritis was also observed in dairy practices (Espadamala et al., 2018). Approximately 62% of dairies characterized me- tritis as the presence of fetid/nonfetid reddish-brownish, and purulent discharge, subsequently leading to the use of antimicrobial in all cases. Study Population and Vaginal Discharge Assessment All VD 5 cows (re- gardless of fever) received treatment according to each dairy’s standard operational procedure (i.e., drug, dose, and duration). Because each dairy was responsible for the treatment of cows with VD 5, we cannot guarantee that all cows with VD 5 were treated with systemic an- timicrobials. Nevertheless, different antimicrobials were included the majority of dairies’ standard operational procedures, and different antimicrobials were reported to produce similar clinical and productive outcomes in cows with metritis (Lima et al., 2014). Florida (de Oliveira et al., 2020; Merenda et al., 2021), rectal temperature of cows from the VD 5 group (n = 862, at the time of enrollment) was assessed, and cows with rectal temperature ≥39.5°C were considered febrile (no fever, n = 558; fever, n = 304). All VD 5 cows (re- gardless of fever) received treatment according to each dairy’s standard operational procedure (i.e., drug, dose, and duration). Because each dairy was responsible for the treatment of cows with VD 5, we cannot guarantee that all cows with VD 5 were treated with systemic an- timicrobials. Nevertheless, different antimicrobials were included the majority of dairies’ standard operational procedures, and different antimicrobials were reported to produce similar clinical and productive outcomes in cows with metritis (Lima et al., 2014). assessed and scored using a 4-point scale validated for dairy cattle (Schuenemann et al., 2011). Calving scores ≥2 was defined as dystocic delivery. Calf sex and number (1 = singleton; 2 = twins) were recorded by farm person- nel. Retained fetal membranes (RFM) were character- ized based on visual inspection as persistent membranes attached ≥24 h after parturition. p Vaginal discharge was retrieved for assessment using a Metricheck device (Simcro, New Zealand) at between 2 and 8 d and between 9 and 15 d postpartum in all herds. Once retrieved, vaginal discharge was visually assessed and scored using an adapted 5-point scale described by Chenault et al. (2004). Study Outcomes Resumption of ovarian cyclicity postpartum was as- sessed in a subgroup of cows according to VD group (VD 1, n = 69; VD 2, n = 743; VD 3, n = 1,283; VD 4, n = 1,120; VD 5, n = 1,240; de Oliveira et al., 2020; Pinedo et al., 2020; Merenda et al., 2021), and fever (no fever, n = 236; fever, n = 152; de Oliveira et al., 2020; Merenda et al., 2021). Cows had their ovaries evaluated using transrectal ultrasonography at 40 ± 3 and 54 ± 3 DIM with portable ultrasounds equipped with a 7.5-MHz linear transducer. Cows with a visible corpus luteum with diameter >15 mm in either exam were classified as cyclic, whereas cows without visible corpus luteum in neither exam were considered anovular. For all herds, the proportion of cows that received at least one AI was assessed. The proportion of cows that received at least one AI was calculated as the total number of cows that received one AI divided by the total number of live cows by the end of the voluntary waiting period. Pregnancy was diagnosed at 35 ± 5 d after AI and confirmed at 65 ± 5 d after AI by per rectal ultrasonography and calculated as the number of cows diagnosed pregnant divided by the total number of cows that received AI. Only data from pregnancy confirmation (65 ± 5 d after AI) was used for further analysis. Cows were followed up until 300 DIM, and time to pregnancy was defined as days postpartum at the AI that resulted in a pregnancy. Figure 1. Vaginal discharge score: VD 1 = clear mucus or lochia; VD 2 = clear mucus with flecks of pus; VD 3 = mucopurulent with <50% of pus; VD 4 = mucopurulent with ≥50% of pus or reddish or brownish mucous discharge not fetid; VD 5 = fetid, watery, and reddish or brown- ish discharge. Videos from each vaginal discharge retrieved are available in Supplemental Videos S1, S2, S3, S4, and S5. Herds participated in the monthly DHIA test, and individual test-day milk production performed monthly was recorded for the first 10 mo postpartum. Study Population and Vaginal Discharge Assessment Per Figure 1, vaginal discharge was scored as 1 = no discharge, clear mucus, or clear lochia; 2 = clear mucus with flecks of pus; 3 = mucopurulent discharge with <50% pus; 4 = mucopurulent with ≥50% of pus or reddish-brownish mucous discharge not fetid; 5 = fetid, watery, and reddish or brownish discharge (Fetid discharge alone was not a sufficient criterion to charac- terize VD 5; videos from each vaginal discharge score were included as Supplemental Videos S1, S2, S3, S4, and S5). The highest vaginal discharge score observed for each cow was used to allocate them into 1 of 5 pos- sible groups (VD group, numbered as VD 1–VD 5) for further analysis. The distribution of cows per VD group follows: VD 1 = 113 cows (2% of total study population), VD 2 = 1,061 cows (17% of total study population), VD 3 = 1,802 cows (28% of total study population), VD 4 = 1,643 cows (26% of total study population), and VD 5 = 1,800 cows (28% of total study population). In a subgroup of cows located in 5 out of 6 dairy herds in Study Population and Vaginal Discharge Assessment In this retrospective cohort study, we used data from 6 dairies in Florida and 3 dairies in California that were previously collected by research groups that had similar training (de Oliveira et al., 2020; Pinedo et al., 2020; Me- renda et al., 2021). A total of 6,419 (2,309 primiparous and 4,110 multiparous cows) Holstein dairy cows that calved between November 2012 and July 2018 were used in this study. None of the cows that were treated to chito- san microparticles (de Oliveira et al., 2020) were eligible to be included in the present study. Cows were fed a TMR to meet or exceed the nutritional requirements for Holstein cows weighing 650 to 680 kg (estimated mature BW of Holstein cows according to the Nutrient Require- ment of Dairy Cattle) and producing 40 to 45 kg/d of 3.5% FCM (NRC, 2001). General information regarding each participant dairy herd is presented in Supplemental Table S1 (see Notes). As previously highlighted, fever is another component for metritis categorization that largely varied among the scientific community and farm practices. Although a proportion of authors defined metritis as the presence of fetid, watery, reddish-brownish vaginal discharge and fever (Drillich et al., 2001; Chenault et al., 2004; McLaughlin et al., 2012), others considered fetid, watery, reddish-brownish vaginal discharge alone as the criterion for metritis (Giuliodori et al., 2013; Lima et al., 2014; de Oliveira et al., 2020; Merenda et al., 2021). The use of fever as a criterion for metritis diagnosis is controversial, because of fluctuations in rectal temperature within the first 10 DIM (Benzaquen et al., 2007; Wenz et al., 2011). As such, fever at metritis diagnosis has not been consis- In each herd, calving was monitored by trained person- nel and cows were assisted according to each herd’s stan- dard operational procedure. Date and season of calving (spring = March to May; summer = June to August; fall = September to November; winter = December to Febru- ary) were recorded for each cow. Calving difficulty was Journal of Dairy Science Vol. 107 No. 8, 2024 6081 Figueiredo et al.: VAGINAL DISCHARGE IN DAIRY COWS Florida (de Oliveira et al., 2020; Merenda et al., 2021), rectal temperature of cows from the VD 5 group (n = 862, at the time of enrollment) was assessed, and cows with rectal temperature ≥39.5°C were considered febrile (no fever, n = 558; fever, n = 304). Journal of Dairy Science Vol. 107 No. 8, 2024 Study Outcomes Test days were aligned with month postpartum, and milk data were collected for VD 1 (primiparous, n = 1; multiparous, n = 12), VD 2 (primiparous, n = 90; multiparous, n = 392), VD 3 (primiparous, n = 290; multiparous, n = 619), VD 4 (primiparous, n = 401; multiparous, n = 695), and VD 5 (primiparous, n = 834; multiparous, n = 893). Milk production data from VD 1 cows was not included in Figure 1. Vaginal discharge score: VD 1 = clear mucus or lochia; VD 2 = clear mucus with flecks of pus; VD 3 = mucopurulent with <50% of pus; VD 4 = mucopurulent with ≥50% of pus or reddish or brownish mucous discharge not fetid; VD 5 = fetid, watery, and reddish or brown- ish discharge. Videos from each vaginal discharge retrieved are available in Supplemental Videos S1, S2, S3, S4, and S5. Figure 1. Vaginal discharge score: VD 1 = clear mucus or lochia; VD 2 = clear mucus with flecks of pus; VD 3 = mucopurulent with <50% of pus; VD 4 = mucopurulent with ≥50% of pus or reddish or brownish mucous discharge not fetid; VD 5 = fetid, watery, and reddish or brown- ish discharge. Videos from each vaginal discharge retrieved are available in Supplemental Videos S1, S2, S3, S4, and S5. Journal of Dairy Science Vol. 107 No. 8, 2024 Figueiredo et al.: VAGINAL DISCHARGE IN DAIRY COWS 6082 up period. The final model for time to removal from the herd included dairy herd, parity, dystocia, and season of calving as covariates. Proportionality of hazards as- sumption was assessed graphically by inspecting the Kaplan-Meier survival curves. Results were reported as adjusted hazard ratio (AHR) and 95% CI. Total milk production within 300 DIM was analyzed by ANOVA us- ing the GLIMMIX procedure, considering VD group and parity as fixed effect, and dairy herd as random effect. The current method for analysis of total milk production within 300 DIM has shown a 98.8% correlation (Gobik- rushanth et al., 2014; Pérez-Báez et al., 2021) with the test-day model (Wiggans, 1985). Interactions between variables such as VD and season were not assessed in any of the models. Confounding effects were assessed using previously published methods (Vieira-Neto et al., 2016), briefly, confounding was considered if changes ≥20% in effect size of VD were observed. RESULTS Due to limited number of cows with for VD 1 (n = 113 cows) and its similarity to VD 2 relative to reproductive performance and survival (Supplemental Table S2), both groups were combined for statistical analysis and subse- quently named VD 1/2. Time-to-event outcomes were analyzed via Cox’s proportional hazard model using the PHREG procedure of SAS and Kaplan-Meier survival curves using the LIFETEST procedure of SAS. For analyses of time to pregnancy, cows were right-censored when they were deemed no longer eligible for reproduction (Do Not Breed code in farm records), left the herd before 300 DIM, or were nonpregnant at 300 DIM. The final model for time to pregnancy included dairy herd, parity, dys- tocia, season of calving, and RFM as covariates. The visual assessment of hazard proportionality depicted a minor crossover in hazards of pregnancy within 300 DIM. For analyses of time to removal from the herd, cows were right-censored at completion of the follow- Study Outcomes Assumptions of normality of residuals and homogeneity of variance were evaluated using the UNIVARIATE procedure. The P-values for all pairwise comparisons were adjusted us- ing the Tukey-Kramer method. Results were reported as LSM and SEM. The same set of analysis and procedures were conducted to evaluate the differences in the out- comes previously described associated with fever (as a binary variable) and rectal temperature (as a continuous variable) in cows with VD 5 (covariates included in final models are available in Supplemental Tables S4 and S5). In those analysis, fever or rectal temperature was used as fixed effect rather than VD group. Differences with P ≤ 0.05 were considered significant. subsequent analysis due to its limited size. A subset of cows was used for analysis related to the differences in milk production associated with fever in cows with VD 5 (no fever, n = 541; fever, n = 288). Date and DIM of removal from herd (i.e., death or sale) were recorded for cows that left the herd by 300 DIM. Statistical Analyses Comparable data obtained from 3 studies (de Oliveira et al., 2020; Pinedo et al., 2020; Merenda et al., 2021) were used in the current study. Initial analysis encom- passed assessing the association between independent variables and outcomes of interest using univariable analysis. Independent variables with P ≤ 0.10 in uni- variable analyses were included in multivariable model. Independent variables were removed from multivariable models using a backward stepwise elimination method if P > 0.10, with the exception of dairy herd (random effect) and VD (fixed effect), which were forced into all final models. Binary outcomes (i.e., resumption of ovar- ian cyclicity, receiving at least one AI, pregnancy at first AI, pregnancy within 300 DIM, and removal from the herd within 300 DIM) were analyzed by logistic regres- sion using the FREQ and GLIMMIX procedures of SAS. To acquire adjusted proportions from logistic regression models, the term LSMEANS within GLIMMIX was used (SAS, Chapel Hill, NC). Initial models included the fixed effects of parity, calving season, dystocia, RFM, calf sex, and number. The individual dairy herd was used as a random variable. The covariates included in the final model for resumption of ovarian cyclicity were parity and season of calving; receiving at least one AI were par- ity, dystocia, and season of calving; pregnancy at first AI were parity, dystocia, season of calving, and RFM; pregnancy within 300 DIM were parity, dystocia, season of calving, and RFM; and removal from the herd within 300 DIM were parity, dystocia, and season of calving (Supplemental Table S3). Results were reported as LSM and SEM. Differences in Reproductive Performance Associated with Vaginal Discharge Scores 2Covariates accounted in final models for resumption of ovarian cyclicity: parity and season of calving; receiving at least 1 AI: parity, dystocia, and season of calving; pregnancy at first AI: parity, dystocia, season of calving, and RFM; pregnancy within 300 DIM: parity, dystocia, season of calving, and RFM; and removal from the herd within 300 DIM: parity, dystocia, and season of calving. 3Pregnancy at 65 ± 5 d after AI. 4Total milk production within 300 DIM for VD1/2 only includes data from VD 2 cows. Coefficients for covariables for all logistic regression models are described in Supplemental Table S3. Differences in Reproductive Performance Associated with Vaginal Discharge Scores Vaginal discharge score: 1/2 = clear mucus or lochia, or clear mucus with flecks of pus, n = 1,174; 3 = mucopurulent with <50% of pus, n = 1,802; 4 = mucopurulent with ≥50% of pus or reddish-brownish mucous discharge not fetid, n = 1,643; 5 = fetid, watery, and reddish-brownish discharge, n = 1,800. Median and mean days to pregnancy: VD 1/2 = 118 and 146; VD 3 = 124 and 150; VD 4 = 124 and 154; VD 5 = 137 and 166. Percentage of cows censored: VD 1/2 = 24.5; VD 3 = 23.5; VD 4 = 24.8; VD 5 = 34.0. Effect of vaginal discharge group: P < 0.001. Table 1. Resumption of ovarian cyclicity, pregnancy outcomes following first AI, and removal from herd according to vaginal discharge score assessed twice within 12 DIM in 9 dairy herds Item2 Vaginal discharge group1 P-value VD 1/2 (n = 1,174) VD 3 (n = 1,802) VD 4 (n = 1,643) VD 5 (n = 1,800) Ovarian cyclicity, % 76.2 ± 1.9 (812)a 72.6 ± 1.7 (1,283)ab 72.9 ± 1.7 (1,120)a 67.6 ± 1.8 (1,240)b 0.001 Received at least 1 AI, % 91.5 ± 1.0 (1,172)a 91.0 ± 0.9 (1,795)a 91.6 ± 0.9 (1,639)a 85.8 ± 1.3 (1,797)b <0.001 Pregnancy at first AI,3 % 31.5 ± 2.8 (1,030) 30.7 ± 2.6 (1,586) 29.7 ± 2.5 (1,464) 29.0 ± 2.4 (1,527) 0.63 Pregnancy by 300 DIM, % 76.5 ± 1.9 (1,172)a 76.2 ± 1.7 (1,795)a 74.7 ± 1.7 (1,639)a 64.4 ± 1.9 (1,797)b <0.001 Removal from the herd by 300 DIM, % 13.8 ± 1.7 (1, 172)a 14.7 ± 1.7 (1,795)a 16.7 ± 1.8 (1,639)a 21.2 ± 2.2 (1,797)b <0.001 Total milk production within 300 DIM,4 kg 10,391 ± 487 (392)a 10,013 ± 478 (909)a 10,025 ± 476 (1,096)a 9,383 ± 471 (1,727)b <0.001 a,bMeans with different lowercase superscripts within a row differ (P ≤ 0.05). 1Results are presented as LSM ± SEM (n) from final multivariable models, followed by the total number of cows considered for statistical analysis. Differences in Milk Production and Removal from the Herd Associated with Vaginal Discharge Scores Total milk production within 300 DIM differed (P < 0.001) among VD groups, as VD 5 cows had lesser milk production within 300 DIM compared with other VD groups (Table 1). No differences (P ≥ 0.12) in total milk production were observed between VD 2, VD 3, and VD 4 (Table 1). A greater (P < 0.001) adjusted proportion of VD 5 cows were removed from the herd compared with other VD groups; however, the adjusted proportion of Figure 2. Survival curves for time to pregnancy by 300 DIM accord- ing to vaginal discharge group assessed twice within 12 DIM in 9 herds. Vaginal discharge score: 1/2 = clear mucus or lochia, or clear mucus with flecks of pus, n = 1,174; 3 = mucopurulent with <50% of pus, n = 1,802; 4 = mucopurulent with ≥50% of pus or reddish-brownish mucous discharge not fetid, n = 1,643; 5 = fetid, watery, and reddish-brownish discharge, n = 1,800. Median and mean days to pregnancy: VD 1/2 = 118 and 146; VD 3 = 124 and 150; VD 4 = 124 and 154; VD 5 = 137 and 166. Percentage of cows censored: VD 1/2 = 24.5; VD 3 = 23.5; VD 4 = 24.8; VD 5 = 34.0. Effect of vaginal discharge group: P < 0.001. Figure 2. Survival curves for time to pregnancy by 300 DIM accord- ing to vaginal discharge group assessed twice within 12 DIM in 9 herds. Vaginal discharge score: 1/2 = clear mucus or lochia, or clear mucus with flecks of pus, n = 1,174; 3 = mucopurulent with <50% of pus, n = 1,802; 4 = mucopurulent with ≥50% of pus or reddish-brownish mucous discharge not fetid, n = 1,643; 5 = fetid, watery, and reddish-brownish discharge, n = 1,800. Median and mean days to pregnancy: VD 1/2 = 118 and 146; VD 3 = 124 and 150; VD 4 = 124 and 154; VD 5 = 137 and 166. Percentage of cows censored: VD 1/2 = 24.5; VD 3 = 23.5; VD 4 = 24.8; VD 5 = 34.0. Effect of vaginal discharge group: P < 0.001. Figure 2. Survival curves for time to pregnancy by 300 DIM accord- ing to vaginal discharge group assessed twice within 12 DIM in 9 herds. Differences in Reproductive Performance Associated with Vaginal Discharge Scores Resumption of ovarian cyclicity differed (P = 0.001) according to the VD group. A smaller adjusted proportion of cows from the VD 5 group resumed ovarian cyclicity compared with VD 1/2 or VD 4, but no differences were detected between cows with VD 5 and VD 3 (Table 1). We did not detect differences in the adjusted proportion of resumption of ovarian cyclicity among cows from VD 1/2 to VD 4. Furthermore, a smaller (P < 0.001) adjusted proportion of cows from the VD 5 group received at least one AI compared with counterparts from other VD groups (Table 1). A similar adjusted proportion of cows Journal of Dairy Science Vol. 107 No. 8, 2024 6083 Figueiredo et al.: VAGINAL DISCHARGE IN DAIRY COWS nted as LSM ± SEM (n) from final multivariable models, followed by the total number of cows considered for statistical analysis. nted in final models for resumption of ovarian cyclicity: parity and season of calving; receiving at least 1 AI: parity, dystocia, and season of calving; pregnancy at first a, season of calving, and RFM; pregnancy within 300 DIM: parity, dystocia, season of calving, and RFM; and removal from the herd within 300 DIM: parity, dystocia, ing. 5 d ft AI from VD 1/2 to VD 4 groups received at least one AI (Table 1). Despite differences in adjusted proportion of cows that resumed ovarian cyclicity and received at least one AI, no differences in pregnancy at first AI (P = 0.54) were observed among VD groups (Table 1). The adjusted proportion of pregnant cows by 300 DIM (Table 1) and the time to pregnancy within 300 DIM, however, differed among VD groups (Figure 1; P < 0.001). A smaller ad- justed proportion of cows from VD 5 group (P < 0.001) achieved pregnancy by 300 DIM compared with cows from other VD groups. In addition, cows from the VD 5 group had reduced hazard of pregnancy within 300 DIM compared with VD 1/2 (AHR = 0.80; 95% CI = 0.72–0.88), VD 3 (AHR = 0.83; 95% CI = 0.76–0.91), and VD 4 (AHR = 0.84; 95% CI = 0.78–0.92; Figure 2). 24 from VD 1/2 to VD 4 groups received at least one AI (Table 1). Differences in Reproductive Performance Associated with Vaginal Discharge Scores Despite differences in adjusted proportion of cows that resumed ovarian cyclicity and received at least one AI, no differences in pregnancy at first AI (P = 0.54) were observed among VD groups (Table 1). The adjusted proportion of pregnant cows by 300 DIM (Table 1) and the time to pregnancy within 300 DIM, however, differed among VD groups (Figure 1; P < 0.001). A smaller ad- justed proportion of cows from VD 5 group (P < 0.001) achieved pregnancy by 300 DIM compared with cows from other VD groups. In addition, cows from the VD 5 group had reduced hazard of pregnancy within 300 DIM compared with VD 1/2 (AHR = 0.80; 95% CI = 0.72–0.88), VD 3 (AHR = 0.83; 95% CI = 0.76–0.91), and VD 4 (AHR = 0.84; 95% CI = 0.78–0.92; Figure 2). Coefficients for covariables for all logistic regression models are described in Supplemental Table S3. Differences in Milk Production and Removal from the Herd Associated with Vaginal Discharge Scores Total milk production within 300 DIM differed (P < 0.001) among VD groups, as VD 5 cows had lesser milk production within 300 DIM compared with other VD groups (Table 1). No differences (P ≥ 0.12) in total milk production were observed between VD 2, VD 3, and VD 4 (Table 1). A greater (P < 0.001) adjusted proportion of VD 5 cows were removed from the herd compared with other VD groups; however, the adjusted proportion of a,bMeans with different lowercase superscripts within a row differ (P ≤ 0.05). 1Results are presented as LSM ± SEM (n) from final multivariable models, followed by the total number of cows considered for statistical analysis. 2Covariates accounted in final models for resumption of ovarian cyclicity: parity and season of calving; receiving at least 1 AI: parity, dystocia, and season of calving; pregnancy at first AI: parity, dystocia, season of calving, and RFM; pregnancy within 300 DIM: parity, dystocia, season of calving, and RFM; and removal from the herd within 300 DIM: parity, dystocia, and season of calving. 3Pregnancy at 65 ± 5 d after AI. 4Total milk production within 300 DIM for VD1/2 only includes data from VD 2 cows. Figure 2. Survival curves for time to pregnancy by 300 DIM accord- ing to vaginal discharge group assessed twice within 12 DIM in 9 herds. Differences in Milk Production and Removal from the Herd Associated with Fever in Cows with Vaginal Discharge Score 5 Total milk production within 300 DIM was similar (P ≥ 0.42) for VD 5 cows with and without fever and across different rectal temperatures (Table 2, Supplemen- tal Table S5). A greater (P = 0.02) adjusted proportion of nonfebrile cows from the VD 5 group was removed from the herd within 300 DIM (Table 2) and had greater hazard (P < 0.01) of removal from the herd within 300 DIM compared with febrile herd mates (AHR = 1.49; 95% CI = 1.08–2.05; Figure 4). Similar adjusted odds and hazards of removal from the herd within 300 DIM were observed across different rectal temperatures (P ≥ 0.48; Supplemental Table S5). cows removed from the herd was similar among VD 1/2, VD 3, and VD 4 groups (Table 1). Cows from the VD 5 group had greater hazard of removal from the herd within 300 DIM (P < 0.001; Figure 3) compared with cows from VD 1/2 (AHR = 1.55; 95% CI = 1.28–1.88), VD 3 (AHR = 1.48; 95% CI = 1.25–1.75), and VD 4 (AHR = 1.31; 95% CI = 1.13–1.54) groups. No differences in hazard of removal within 300 DIM were observed among VD 1/2, VD 3, and VD 4 groups. cows removed from the herd was similar among VD 1/2, VD 3, and VD 4 groups (Table 1). Cows from the VD 5 group had greater hazard of removal from the herd within 300 DIM (P < 0.001; Figure 3) compared with cows from VD 1/2 (AHR = 1.55; 95% CI = 1.28–1.88), VD 3 (AHR = 1.48; 95% CI = 1.25–1.75), and VD 4 (AHR = 1.31; 95% CI = 1.13–1.54) groups. No differences in hazard of removal within 300 DIM were observed among VD 1/2, VD 3, and VD 4 groups. Coefficients for covariables for all logistic regression models are described in Supplemental Table S3. Table 2. Figueiredo et al.: VAGINAL DISCHARGE IN DAIRY COWS 6084 Figueiredo et al.: VAGINAL D Differences in Reproductive Performance Associated with Fever in Cows with Vaginal Discharge Score 5 Despite the observed changes in reproductive out- comes across different VD groups, no differences associ- ated with fever or rectal temperature in cows from VD 5 group were observed (P ≥ 0.15; Table 2, Supplemental Table S5). In addition, no changes in hazard of pregnancy within 300 DIM were observed between cows from the VD 5 group with and without fever (AHR = 0.91; 95% CI = 0.76–1.10; P = 0.39). Median and mean days to preg- nancy for febrile cows from the VD 5 group were 158 and 176, respectively, and 163 and 179, respectively, for nonfebrile cows from the VD 5 group. Similar hazard of pregnancy within 300 DIM was observed across different rectal temperatures (P = 0.14). Coefficients for covariables for all logistic regression models are described in Supplemental Tables S4 and S5. Differences in Milk Production and Removal from the Herd Associated with Fever in Cows with Vaginal Discharge Score 5 Differences in Milk Production and Removal from the Herd Associated with Vaginal Discharge Scores Vaginal discharge score: 1/2 = clear mucus or lochia, or clear mucus with flecks of pus, n = 1,174; 3 = mucopurulent with <50% of pus, n = 1,802; 4 = mucopurulent with ≥50% of pus or reddish-brownish mucous discharge not fetid, n = 1,643; 5 = fetid, watery, and reddish-brownish discharge, n = 1,800. Median and mean days to pregnancy: VD 1/2 = 118 and 146; VD 3 = 124 and 150; VD 4 = 124 and 154; VD 5 = 137 and 166. Percentage of cows censored: VD 1/2 = 24.5; VD 3 = 23.5; VD 4 = 24.8; VD 5 = 34.0. Effect of vaginal discharge group: P < 0.001. Item2 Figueiredo et al.: VAGINAL D Figure 3. Survival curves for time to removal from herd within 300 DIM according to vaginal discharge group assessed twice within 12 DIM in 9 herds. Vaginal discharge score: 1/2 = clear mucus or lochia, or clear mucus with flecks of pus, n = 1,174; 3 = mucopurulent with <50% of pus, n = 1,802; 4 = mucopurulent with ≥50% of pus or reddish-brownish mucous discharge not fetid, n = 1,643; 5 = fetid, watery, and reddish or brownish discharge, n = 1,800. Mean days to removal: VD 1/2 = 275 d; VD 3 = 276 d; VD 4 = 269 d; VD 5 = 260 d. Percentage of cows cen- sored: VD 1/2 = 85.0%; VD 3 = 84.5%; VD 4 = 81.4%; VD 5 = 76.4%. Effect of vaginal discharge group: P < 0.001. Journal of Dairy Science Vol. 107 No. 8, 2024 Figueiredo et al.: VAGINAL DISCHARGE IN DAIRY COWS Mean days to removal: no fever = 255; fever = 268. Percentage of cows censored: no fever = 73.3; fever = 80.9. Effect of fever: P < 0.01. Figure 4. Survival curves for time to removal from herd within 300 DIM in 5 herds according to fever (rectal temperature ≥39.5°C; no fever, n = 558; fever, n = 304) at the time of vaginal discharge assessment for VD 5 cows only (watery, reddish or brownish, and fetid discharge). Mean days to removal: no fever = 255; fever = 268. Percentage of cows censored: no fever = 73.3; fever = 80.9. Effect of fever: P < 0.01. Coefficients for covariables for all logistic regression models are described in Supplemental Table S4. Figueiredo et al.: VAGINAL DISCHARGE IN DAIRY COWS Figueiredo et al.: VAGINAL D loproteinase 9 in the VD, however, were observed in cows with fetid, watery, and reddish-brownish discharge compared with cows with clear/mucopurulent and cows with purulent vaginal discharge (Barragan et al., 2019). Elevated serum concentration of biomarkers of inflam- mation (haptoglobin), pain (substance P), and stress (cortisol) were associated with fetid, watery, and reddish- brownish vaginal discharge (Barragan et al., 2018; Lora et al., 2021). Changes in cow behavior that suggest pain and discomfort, potentially illustrating a greater degree of inflammation, have been consistently observed in cows with fetid, watery, and reddish-brownish vaginal discharge (Huzzey et al., 2007; Stojkov et al., 2015; Bar- ragan et al., 2018; Lomb et al., 2018; Prim et al., 2022). Cows with VD 5 have a greater degree of inflammation, both locally and systemically, compared with cows with VD ≤4. Such phenomenon might explain, at least in part, the differences in reproductive and productive performances and removal from the herd observed in the present study. It is important to highlight that only VD 5 cows received any treatment, whereas other VD groups remained untreated. Although this might influ- ence the observed outcomes, it is unlikely that the lack of a group of VD 5 cows that did not receive any treat- ment would affect the integrity of the present study or alter the interpretation of data. Studies have reported that VD 5 cows that do not receive any treatment have worse reproductive and productive performance compared with treated counterparts (Machado et al., 2020; Silva et al., 2021). Therefore, including a group of VD 5 cows that do not receive any treatment in the present study would likely increase the magnitude of difference in outcomes of interest between VD 5 and other VD groups (strength- ening our conclusions). In addition, most of VD 5 cows in the United States receive treatment (Espadamala et al., 2018); thus, it is likely that the outcomes observed herein are more similar to those observed in commercial dairy herds. loproteinase 9 in the VD, however, were observed in cows with fetid, watery, and reddish-brownish discharge compared with cows with clear/mucopurulent and cows with purulent vaginal discharge (Barragan et al., 2019). Elevated serum concentration of biomarkers of inflam- mation (haptoglobin), pain (substance P), and stress (cortisol) were associated with fetid, watery, and reddish- brownish vaginal discharge (Barragan et al., 2018; Lora et al., 2021). Figueiredo et al.: VAGINAL DISCHARGE IN DAIRY COWS Changes in cow behavior that suggest pain and discomfort, potentially illustrating a greater degree of inflammation, have been consistently observed in cows with fetid, watery, and reddish-brownish vaginal discharge (Huzzey et al., 2007; Stojkov et al., 2015; Bar- ragan et al., 2018; Lomb et al., 2018; Prim et al., 2022). Cows with VD 5 have a greater degree of inflammation, both locally and systemically, compared with cows with VD ≤4. Such phenomenon might explain, at least in part, the differences in reproductive and productive performances and removal from the herd observed in the present study. It is important to highlight that only VD 5 cows received any treatment, whereas other VD groups remained untreated. Although this might influ- ence the observed outcomes, it is unlikely that the lack of a group of VD 5 cows that did not receive any treat- ment would affect the integrity of the present study or alter the interpretation of data. Studies have reported that VD 5 cows that do not receive any treatment have worse reproductive and productive performance compared with treated counterparts (Machado et al., 2020; Silva et al., 2021). Therefore, including a group of VD 5 cows that do not receive any treatment in the present study would likely increase the magnitude of difference in outcomes of interest between VD 5 and other VD groups (strength- ening our conclusions). In addition, most of VD 5 cows in the United States receive treatment (Espadamala et al., 2018); thus, it is likely that the outcomes observed herein are more similar to those observed in commercial dairy herds. Figure 4. Survival curves for time to removal from herd within 300 DIM in 5 herds according to fever (rectal temperature ≥39.5°C; no fever, n = 558; fever, n = 304) at the time of vaginal discharge assessment for VD 5 cows only (watery, reddish or brownish, and fetid discharge). Mean days to removal: no fever = 255; fever = 268. Percentage of cows censored: no fever = 73.3; fever = 80.9. Effect of fever: P < 0.01. Figure 4. Survival curves for time to removal from herd within 300 DIM in 5 herds according to fever (rectal temperature ≥39.5°C; no fever, n = 558; fever, n = 304) at the time of vaginal discharge assessment for VD 5 cows only (watery, reddish or brownish, and fetid discharge). Differences in Milk Production and Removal from the Herd Associated with Fever in Cows with Vaginal Discharge Score 5 Resumption of ovarian cyclicity, pregnancy outcomes following first AI, and removal from herd according to fever observed in cows that displayed fetid, watery, and reddish-brownish discharge (VD 5) in 5 dairy herds Item2 Fever at the time of vaginal discharge assessment1 P-value No fever (n = 558) Fever (n = 304) Ovarian cyclicity, % 69.1 ± 3.1 (236) 61.9 ± 4.1 (152) 0.15 Received at least 1 AI, % 83.8 ± 1.6 (558) 87.1 ± 1.9 (304) 0.19 Pregnancy at first AI,3 % 26.4 ± 2.2 (452) 27.6 ± 2.8 (264) 0.71 Pregnancy by 300 DIM, % 57.2 ± 5.7 (557) 60.6 ± 6.1 (302) 0.38 Removal from the herd by 300 DIM, % 29.2 ± 5.6 (557) 20.9 ± 4.6 (302) 0.02 Total milk production within 300 DIM, kg 9,669 ± 564 (541) 9,868 ± 575 (288) 0.42 1Fever = rectal temperature ≥39.5°C for cows that displayed fetid, watery, and reddish-brownish vaginal discharge (VD 5). Results are presented as LSM ± SEM (n) from final multivariable models, followed by the total number of cows considered for statistical analysis. 2Covariates accounted in final models for resumption of ovarian cyclicity: parity; receiving at least 1 AI: parity; pregnancy at first AI: RFM; pregnancy within 300 DIM: parity, dystocia, season of calving, and RFM; and removal from the herd within 300 DIM: parity, dystocia, and season of calving. 3Pregnancy at 65 ± 5 d after AI. Journal of Dairy Science Vol. 107 No. 8, 2024 Figueiredo et al.: VAGINAL D Figure 4. Survival curves for time to removal from herd within 300 DIM in 5 herds according to fever (rectal temperature ≥39.5°C; no fever, n = 558; fever, n = 304) at the time of vaginal discharge assessment for VD 5 cows only (watery, reddish or brownish, and fetid discharge). Mean days to removal: no fever = 255; fever = 268. Percentage of cows censored: no fever = 73.3; fever = 80.9. Effect of fever: P < 0.01. Coefficients for covariables for all logistic regression models are described in Supplemental Table S4. DISCUSSION loproteinase 9 in the VD, howeve cows with fetid, watery, and reddish compared with cows with clear/mu with purulent vaginal discharge (B Elevated serum concentration of b mation (haptoglobin), pain (subst (cortisol) were associated with fetid brownish vaginal discharge (Barrag et al., 2021). Differences in Milk Production and Removal from the Herd Associated with Fever in Cows with Vaginal Discharge Score 5 Changes in cow behav and discomfort, potentially illustra of inflammation, have been cons cows with fetid, watery, and reddi discharge (Huzzey et al., 2007; Stoj ragan et al., 2018; Lomb et al., 201 Cows with VD 5 have a greater deg both locally and systemically, co with VD ≤4. Such phenomenon m in part, the differences in reprodu performances and removal from t the present study. It is important t VD 5 cows received any treatmen groups remained untreated. Althou ence the observed outcomes, it is u of a group of VD 5 cows that did n Figueiredo et al.: VAGINAL DISCHARGE IN DAIRY COWS Figure 4. Survival curves for time to removal from herd within 300 DIM in 5 herds according to fever (rectal temperature ≥39.5°C; no fever, n = 558; fever, n = 304) at the time of vaginal discharge assessment for VD 5 cows only (watery, reddish or brownish, and fetid discharge). Mean days to removal: no fever = 255; fever = 268. Percentage of cows censored: no fever = 73.3; fever = 80.9. Effect of fever: P < 0.01. 6085 Figueiredo et al.: VAGINAL DISCHARGE IN DAIRY COWS loproteinase 9 in the VD, howe cows with fetid, watery, and redd compared with cows with clear/m with purulent vaginal discharge ( Elevated serum concentration of mation (haptoglobin), pain (sub (cortisol) were associated with fet brownish vaginal discharge (Barr et al., 2021). Changes in cow beh and discomfort, potentially illust of inflammation, have been co cows with fetid, watery, and red discharge (Huzzey et al 2007; St Figueiredo et al.: VAGINAL DISCHARGE IN DAIRY COWS 6085 Coefficients for covariables for all logistic regression models are described in Supplemental Table S4. DISCUSSION Cows that had VD 5 (fetid, watery, and reddish- brownish) had marked differences in reproductive and productive performances and removal from the herd compared with other cows within 12 DIM. In addition, we did not detect differences in reproductive and pro- ductive performances and removal from the herd among cows that had VD 1/2 (clear), VD 3 (mucopurulent), or VD 4 (purulent). Fever in cows that had VD 5 was not associated with differences in productive or reproduc- tive performance. Contrary to our hypothesis, a greater adjusted proportion of cows without fever were removed from the herd within 300 DIM compared with cows with fever. Differences in Milk Production and Removal from the Herd Associated with Fever in Cows with Vaginal Discharge Score 5 Although the literature regarding cow reproductive loproteinase 9 in the VD, however, were observed in cows with fetid, watery, and reddish-brownish discharge compared with cows with clear/mucopurulent and cows with purulent vaginal discharge (Barragan et al., 2019). Elevated serum concentration of biomarkers of inflam- mation (haptoglobin), pain (substance P), and stress (cortisol) were associated with fetid, watery, and reddish- brownish vaginal discharge (Barragan et al., 2018; Lora et al., 2021). Changes in cow behavior that suggest pain and discomfort, potentially illustrating a greater degree of inflammation, have been consistently observed in cows with fetid, watery, and reddish-brownish vaginal discharge (Huzzey et al., 2007; Stojkov et al., 2015; Bar- ragan et al., 2018; Lomb et al., 2018; Prim et al., 2022). Cows with VD 5 have a greater degree of inflammation, both locally and systemically, compared with cows with VD ≤4. Such phenomenon might explain, at least in part, the differences in reproductive and productive performances and removal from the herd observed in the present study. It is important to highlight that only VD 5 cows received any treatment, whereas other VD groups remained untreated. Although this might influ- ence the observed outcomes, it is unlikely that the lack of a group of VD 5 cows that did not receive any treat- ment would affect the integrity of the present study or alter the interpretation of data. Studies have reported that VD 5 cows that do not receive any treatment have worse reproductive and productive performance compared with treated counterparts (Machado et al., 2020; Silva et al., 2021). Therefore, including a group of VD 5 cows that do not receive any treatment in the present study would likely increase the magnitude of difference in outcomes of interest between VD 5 and other VD groups (strength- ening our conclusions). In addition, most of VD 5 cows in the United States receive treatment (Espadamala et al., 2018); thus, it is likely that the outcomes observed herein are more similar to those observed in commercial dairy herds. Although a smaller proportion of cows with VD 5 re- Figueiredo et al.: VAGINAL DISCHARGE IN DAIRY COWS Figure 4. Differences in Milk Production and Removal from the Herd Associated with Fever in Cows with Vaginal Discharge Score 5 Survival curves for time to removal from herd within 300 DIM in 5 herds according to fever (rectal temperature ≥39.5°C; no fever, n = 558; fever, n = 304) at the time of vaginal discharge assessment for VD 5 cows only (watery, reddish or brownish, and fetid discharge). Mean days to removal: no fever = 255; fever = 268. Percentage of cows censored: no fever = 73.3; fever = 80.9. Effect of fever: P < 0.01. DISCUSSION Reduced conceptus size and concentration of interferon-τ at 15 d after AI and greater pregnancy loss were observed in cows that had uterine diseases compared with cows without uterine diseases (Ribeiro et al., 2016). Altogether, it is likely that the changes in reproductive performance observed between cows with VD 5 and their counterparts are a reflection of complex mechanisms related to uterine and ovarian morphology and function. Cows with VD 5 had reduced milk production com- Figueiredo et al.: VAGINAL D discharge, which is supported by previously published data (Piccardi et al., 2016). The mechanisms associated with differences in milk production observed in cows with metritis were not completely elucidated. Studies reported that cows that have VD 5 present marked metabolic dif- ferences such as reduced DMI and energy balance (Ham- mon et al., 2006; Huzzey et al., 2007; Pérez-Báez et al., 2019), reduced body condition and greater weight change (Chebel et al., 2018; Casaro et al., 2023a) and blood me- tabolite composition (Hammon et al., 2006; Duffield et al., 2009; Dubuc et al., 2010; Casaro et al., 2023b) in the periparturient period compared with cows that have mu- copurulent or purulent vaginal discharge. In addition, the immune system activation represents a secondary source of energy demand in periparturient dairy cows (Kvidera et al., 2017), and energy expenditure is more intense in cows with VD 5 compared with counterparts, due to in- creased immune activation (Casaro et al., 2023a). Based on this plethora of evidence, it is possible to hypothesize that reduced milk production in cows with VD 5 is a consequence of limited energy availability and a devia- tion of the energy available toward other functions, such as immune system activation. Cows with VD 5 also had greater proportion of removal from the herd compared with other cows, which was expected considering their poorer reproductive and productive performance, that has been associated with economic losses (Lima et al., 2019; Pérez-Báez et al., 2021; Silva et al., 2021). differences in uterine microbiome composition, uterine morphology, follicular development, and oocyte quality. DISCUSSION Studies reported that cows with VD 5 had greater uterine bacterial load (Cunha et al., 2018; Galvão et al., 2019), extensive uterine tissue damage (Lima et al., 2015; Sic- sic et al., 2018), increased in plasma LPS concentration (Magata and Shimizu, 2017), and changes in follicular development and oocyte quality (Piersanti et al., 2019) compared with cows with mucopurulent or purulent vaginal discharge. Uterine bacterial load was associated with changes in follicular development, as cows with high bacterial density within 7 DIM had reduced follicu- lar size and reduced rate of follicular growth compared with cows with low uterine bacterial density (Sheldon et al., 2002; Williams et al., 2007). In addition, cows that had VD 5 required more days to resume ovarian cyclic- ity (Piersanti et al., 2019) and had greater proportion of persistent corpus luteum (Strüve et al., 2013) compared with cows with VD 3 or VD 4. It is thought that part of the changes in ovarian cyclicity and pregnancy are due to the effects of LPS in follicular/oocyte function and development, as follicles containing high LPS concentra- tion had oocytes with reduced expression of LH and FSH receptor, and P450 aromatase mRNA expression (Magata et al., 2014). Consequently, follicles containing high LPS concentration had lower concentration of estradiol and high concentration of progesterone compared with fol- licles containing low LPS concentration (Magata et al., 2014). Furthermore, cows with uterine infections yielded a smaller number of fertilized oocytes in vitro, that de- veloped into live and high-quality embryos (Ribeiro et al., 2016; Dickson et al., 2020). In addition to changes in oocyte function and development, which are determining factors for pregnancy success, a recent study depicted long-term changes in endometrial epithelium and gland morphology associated with VD 5. Cows that displayed such discharge had reduced expression of cell prolif- eration marker in the epithelium, and reduced number of glands in the endometrium at ≥30 DIM compared with cows with mucopurulent or purulent vaginal discharge (Sellmer Ramos et al., 2023). The morphology and func- tion of endometrial cells are important components for successful establishment of pregnancy through the sup- port of embryo development and maternal recognition. Reduced conceptus size and concentration of interferon-τ at 15 d after AI and greater pregnancy loss were observed in cows that had uterine diseases compared with cows without uterine diseases (Ribeiro et al., 2016). DISCUSSION Cows that had VD 5 (fetid, watery, and reddish- brownish) had marked differences in reproductive and productive performances and removal from the herd compared with other cows within 12 DIM. In addition, we did not detect differences in reproductive and pro- ductive performances and removal from the herd among cows that had VD 1/2 (clear), VD 3 (mucopurulent), or VD 4 (purulent). Fever in cows that had VD 5 was not associated with differences in productive or reproduc- tive performance. Contrary to our hypothesis, a greater adjusted proportion of cows without fever were removed from the herd within 300 DIM compared with cows with fever. Although a smaller proportion of cows with VD 5 re- sumed ovarian cyclicity and got pregnant by 300 DIM compared with their counterparts, no differences in preg- nancy at first AI were observed among groups. A large variation in pregnancy at first AI associated with metritis has been reported in the literature, and it could be related to study design. For instance, studies that reported differ- ences in pregnancy at first AI compared cows with me- tritis and cows without any disease or disorder (Santos et al., 2010; Ribeiro et al., 2013). Studies that compared pregnancy at first AI between cows with and without metritis (but could have had other diseases) reported no differences (Lima et al., 2014; de Oliveira et al., 2020; Merenda et al., 2021). Regarding the differences in reproductive performance observed herein, there are various factors that can explain such outcomes, including Although the literature regarding cow reproductive and productive performance according to different VD characteristics is scarce, similar results were previously reported in a smaller study conducted in Argentina (Pic- cardi et al., 2016). Time to pregnancy was extended for cows with fetid, watery, and reddish-brownish discharge compared with cows with clear or mucopurulent dis- charge and cows with purulent discharge (Piccardi et al., 2016). In addition, peak milk production during the lactation was also reduced for cows with fetid, watery, and reddish-brownish discharge compared with cows with clear/mucopurulent and cows with purulent vaginal discharge. The pathophysiological differences between cows with VD 5 and cows with VD 1 to 4 have not been explored in depth. Elevated concentrations of haptoglo- bin and neutrophil-derived haptoglobin-matrix metal- Journal of Dairy Science Vol. 107 No. DISCUSSION 8, 2024 Figueiredo et al.: VAGINAL DISCHARGE IN DAIRY COWS 6086 differences in uterine microbiome composition, uterine morphology, follicular development, and oocyte quality. Studies reported that cows with VD 5 had greater uterine bacterial load (Cunha et al., 2018; Galvão et al., 2019), extensive uterine tissue damage (Lima et al., 2015; Sic- sic et al., 2018), increased in plasma LPS concentration (Magata and Shimizu, 2017), and changes in follicular development and oocyte quality (Piersanti et al., 2019) compared with cows with mucopurulent or purulent vaginal discharge. Uterine bacterial load was associated with changes in follicular development, as cows with high bacterial density within 7 DIM had reduced follicu- lar size and reduced rate of follicular growth compared with cows with low uterine bacterial density (Sheldon et al., 2002; Williams et al., 2007). In addition, cows that had VD 5 required more days to resume ovarian cyclic- ity (Piersanti et al., 2019) and had greater proportion of persistent corpus luteum (Strüve et al., 2013) compared with cows with VD 3 or VD 4. It is thought that part of the changes in ovarian cyclicity and pregnancy are due to the effects of LPS in follicular/oocyte function and development, as follicles containing high LPS concentra- tion had oocytes with reduced expression of LH and FSH receptor, and P450 aromatase mRNA expression (Magata et al., 2014). Consequently, follicles containing high LPS concentration had lower concentration of estradiol and high concentration of progesterone compared with fol- licles containing low LPS concentration (Magata et al., 2014). Furthermore, cows with uterine infections yielded a smaller number of fertilized oocytes in vitro, that de- veloped into live and high-quality embryos (Ribeiro et al., 2016; Dickson et al., 2020). In addition to changes in oocyte function and development, which are determining factors for pregnancy success, a recent study depicted long-term changes in endometrial epithelium and gland morphology associated with VD 5. Cows that displayed such discharge had reduced expression of cell prolif- eration marker in the epithelium, and reduced number of glands in the endometrium at ≥30 DIM compared with cows with mucopurulent or purulent vaginal discharge (Sellmer Ramos et al., 2023). The morphology and func- tion of endometrial cells are important components for successful establishment of pregnancy through the sup- port of embryo development and maternal recognition. Journal of Dairy Science Vol. 107 No. 8, 2024 REFERENCES Barragan, A. A., J. Lakritz, M. K. Carman, S. Bas, E. Hovingh, and G. M. Schuenemann. 2019. Short communication: Assessment of biomark- ers of inflammation in the vaginal discharge of postpartum dairy cows diagnosed with clinical metritis. J. Dairy Sci. 102:7469–7475. https:​/​/​doi​.org/​10​.3168/​jds​.2018​-15854. p g j Barragan, A. A., J. M. Piñeiro, G. M. Schuenemann, P. J. Rajala-Schultz, D. E. Sanders, J. Lakritz, and S. Bas. 2018. Assessment of daily activity patterns and biomarkers of pain, inflammation, and stress in lactating dairy cows diagnosed with clinical metritis. J. Dairy Sci. 101:8248–8258. https:​/​/​doi​.org/​10​.3168/​jds​.2018​-14510. DISCUSSION Altogether, it is likely that the changes in reproductive performance observed between cows with VD 5 and their counterparts are a reflection of complex mechanisms related to uterine ; , ; , ) Fever in cows with VD 5 was not associated with differences in reproductive performance, contradicting previous results from a study conducted in Argentina (Giuliodori et al., 2013). In that study, fever was associ- ated with greater median days to pregnancy in cows with VD 5 or VD 4. There are disparities between the 2 stud- ies that could explain, at least partially, the discrepancies in reproductive performance associated with fever. For instance, a different definition of metritis and a different antimicrobial regimen was used to treat cows with metri- tis in the 2013 study. Although the aforementioned study considered cows with metritis those with VD 4 or VD 5, that were then subdivided cows in groups based on fever, the present study only assessed the relationship between fever and VD for cows with VD 5 cows. Furthermore, power calculations before the evaluation of associations between fever and reproductive performance were not performed. Very limited data revealing differences in performance associated with fever has been published; thus, it is possible that the present study has a limited capacity to detect smaller differences in reproductive performance between VD 5 cows with and without fever. Fever was not associated with differences in milk Fever was not associated with differences in milk production in VD 5 cows and surprisingly, VD 5 cows without fever had greater proportion and hazard of re- moval from the herd compared with counterparts without Cows with VD 5 had reduced milk production com- pared with cows with mucopurulent or purulent vaginal Journal of Dairy Science Vol. 107 No. 8, 2024 Figueiredo et al.: VAGINAL DISCHARGE IN DAIRY COWS 6087 sion, detrimental effects in productive and reproductive performance, and survival were restricted with fetid, wa- tery, reddish-brownish vaginal discharge (VD 5), which was independent of fever. fever. The outcomes reported herein are contrary to the initial hypothesis, which was based on previously pub- lished work that depicted a relationship between fever and clinical cure failure of metritis (Machado et al., 2020; Figueiredo et al., 2021). Nevertheless, similar milk production was previously reported between cows with and without fever that had VD 5 or VD 4 (Giuliodori et al., 2013). DISCUSSION Furthermore, the uterine microbiome of VD 5 cows with and without a fever has been reported to be virtually identical, and dominated by gram-negative anaerobes such as Fusobacterium, Bacteroides, and Por- phyromonas (Jeon et al., 2016; Cunha et al., 2018). In fact, fever may be more related to the immune response to pathogens rather than the uterine microbiome (Jeon et al., 2016). Rectal temperature in postpartum dairy cows fluctuates very rapidly (Kristula et al., 2001; Wenz et al., 2011), and 48% of clinically healthy cows had increased rectal temperature (≥39.5°C) at least once within 10 DIM. Therefore, it is possible that evaluating rectal tem- perature a few times in the early postpartum (5 ± 3 and 12 ± 3 DIM) did not allow us to discern between transient and persistent immune activation in postpartum cows, as it seems to depend on the duration of fever event, rather than its occurrence. It is important to highlight that cows in the present study were located in southern and western states of the United States, which have specific tem- perature and humidity conditions compared with other parts of the World; therefore, conclusions from the cur- rent study are only valid for cows located in such areas. Furthermore, the data assessed herein were generated by 3 studies conducted by the same research groups, which represents a selection bias. More studies are warranted to assess performance outcomes associated with VD in other geographical location. NOTES Funding for the experiments included herein was provided by the USDA National Institute of Food and Agriculture, Agriculture and Food Research Initiative (Kansas City, MO; 2013-68004-20361 and 2016-67015- 25015), Zoetis (Madison, NJ), and Boehringer Ingelheim Vetmedica (St. Joseph, MO). The authors thank the own- ers and staff of partner herds for the collaboration and the use of their cows and facilities during the experiments included in this publication. Supplemental material for this article is available at https:​/​/​doi​.org/​10​.17632/​ rryrbf7b54​.5. Procedures were previously approved by the University of Florida's Institutional Animal Care and Use Committee. The authors have not stated any con- flicts of interest. Nonstandard abbreviations used: AHR = adjusted hazard ratio; RFM = retained fetal membranes; VD group = the highest vaginal discharge score observed for each cow was used to allocate them into 1 of 5 possible groups (VD 1–VD 5). 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Procedures for calculating lactation records. Natl. Coop. Dairy Herd Impr. Progr. Handbook. Fact Sheet G-1. Ext. Serv., USDA, Washington, DC. Santos, J. E., R. S. Bisinotto, E. S. Ribeiro, F. S. Lima, L. F. Greco, C. R. Staples, and W. W. Thatcher. 2010. Applying nutrition and physi- ology to improve reproduction in dairy cattle. Soc. Reprod. Fertil. Suppl. 67:387–403. https:​/​/​doi​.org/​10​.5661/​RDR​-VII​-387. Williams, E. J., D. P. Fischer, D. E. Noakes, G. C. England, A. Rycroft, H. Dobson, and I. M. Sheldon. 2007. The relationship between uter- ine pathogen growth density and ovarian function in the postpartum dairy cow. Theriogenology 68:549–559. https:​/​/​doi​.org/​10​.1016/​j​ .theriogenology​.2007​.04​.056. Schuenemann, G. Journal of Dairy Science Vol. 107 No. 8, 2024 Figueiredo et al.: VAGINAL DISCHARGE IN DAIRY COWS https:​/​ /​doi​.org/​10​.3168/​jds​.2018​-15878. Huzzey, J. M., D. M. Veira, D. M. Weary, and M. A. G. von Keyserlingk. 2007. Prepartum behavior and dry matter intake identify dairy cows at risk for metritis. J. Dairy Sci. 90:3220–3233. https:​/​/​doi​.org/​10​ .3168/​jds​.2006​-807. j Jeon, S. J., F. Cunha, X. Ma, N. Martinez, A. Vieira-Neto, R. Daetz, R. C. Bicalho, S. Lima, J. E. P. Santos, K. C. Jeong, and K. N. Galvão. Pérez-Báez, J., T. V. Silva, C. A. Risco, R. C. Chebel, F. Cunha, A. De Vries, J. E. P. Santos, F. S. Lima, P. Pinedo, G. M. Schuenemann, Journal of Dairy Science Vol. 107 No. 8, 2024 6089 Figueiredo et al.: VAGINAL DISCHARGE IN DAIRY COWS Figueiredo et al.: VAGINAL DISCHARGE IN DAIRY COWS M., I. Nieto, S. Bas, K. N. Galvão, and J. Workman. 2011. Assessment of calving progress and reference times for obstet- ric intervention during dystocia in Holstein dairy cows. J. Dairy Sci. 94:5494–5501. https:​/​/​doi​.org/​10​.3168/​jds​.2011​-4436.
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Evaluation of the Clinical and Economic Effects of a Primary Care Anchored, Collaborative, Electronic Health Lifestyle Coaching Program in Denmark: Protocol for a Two-Year Randomized Controlled Trial (Preprint)
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Abstract Background: Obesity is linked to a number of chronic health conditions, such as type 2 diabetes, heart disease, and cancer, and weight loss interventions are often expensive. Recent systematic reviews concluded that app and web-based interventions can improve lifestyle behaviors and weight loss at a reasonable cost, but long-term sustainability needs to be demonstrated. Objective: This study protocol is for a 2-year randomized controlled trial that aims to evaluate the clinical and economic effects of a primary care, anchored, collaborative, electronic health (eHealth) lifestyle coaching program (long-term Lifestyle change InterVention and eHealth Application [LIVA] 2.0) in obese participants with and without type 2 diabetes. The program’s primary outcome is weight loss. Its secondary outcome is the hemoglobin A1c (HbA1c) level, and its tertiary outcomes are retention rate, quality of life (QOL), and cost effectiveness. Analytically, the focus is on associations of participant characteristics with outcomes and sustainability. Methods: We conduct a multicenter trial with a 1-year intervention and 1-year retention. LIVA 2.0 is implemented in municipalities within administrative regions in Denmark, specifically eight municipalities located within the Region of Southern Denmark and two municipalities located within the Capital Region of Denmark. The participants are assessed at baseline and at 6-, 12-, and 24-month follow-ups. Individual data from the LIVA 2.0 platform are combined with clinical measurements, questionnaires, and participants’ usage of municipality and health care services. The participants have a BMI ≥30 but ≤45 kg/m2, and 50% of the participants have type 2 diabetes. The participants are randomized in an approximately 60:40 manner, and based on sample size calculations on weight loss and intention-to-treat statistics, 200 participants are randomized to an intervention group and 140 are randomized to a control group. The control group is offered the conventional preventive program of the municipality, and it is compared to the intervention group, which follows the LIVA 2.0 in addition to the conventional preventive program. Results: The first baseline assessments have been carried out in March 2018, and the 2-year follow-up will be carried out between March 2020 and April 2021. The hypothesis is that the trial results will demonstrate decreased body weight and that the number of patients who show normalization of their HbA1c levels in the intervention group will be much higher than that in the control group. Corresponding Author: Corresponding Author: Jeanette Reffstrup Christensen, PhD Research Unit for General Practice Department of Public Health University of Southern Denmark J.B. Winsløwsvej 9A Odense, 5000 Denmark Phone: 45 93507088 Email: jrchristensen@health.sdu.dk JMIR RESEARCH PROTOCOLS JMIR RESEARCH PROTOCOLS Brandt et al http://www.researchprotocols.org/2020/6/e19172/ Evaluation of the Clinical and Economic Effects of a Primary Care Anchored, Collaborative, Electronic Health Lifestyle Coaching Program in Denmark: Protocol for a Two-Year Randomized Controlled Trial Carl J Brandt1, PhD; Jeanette Reffstrup Christensen1, PhD; Jørgen T Lauridsen2, PhD; Jesper Bo Nielsen1, PhD; Jens Søndergaard1, PhD; Camilla Sortsø3, PhD Protocol Evaluation of the Clinical and Economic Effects of a Primary Care Anchored, Collaborative, Electronic Health Lifestyle Coaching Program in Denmark: Protocol for a Two-Year Randomized Controlled Trial JMIR Res Protoc 2020 | vol. 9 | iss. 6 | e19172 | p. 1 (page number not for citation purposes) Background With the incidence of chronic lifestyle-related diseases rapidly increasing, cost-effective management is needed [1]. Enabling individually tailored care at a low cost is the ambition when introducing lifestyle interventions as a cornerstone in the prevention and management of chronic diseases [2-6]. For example, type 2 diabetes is strongly related to weight gain in adult life, and pathophysiological studies have established how and why people with type 2 diabetes can be returned to normal glucose control and have shown that even marginal weight loss can have a large impact on disease progression, bringing between 46% and 54% of patients with type 2 diabetes in remission [5,7]. App and web-based interventions aiming to promote a healthy lifestyle have attracted much attention owing to their potential for scalability and accessibility, low cost, privacy and user control, usability in municipal settings, and opportunities for real-time modifications and interactive advice [3,8]. While systematic reviews have concluded that app and web-based interventions can improve lifestyle behaviors, the sustainability of these interventions has been shown to be variable, and long-term sustainability needs to be demonstrated [3,8-12]. The literature shows that the usage of personal feedback from a known health coach on users’own registrations, group support, and different behavioral change techniques (BCTs) is superior when compared with more automated services, especially on combining BCTs with face-to-face meetings [13]. A user-driven approach to the design of both the user and coach interfaces has enabled ease of use and has eased communication flow [20], allowing for tailored communication between the health coaches and the end users at all steps of the weight loss program [21]. An important feature of the intervention continues to be the initial establishment of an empathic relationship between the user and the health coach, who delivers effective remote digital coaching based on the user’s own registration. Algorithms have not replaced health coaches, and instead, the features of the eHealth tool 1.0 enable individualized care at minimal effort from the health coach. Afshin et al concluded in 2016 that a direct interaction between a user and a health coach enhances the effectiveness of lifestyle interventions [3]. Background By establishing a personal relationship outside the digital environment, which is maintained through the platform with backend follow-ups, we believe that we are able to facilitate tailored care and sustained participant engagement over time with limited continued health coach input in the process of successfully changing and sustaining a lifestyle change [8,21]. A collaborative electronic health (eHealth) tool has shown promising results in weight loss among patients with diabetes when implemented in real-life settings [14]. In this study, our aim is three-fold as follows: (1) to measurably demonstrate the effect of a primary care, anchored, collaborative, eHealth lifestyle coaching program (long-term Lifestyle change InterVention and eHealth Application [LIVA] 2.0) on weight loss and diabetes regulation (hemoglobin A1c [HbA1c] level) in a strongly scientific and randomized controlled trial (RCT) setting; (2) to evidence the sustainability of a long-term intervention with follow-up measurements at 12 and 24 months; and (3) to assess the cost-effectiveness of a digital intervention in a municipal setting. http://www.researchprotocols.org/2020/6/e19172/ Effectiveness of the Collaborative eHealth Tools 1.0 and 2.0 With version 1.0 of the collaborative eHealth tool, we found that personal eHealth lifestyle coaching combined with various BCTs, such as tailored information, self-monitoring, lifestyle coaching, personal feedback, reminders, and face-to-face support, led to relevant weight loss during a 20-month period KEYWORDS type 2 diabetes management; digital behavioral coaching; lifestyle change; health behavior change; obesity; weight loss; interactive advice; participant engagement; quality of life personal computers. The present version of the collaborative eHealth tool (version 2.0) called LIVA has been developed based on experiences from approximately 140,000 individuals, who used the collaborative eHealth tool 1.0, over a period of 15 years. Besides general experience from using the eHealth tool 1.0, the research team conducted several qualitative research studies with the following three important stakeholder groups within weight loss interventions: patients, general practitioners, and health professionals practicing in eHealth coaching (health coaches) [8,15-19]. The key findings from the qualitative interviews regarding the use of version 1.0 of the collaborative eHealth tool can be summarized as follows: (1) establishment of an empathic relationship with a health coach; (2) an intuitive design that enables ease of use for both users and health coaches; (3) different modes of communication channels allowing for active communication at all weight loss steps among users; and (4) an intuitive backend design, including a text and video library, and communication templates enabling the optimization of tailored personal quality coaching. Abstract The participants in the intervention group are also expected to show a greater decrease in their use of glucose-lowering medication and a greater improvement in their QOL when compared with the control group. Operational costs are expected to be lower than standard care, and the intervention is expected to be cost-effective. JMIR Res Protoc 2020 | vol. 9 | iss. 6 | e19172 | p. 1 (page number not for citation purposes) XSL•FO RenderX XSL•FO RenderX (JMIR Res Protoc 2020;9(6):e19172) doi: 10.2196/19172 (JMIR Res Protoc 2020;9(6):e19172) doi: 10.2196/19172 JMIR RESEARCH PROTOCOLS Brandt et al Conclusions: This is the first time that an app and web-based eHealth lifestyle coaching program implemented in Danish municipalities will be clinically and economically evaluated. If the LIVA 2.0 eHealth lifestyle coaching program is proven to be effective, there is great potential for decreasing the rates of obesity, diabetes, and related chronic diseases. Trial Registration: ClinicalTrials.gov NCT03788915; https://clinicaltrials.gov/ct2/show/NCT03788915 International Registered Report Identifier (IRRID): DERR1-10.2196/19172 JMIR Res Protoc 2020 | vol. 9 | iss. 6 | e19172 | p. 2 (page number not for citation purposes) Study Population, Inclusion Criteria, and Setting Participants are recruited through advertising on social media platforms, general practices, and patient organizations. Potential participants need to meet the inclusion criteria of the study (Textbox 1). Participants who would like to participate and who think they meet the inclusion criteria can register at the app URL [28]. After registration, potential participants are contacted by phone and are sent an email with more written and detailed information about the study and with an invitation to a face-to-face baseline meeting with a LIVA health coach. The individual face-to-face baseline meeting is conducted over 1 hour with a trained health care professional, who is a clinical dietitian by profession and who has been working with eHealth lifestyle coaching for at least 2 years (referred to as the health coach). The face-to-face baseline meeting is scheduled to take place within 7 to 14 days after the information material is sent by email to the potential participant in order to ensure that the participant has sufficient time to reflect on the decision to participate in the study. At the face-to-face baseline meeting, the participant is invited to bring a friend or a family member. The meeting takes place at the research unit for general practice or in the municipality where the participant lives. At the meeting, the health coach confirms that the participant meets the inclusion criteria and explains the details of the study to the participant, and at the end of the meeting, the coach obtains signed informed consent if the potential participant still wishes to participate. Thereafter, the participant is measured according to defined clinical indicators and fills out questionnaires. Product Development The collaborative eHealth tool (version 1.0) was a web-based solution that users accessed using an internet browser on their XSL•FO RenderX JMIR RESEARCH PROTOCOLS Brandt et al as follows: What is the effect of LIVA 2.0 on users’ HbA1c levels? With regard to the tertiary outcomes, the research questions are as follows: (1) What is the effect of LIVA 2.0 on the need for medicine use? (2) What is the effect of LIVA 2.0 on users’ QOL? (3) What is the cost-effectiveness from a municipal perspective? (4) Which participant characteristics are decisive for the effect and sustainability of LIVA 2.0? [21]. These results were confirmed in an English RCT in a municipality setting, showing weight loss of 5.4 kg among men with type 2 diabetes compared with weight loss of 2.8 kg in a control group receiving standard care [8]. A refinement of the collaborative eHealth tool 1.0 was implemented in 15 Danish municipalities between the summer of 2016 and the summer of 2017, with approximately 12,000 users on the eHealth platform. Besides smaller adjustments from the collaborative eHealth tool 1.0, version 2.0 is a smartphone solution, which is downloaded as an app called LIVA. A feasibility study among patients with type 2 diabetes using LIVA 2.0 in a cross-municipality setting demonstrated relevant weight loss of 4.7 kg among users who had been on the platform for over 90 days. Modeling the association between weight reduction and decreased health care costs indicated cost effectiveness in a municipal perspective 1 year after implementation [14]. Study Design A multicenter RCT with a 1-year intervention and 1-year retention period with collection of clinical and questionnaire data is supplemented with long-term register-based follow-up. JMIR Res Protoc 2020 | vol. 9 | iss. 6 | e19172 | p. 3 (page number not for citation purposes) Textbox 1. Inclusion and exclusion criteria. - No internet access in own home through a computer or smartphone - Pregnancy or active attempts to get pregnant - Serious or life-threatening disease - Serious or life-threatening disease group and the remaining 40% are included in the control group. Randomization is controlled to ensure that 50% of participants in the intervention group and control group will be obese citizens, who have not been previously diagnosed with type 2 diabetes, and the other 50% of participants in the intervention group and control group will be patients diagnosed with type 2 diabetes (BMI ≥30 but ≤45 kg/m2) (Figure 1). http://www.researchprotocols.org/2020/6/e19172/ Objectives and Hypotheses Based on our previous research, we hypothesize that eHealth lifestyle coaching with the use of LIVA 2.0 will be effective in improving diet and increasing physical activity levels, thus reducing weight and improving HbA1c levels after 1 year of intervention, with a sustained effect over time. This will result in increased health and quality of life (QOL) and decreased societal costs [22-27]. We expect that municipalities will find the intervention to be a cost-effective alternative for secondary prevention targeted at citizens who are at risk of developing chronic diseases, such as severe obesity, type 2 diabetes, cardiovascular disease, and cancer, and for tertiary prevention among patients with chronic type 2 diabetes, reducing the progression of diabetes and even resulting in its complete remission. To be able to investigate effects and cost-effectiveness among obese participants and obese patients with type 2 diabetes from a municipal perspective, the two target groups of the intervention are as follows: (1) obese citizens at risk of developing chronic diseases, such as severe obesity, type 2 diabetes, cardiovascular diseases, and cancer and (2) obese patients with type 2 diabetes. The intervention is compared with the conventional preventive program that the municipality offers to these two target groups. Furthermore, we investigate associations between participant characteristics and the success of LIVA 2.0 in providing novel insights regarding the associations between participant characteristics and success with a digital lifestyle intervention from both a 1-year and over 1-year perspective. The recruitment process is continued until the necessary number of eligible participants are included in the intervention and control groups within the following two target populations: (1) obese citizens at risk of developing a chronic disease and (2) obese patients with type 2 diabetes. Research Questions Concerning Both Target Groups With regard to the primary outcome, the research question is as follows: What is the effect of LIVA 2.0 on users’ weight? With regard to the secondary outcome, the research question is JMIR Res Protoc 2020 | vol. 9 | iss. 6 | e19172 | p. 3 (page number not for citation purposes) http://www.researchprotocols.org/2020/6/e19172/ http://www.researchprotocols.org/2020/6/e19172/ Randomization of Participants After all participants successfully complete a web-based questionnaire and undergo baseline measurements, they are randomized via an automated computer algorithm. This procedure ensures that drop-out characteristics can be recorded. Participants are randomized in a 60:40 manner, where 60% of the recruited participants are randomized to the intervention Figure 1. Illustration of participant flow. Figure 1. Illustration of participant flow. i d i i i hd f h service, and participants can withdraw from the program at any time. The Regional Ethical Committee has approved the study according to Danish law (no. 18803). Participant data will be handled and stored in accordance with rules approved by the Danish Data Protection Agency. Permission to handle individual participant data from the national registries will be obtained from the Danish Data Protection Agency. All data will be analyzed in anonymized forms. JMIR RESEARCH PROTOCOLS Brandt et al Textbox 1. Inclusion and exclusion criteria. Inclusion criteria - BMI ≥30 but ≤45 kg/m2 - Age 18-70 years Exclusion criteria - No informed consent - No completion of the initial questionnaire - No internet access in own home through a computer or smartphone - Pregnancy or active attempts to get pregnant - Serious or life-threatening disease Figure 1. Illustration of participant flow. Ethics The intervention is not expected to cause any side effects or discomfort. The only recognized risk is in relation to eating disorders (pre-existing or developing during the study), and the dieticians and nurses involved in the study will specifically check for the indications. If an eating disorder is detected, the participant in question will be excluded from the study. The intervention is offered in addition to standard municipal care The intervention is not expected to cause any side effects or discomfort. The only recognized risk is in relation to eating disorders (pre-existing or developing during the study), and the dieticians and nurses involved in the study will specifically check for the indications. If an eating disorder is detected, the participant in question will be excluded from the study. The intervention is offered in addition to standard municipal care JMIR Res Protoc 2020 | vol. 9 | iss. 6 | e19172 | p. 4 (page number not for citation purposes) XSL•FO RenderX JMIR RESEARCH PROTOCOLS Brandt et al the initial motivational interview with the health coach. The health coach is required to identify what health initiatives will benefit the participant the most based on the participant’s own wishes and to find out what is possible for the participant taking into account the participant’s personal barriers and facilitators. Using the app, the participant provides a daily record and also enters comments, concerns, and questions for the health coach, who can see the entire profile of the participant. The health coach provides individual asynchronous online consultation according to the participant’s needs and based on the participant’s registrations. The health coach encourages and praises goal attainment and endeavors to keep the participant motivated. Additionally, the health coach provides advice related to setting goals based on the SMART model (specific, measurable, attainable, relevant, and timely) [29] according to a predefined guideline structure (Table 1) [27,29]. JMIR Res Protoc 2020 | vol. 9 | iss. 6 | e19172 | p. 5 (page number not for citation purposes) Intervention The sessions provide the participant with information in relation to their status, specific focus on goals, and recommendations on how to improve their behaviors. Include BCTsa from CALO-REb taxonomy [31] (hereafter referred to as BCTs) as follows: provide information on the consequences of the behavior in general and to theindividual, goal setting, behavior and outcome, action planning, and barrier identification/problem solving; set graded tasks; prompt review of behavioral goals; prompt review of outcome goals; prompt rewards contingent on effort or progress toward behavior; prompt generalization of a target behavior; and provide feedback on performance (Multimedia Appendix 1). Goals and inputs are always driven by the participant and are available to the participant, who can choose the focus area, set specific goals, and keep a record of specified behaviors by reporting them on a daily, weekly, or monthly basis. This allows the user and the health coach to follow progress or setbacks as the numbers and registrations are visualized using graphs and curves. All coaching by the health coach follows national guidelines from the Danish National Board of Health. Dietary goals and plans can be set at many different levels (eg, from simple changes aiming at changing one meal a day to more complex changes aiming at a completely new diet for the remedying of digestion problems). Physical activity goals and plans involve goal setting and recording of the type of physical activity and time for executing the given physical activity. The participant receives advice and/or a video on activities in a variety of contexts to foster physical activity as a more integrated part of life (BCT: provide instruction on how to perform the behavior, prompt generalization of a target behavior, and provide relapse prevention/coping planning). Goals on a healthy joyful life as the participant sees it (eg, daily life with less stress, stronger social bonds with friends and family, coping skills for diseases, etc). Set the current weight and goal for a lower or higher weight and register new measurements on a daily, weekly, or monthly basis. When downloading the LIVA 2.0 app, the participant can accept direct import of the information on steps recorded on a smartphone, and tailored messages on progress toward a set goal appear simultaneously (BCT: teach-to-use prompts/cues). Step count monitoring is encouraged but not required to enter the LIVA study. Some participants will have other ways of registering their physical activity level. Intervention All coaching of Health. Dietary goals and plans can be set at m day to more complex changes aiming Dietary goals and plans Physical activity goals and plans involv the given physical activity. The partic Physical activity goals and plans physical activity as a more integrated generalization of a target behavior, an Goals on a healthy joyful life as the pa and family, coping skills for diseases, Life goals Set the current weight and goal for a l monthly basis. Weight When downloading the LIVA 2.0 app a smartphone, and tailored messages Steps prompts/cues). Step count monitoring have other ways of registering their ph Give daily feedback on pain, sleep, an prevention/coping planning). Pain, sleep, and mood Set goals to bring down the number o Smoking Keep a record of specified measures e this includes blood glucose and blood and provide information on conseque Blood glucose and blood pressure Online forum where the participant ca health coach can provide advice to the Forum Health coaches with basic training as four education types consist of 420 Eu Coaching providers In addition to their education as health coaching and practice digital health c Individually delivered via the app or w Coaching approach Initial personal meetings in municipali practice at the University of Southern Coaching location The initial consultation with a health asynchronous eHealth coaching sessio Coaching time and quantity last 6 months for maintenance. There 2.0 as a personal BCT tool (BCT: use E i i i li T il i Prior to the intervention, the health coaches receive training in setting SMART (specific, measurable, agreed upon, re- alistic, and time-based) goals [29] with the participants using the eHealth solution LIVA 2.0 and in setting up action and coping plans that address barrier identification and problem solving. Participants in the intervention group have one or two personal meetings (face-to-face or digital) with their health coach, followed by asynchronous web-based consultations based on dialog by means of text or video. The consultations address the participant’s registrations, goal setting, and questions regarding diet, exercise, and lifestyle plans, taking into consideration chronic diseases. The LIVA 2.0 app is set up with short explanations about different functions, and notifications and reminders to the participants to register and give feedback about the health coaching. Intervention Participants in the intervention group receive login information for LIVA 2.0 at the first personal face-to-face meeting (either physical or digital), after which the health coach introduces the LIVA 2.0 app. After the first personal meeting, the same health coach will be coaching the participant throughout the period. When a health coach is on vacation or is sick for a short period, coaching is postponed. If the health coach is sick for a long period, a personal meeting with a new health coach is arranged to secure a personal relationship, after which the new health coach will be coaching the participant for the rest of the period. Based on our experiences from earlier studies, a half-time health coach can manage between 200 and 250 individuals. The participant and health coach together agree on goals for diet, physical exercise, sleep, and all other life areas of relevance to the participant. All goals are participant driven on the basis of http://www.researchprotocols.org/2020/6/e19172/ http://www.researchprotocols.org/2020/6/e19172/ http://www.researchprotocols.org/2020/6/e19172/ XSL•FO RenderX Brandt et al JMIR RESEARCH PROTOCOLS Table 1. Template of the Intervention Description and Replication checklist [30] for the eHealth lifestyle coaching tool (LIVA 2.0). Description Item Prior to the intervention, the health coaches receive training in setting SMART (specific, measurable, agreed upon alistic, and time-based) goals [29] with the participants using the eHealth solution LIVA 2.0 and in setting up actio eHealth coaching sessions and coping plans that address barrier identification and problem solving. Participants in the intervention group hav one or two personal meetings (face-to-face or digital) with their health coach, followed by asynchronous web-base consultations based on dialog by means of text or video. The consultations address the participant’s registrations, g setting, and questions regarding diet, exercise, and lifestyle plans, taking into consideration chronic diseases. The L 2.0 app is set up with short explanations about different functions, and notifications and reminders to the participa to register and give feedback about the health coaching. The sessions provide the participant with information in rela to their status, specific focus on goals, and recommendations on how to improve their behaviors. Intervention Include BCTsa from CALO-REb taxonomy [31] (hereafter referred to as BCTs) as follows: provide information on consequences of the behavior in general and to theindividual, goal setting, behavior and outcome, action planning, barrier identification/problem solving; set graded tasks; prompt review of behavioral goals; prompt review of outco goals; prompt rewards contingent on effort or progress toward behavior; prompt generalization of a target behavio and provide feedback on performance (Multimedia Appendix 1). Goals and inputs are always driven by the participant and are available to the participant, who can choose the focu area, set specific goals, and keep a record of specified behaviors by reporting them on a daily, weekly, or monthly ba Goals and inputs This allows the user and the health coach to follow progress or setbacks as the numbers and registrations are visual using graphs and curves. All coaching by the health coach follows national guidelines from the Danish National Bo of Health. Dietary goals and plans can be set at many different levels (eg, from simple changes aiming at changing one meal day to more complex changes aiming at a completely new diet for the remedying of digestion problems). Dietary goals and plans Physical activity goals and plans involve goal setting and recording of the type of physical activity and time for execu the given physical activity. The participant receives advice and/or a video on activities in a variety of contexts to fo Physical activity goals and plans physical activity as a more integrated part of life (BCT: provide instruction on how to perform the behavior, promp generalization of a target behavior, and provide relapse prevention/coping planning). Goals on a healthy joyful life as the participant sees it (eg, daily life with less stress, stronger social bonds with frie and family, coping skills for diseases, etc). Life goals Set the current weight and goal for a lower or higher weight and register new measurements on a daily, weekly, or monthly basis. Weight When downloading the LIVA 2.0 app, the participant can accept direct import of the information on steps recorded a smartphone, and tailored messages on progress toward a set goal appear simultaneously (BCT: teach-to-use Steps prompts/cues). Step count monitoring is encouraged but not required to enter the LIVA study. Some participants w have other ways of registering their physical activity level. Intervention Give daily feedback on pain, sleep, and mood, which can affect the ability to perform a given behavior (BCT: rela prevention/coping planning). Pain, sleep, and mood Set goals to bring down the number of cigarettes smoked on a daily basis, leading to cessation. Smoking Keep a record of specified measures expected to be influenced by the different behavior changes addressed. In LIV this includes blood glucose and blood pressure measurements (BCT: prompt self-monitoring of behavioral outcom and provide information on consequences of the behavior in general and for theindividual). Blood glucose and blood pressure Online forum where the participant can exchange knowledge, gain social support, and build new relationships, and health coach can provide advice to the participant (BCT: plan social support/change). Forum Health coaches with basic training as nurses, physiotherapists, dieticians, or occupational therapists. In Denmark, four education types consist of 420 European Credit Transfer System (ECTS) points (3.5 years of full-time educati Coaching providers In addition to their education as health care professionals, they all undergo special training in using digital health coaching and practice digital health coaching for at least 2 years. Individually delivered via the app or web-based delivery. Coaching approach Initial personal meetings in municipality health centers, general practice medical centers, or the research unit for gen practice at the University of Southern Denmark or over the internet, and then, solely web-based delivery. Coaching location The initial consultation with a health coach is estimated to last for approximately 45-60 minutes. The subsequent asynchronous eHealth coaching sessions are carried out once a week in the first 6 months and then every month for Coaching time and quantity Table 1. Template of the Intervention Description and Replication c Description Item Prior to the intervention, the health co alistic, and time-based) goals [29] wit eHealth coaching sessions and coping plans that address barrier one or two personal meetings (face-to consultations based on dialog by mea setting, and questions regarding diet, e 2.0 app is set up with short explanatio to register and give feedback about the to their status, specific focus on goals Include BCTsa from CALO-REb taxo consequences of the behavior in gener barrier identification/problem solving goals; prompt rewards contingent on e and provide feedback on performance Goals and inputs are always driven by area, set specific goals, and keep a rec Goals and inputs This allows the user and the health co using graphs and curves. Outcome Measures Measurements are conducted by the health coach at baseline and at the 6-, 12-, and 24-month follow-ups. Data from national registers are collected before baseline and up to 3 years after the end of the intervention. Measurements are collected in a facility provided by the local municipality, the local general practitioner, or the clinical research center. Participants are scheduled for appointments by phone and with confirmation through e-mail. The facilities consist of a private consultation room with measurement equipment calibrated for use at relevant timelines and a waiting room area. Multimedia Appendix 2 describes all the included variables, definitions, categories, and sources for both assessments and explaining variables. No data from the participant records are obtained directly, and they are obtained only indirectly through registrations in national registers. Conventional Care Service (Control Group) Participants randomized to the control group are offered to receive the standard municipal secondary or tertiary preventive care service. A recent study aimed at examining Danish municipal weight loss care services and identifying and describing their content and structure found 234 different municipal weight loss care services. Although they were different, they most frequently contained information about diet and physical activity. They also sometimes included information about how to develop healthy habits, and a few of the care services even included the promotion of well-being and social participation [32]. The standard municipal care service within the control group is therefore not the same, but none of the care services resembled the LIVA 2.0 program. At follow-up measurements, the control group participants were asked to describe if they had participated in any interventions since baseline, and if so, describe the content of these interventions. This enabled a qualitative assessment and summary of the standard care services used in the control group. Health Economic and Long-Term Assessments Health care service usage, pharmaceutical consumption, and consumption of municipal care services, as well as morbidity status and mortality are measured through register data. Data from the Danish National Participant Register [34], the Danish National Prescription Registry [35], the Danish National Health Service Register [36], the Danish Civil Registration System [37], and relevant municipal statements and registers will be linked. Data linkage between registers is possible using the unique Danish Personal Identification Number, which is assigned to each Danish citizen and applied throughout the public and private sectors [37]. Productivity loss is evaluated through a questionnaire (Multimedia Appendix 2) [38]. Clinical Assessments Asynchronous online consultations are held weekly during the first 6 months. Thereafter, online consultations are held monthly over a period of 6 months. After 12 months, the participants enter a retention period for 12 months, where the health coach will follow the participants’ registrations and may provide up to a maximum of four coaching sessions during that year. We expect that approximately 20% of participants will not be ready for retention after 1 year and these participants will be offered yet another year of intervention. This evaluation is performed by the health coach. The health coach endeavors to maintain participation through phone calls, text messages, and, if necessary, face-to-face meetings to prevent drop out. After 24 months of follow-up, participants are followed through national registers for long-term follow-up on a number of predefined endpoints. Participants in the intervention group receive the standard municipal preventive care service, such as diabetes education, to the extent that municipalities normally provide these care services throughout the observation period. Weight and HbA1c are measured by the health coach using standard and validated measurement equipment (Tanita BC 420 S MA). Height, waist circumference, and hip circumference are measured, and BMI is calculated from the measured weight and height. Health Economic Design Within the scope of a cost-effectiveness analysis, expenditures related to the intervention, including acquisition, deployment, and operational costs, are compared with outcomes of the intervention in relation to the defined assessments. The cost effectiveness of the intervention is primarily assessed from the perspectives of the municipalities. The total cost of the intervention paid by a Danish municipality consists of investment costs as well as operating costs. Investment costs include expenditure for the training of health professionals as well as basic preparation cost. Operating costs cover the annual license fees for the individuals participating in the intervention as well as the individuals in the 1-year retention period. It is assumed that after 1 year in the intervention, participants will move to the retention period, where they will remain for 1 year; however, every year, 20% of the initial population will ultimately leave the intervention. Additionally, the operating costs include the salaries of the health professionals. The costs are compared to the effect of the intervention to evaluate cost effectiveness both in relation to the clinical effect and QOL [39]. Explaining Variables Each participant’s sociodemographic characteristics are obtained at the baseline face-to-face meeting and registered by the health coach. The explaining variables are used in the descriptive analyses of associations between the participants’characteristics and the success of using LIVA 2.0. JMIR Res Protoc 2020 | vol. 9 | iss. 6 | e19172 | p. 7 (page number not for citation purposes) Lifestyle Assessment QOL is measured through a validated questionnaire instrument (12-item Short Form Survey [SF-12]) [33]. bCALO-RE: Coventry, Aberdeen and LOndon-REfined taxonomy [31]. bCALO-RE: Coventry, Aberdeen and LOndon-REfined taxonomy [31]. Intervention Give daily feedback on pain, sleep, and mood, which can affect the ability to perform a given behavior (BCT: relapse prevention/coping planning). Set goals to bring down the number of cigarettes smoked on a daily basis, leading to cessation. Keep a record of specified measures expected to be influenced by the different behavior changes addressed. In LIVA, this includes blood glucose and blood pressure measurements (BCT: prompt self-monitoring of behavioral outcome and provide information on consequences of the behavior in general and for theindividual). Online forum where the participant can exchange knowledge, gain social support, and build new relationships, and the health coach can provide advice to the participant (BCT: plan social support/change). Health coaches with basic training as nurses, physiotherapists, dieticians, or occupational therapists. In Denmark, all four education types consist of 420 European Credit Transfer System (ECTS) points (3.5 years of full-time education). In addition to their education as health care professionals, they all undergo special training in using digital health coaching and practice digital health coaching for at least 2 years. Individually delivered via the app or web-based delivery. Individually delivered via the app or web-based delivery. Initial personal meetings in municipality health centers, general practice medical centers, or the research unit for general practice at the University of Southern Denmark or over the internet, and then, solely web-based delivery. The initial consultation with a health coach is estimated to last for approximately 45-60 minutes. The subsequent asynchronous eHealth coaching sessions are carried out once a week in the first 6 months and then every month for the last 6 months for maintenance. Thereafter, the participant could receive two eHealth coaching sessions and use LIVA 2.0 as a personal BCT tool (BCT: use of follow-up prompts). Every participant receives personalized eHealth coaching sessions from their designated health coach. The provided feedback is based on the participant’s inputs on LIVA 2.0. JMIR Res Protoc 2020 | vol. 9 | iss. 6 | e19172 | p. 6 (page number not for citation purposes) XSL•FO RenderX XSL•FO RenderX JMIR RESEARCH PROTOCOLS JMIR RESEARCH PROTOCOLS Brandt et al http://www.researchprotocols.org/2020/6/e19172/ Analysis Strategy g pp 2). To investigate the possible impact of the intervention on health care service usage by participants, pharmaceutical consumption and municipal service usage as annual consumption are compared to a reference year 1 year before the intervention (baseline minus 1 year). All data are analyzed according to the intention-to-treat principle [43]. Analyses are mainly carried out according to the two target groups. However, stratification according to participant characteristics and user experiences is applied to investigate associations between success and the different characteristics. Ordinary least square regression and difference between groups over time are used to explore significant associations. Statistical significance is inferred at a two-tailed P value <.05. Robust standard errors are calculated. Data are analyzed by experts in biostatistics. After the study, all data will be made accessible on request in anonymized form to allow full peer scrutiny and facilitate secondary research. As part of the analysis, the following two scenarios are examined: (1) A0, baseline scenario, where no intervention has been introduced. The health status of the examined population is expected to decrease, whereas the municipality costs are expected to increase; (2) A1, alternative scenario, where the eHealth lifestyle coaching intervention has been introduced. The health status of the examined population is expected to increase owing to the intervention, whereas municipal costs are expected to decrease. Findings The hypothesis is that the intervention group will demonstrate decreased body weight and a much higher percentage of patients with normalization of their HbA1c levels as compared with the control group. A relevant percentage of participants in the intervention group are expected to decrease their use of glucose-lowering medications and improve their QoL much more as compared with the control group. Operational costs are expected to be lower than standard care and the intervention is expected to be cost-effective for the intervention group. Sample Size Considerations The primary objective of this study is the measurement of changes in body weight and waist circumference. Based on a recent study by Haste et al, which evaluated a web-based weight loss intervention among men with diabetes, we expect a weight loss of at least 4.5 kg at 12 months in the intervention group as compared with 2.5 kg in the control group [8] (Textbox 2). Budget Impact Analysis A municipal budget impact analysis is performed, subtracting possible savings for the municipality in relation to health care costs, nursing costs, and lost productivity from the investment http://www.researchprotocols.org/2020/6/e19172/ XSL•FO RenderX JMIR RESEARCH PROTOCOLS Brandt et al be extrapolated over time. We will develop hypotheses for the effect structure according to the literature to be able to model the long-term (5 years) effect of the intervention [41,42]. costs [40]. As part of the budget impact analysis, the annual rate of return of municipality investments is estimated. Follow-up data covering 1 year before baseline until 3 years after are collected from national registers (Multimedia Appendix 2). To investigate the possible impact of the intervention on health care service usage by participants, pharmaceutical consumption and municipal service usage as annual consumption are compared to a reference year 1 year before the intervention (baseline minus 1 year). costs [40]. As part of the budget impact analysis, the annual rate of return of municipality investments is estimated. Follow-up data covering 1 year before baseline until 3 years after are collected from national registers (Multimedia Appendix costs [40]. As part of the budget impact analysis, the annual rate of return of municipality investments is estimated. Follow-up data covering 1 year before baseline until 3 years after are collected from national registers (Multimedia Appendix Textbox 2. Sample size calculation. A power calculation based on standard deviations observed in the study [8] shows that the detection of a difference in weight loss of 2.0 kg with a power of 0.95% requires 55 participants in the intervention group and 32 in the control group. To allow for drop out according to the experienced attrition rates in the same study [8] (39% of participants in the intervention group and 57% in the control group are expected to drop out at 12 months), we will recruit 100 participants in the intervention group and 70 in the control group (Figure 1). To be able to stratify analyses according to obese participants at risk of developing chronic diseases and obese participants with diabetes, we will recruit 100 obese participants at risk of developing chronic diseases and 100 obese participants with diabetes. Therefore, in total, we will consider 200 participants in the intervention group and 140 in the control group. Among overweight participants, 100 (81 female participants) were randomized to the intervention group and 70 (52 female participants) were randomized to the standard care group. Prevention of Drop Out and Loss to Follow-Up Based on prior experience, approximately 15% of participants will drop out during the first 2 weeks owing to technological challenges, etc. Likewise, after 3 months, approximately 20% of participants will lose motivation and be less active on the platform [8]. The coach will endeavor to maintain participation through phone calls, text messages, and, if necessary, face-to-face meetings. In the case of exclusion before the end of the trial (eg, due to pregnancy), the participant will be asked to complete a final questionnaire and have objective parameters measured in order to provide data for the intention-to-treat analysis. http://www.researchprotocols.org/2020/6/e19172/ Long-Term Follow-Up Since the target group involves participants with chronic diseases or having a risk of chronic diseases, the effect structure of a lifestyle change will first be visible over several years. These data will not be available within the current study design, and hence, the observed effects within the given time frame will JMIR Res Protoc 2020 | vol. 9 | iss. 6 | e19172 | p. 8 (page number not for citation purposes) Acknowledgments The study has been initiated by CJB in extension of research in his PhD dissertation, which was worked out at the Research Unit of General Practice at the University of Southern Denmark (thesis defended August 2018). This study is partly funded by LIVA Healthcare A/S. A formal research agreement has been made between the University of Southern Denmark and LIVA Healthcare A/S to guide the running and financial aspects of the project. The participants in this study are not economically compensated for their participation. The study has been initiated by CJB in extension of research in his PhD dissertation, which was worked out at the Research Unit of General Practice at the University of Southern Denmark (thesis defended August 2018). This study is partly funded by LIVA Healthcare A/S. A formal research agreement has been made between the University of Southern Denmark and LIVA Healthcare A/S to guide the running and financial aspects of the project. The participants in this study are not economically compensated for their participation. Progress The first baseline assessments were carried out in March 2018. The trial has now reached the 12-month follow-up period for all included participants, and results are expected by the middle of 2020. The 2-year follow-up will be carried out between March 2020 and April 2021. From March 2018 to March 2019, 799 potential participants were evaluated for participation. A total of 340 met the inclusion criteria, consented to participate, filled out the web-based questionnaire, and were randomized into study groups. Among participants with type 2 diabetes, 100 (49 female participants) were randomized to the intervention group and 70 (32 female participants) were randomized to the standard care group. JMIR Res Protoc 2020 | vol. 9 | iss. 6 | e19172 | p. 8 (page number not for citation purposes) XSL•FO RenderX XSL•FO RenderX JMIR RESEARCH PROTOCOLS Brandt et al 5% or more [8]. These results are expected to be clinically relevant for patients with type 2 diabetes when weight loss is sustained for more than 2 years [44]. Moreover, these findings will support that the remission rates of patients with type 2 diabetes can be improved by the use of digital lifestyle coaching at a level comparable to other more intensive resource-heavy strategies [5,7]. If the LIVA 2.0 eHealth lifestyle coaching program is proven to be effective, there is a great potential for decreasing obesity rates and rehabilitating patients with type 2 diabetes and other related chronic diseases cost-effectively though human digital lifestyle coaching. Multimedia Appendix 1 YouTube video showing an example of the LIVA app used in real life. [DOCX File , 13 KB-Multimedia Appendix 1] Conflicts of Interest CJB has co-founded LIVA Healthcare A/S and owns stock in LIVA Healthcare A/S, the company that developed parts of the technical platform and hosted some of it during the study. CJB works at the Research Unit for General Practice at University of Southern Denmark. CS is an employee of LIVA Healthcare A/S. JS, JBN, JRC, and JTL have no financial interests in LIVA Healthcare A/S or any other aspects of this study. Multimedia Appendix 2 Included variables, definitions, categories, and source. [DOCX Fil 20 KB M l i di A di 2] Included variables, definitions, categories, and sou [DOCX File , 20 KB-Multimedia Appendix 2] , , g , [DOCX File , 20 KB-Multimedia Appendix 2] Discussion This is the first time an app and web-based eHealth lifestyle coaching program implemented in Danish municipalities will be clinically and economically evaluated in a strong scientific setup. The study is expected to show that human support through a digital lifestyle intervention program leads to relevant weight loss as compared with a control group receiving standard care, and more importantly, the study is expected to show that digital lifestyle support results in more than twice as many patients with type 2 diabetes reaching a relevant weight loss of 3% to Authors' Contributions CJB, JBN, and JS were involved in designing the trial. CJB, JTL, and CS developed the intervention. CJB, JBN, CS, and JS are responsible for implementing the trial. JTL, CJB, JBN, JRC, CS, and JS will oversee the data analysis. All authors will be involved in interpretation of the results. CJB and JRC wrote the first draft. All authors have contributed to, read, and approved the final manuscript. 1. World Health Organization Europe. 2017. Fact sheets on sustainable development goals: health targets. 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Popul Health Metr 2016;14:17 [FREE Full text] [doi: 10.1186/s12963-016-0085-1] [Medline: 27152092] 41. Briggs AD, Wolstenholme J, Blakely T, Scarborough P. Choosing an epidemiological model structure for the economic evaluation of non-communicable disease public health interventions. Popul Health Metr 2016;14:17 [FREE Full text] [doi: 10.1186/s12963-016-0085-1] [Medline: 27152092] 42. Briggs A, Claxton K, Sculpher M. Decision Modelling for Health Economic Evaluation. Oxford, UK: Oxford University Press; 2006. 42. Briggs A, Claxton K, Sculpher M. Decision Modelling for Health Economic Evaluation. Oxford, UK: Oxford University Press; 2006. 43. Juul S. Epidemiologi og evidens. Vol. 1. udg. 3. opl. [FREE Full text] [doi: 10.2196/jmir.9791] [Medline: 29980496] Copenhagen: Munksgaard Danmark; 2004 p g g g p p g g ; 44. Lean M, Leslie W, Barnes A, Brosnahan N, Thom G, McCombie L, et al. Durability of a primary care-led weight-management intervention for remission of type 2 diabetes: 2-year results of the DiRECT open-label, cluster-randomised trial. The Lancet Diabetes & Endocrinology 2019 May;7(5):344-355. [doi: 10.1016/S2213-8587(19)30068-3] 44. Lean M, Leslie W, Barnes A, Brosnahan N, Thom G, McCombie L, et al. Durability of a primary care-led weight-management intervention for remission of type 2 diabetes: 2-year results of the DiRECT open-label, cluster-randomised trial. The Lancet Diabetes & Endocrinology 2019 May;7(5):344-355. [doi: 10.1016/S2213-8587(19)30068-3] [FREE Full text] [doi: 10.2196/jmir.9791] [Medline: 29980496] Long-term cost reduction of routine medications following a residential programme combining physical activity and nutrition in the treatment of type 2 diabetes: a prospective cohort study. BMJ Open 2017 Apr 16;7(4):e013763 [FREE Full text] [doi: 10.1136/bmjopen-2016-013763] [Medline: 28416496] 27. Koolhaas CM, Dhana K, Schoufour JD, Ikram MA, Kavousi M, Franco OH. Impact of physical activity on the association of overweight and obesity with cardiovascular disease: The Rotterdam Study. Eur J Prev Cardiol 2017 Jun;24(9):934-941 [FREE Full text] [doi: 10.1177/2047487317693952] [Medline: 28436726] 28. Liva Healthcare. URL: https://liva-app.dk/ [accessed 2020-06-02] p pp [ ] 29. Ryan P. Integrated Theory of Health Behavior Change: background and intervention development. Clin Nurse Spec 2009;23(3):161-70; quiz 171 [FREE Full text] [doi: 10.1097/NUR.0b013e3181a42373] [Medline: 19395894] 29. Ryan P. Integrated Theory of Health Behavior Change: background and intervention development. Clin Nurse Spec 2009;23(3):161-70; quiz 171 [FREE Full text] [doi: 10.1097/NUR.0b013e3181a42373] [Medline: 19395894] ( ) q 30. Hoffmann TC, Glasziou PP, Boutron I, Milne R, Perera R, Moher D, et al. Better reporting of interventions: template for intervention description and replication (TIDieR) checklist and guide. BMJ 2014 Mar 07;348:g1687. [doi: 10.1136/bmj.g1687] [Medline: 24609605] 30. Hoffmann TC, Glasziou PP, Boutron I, Milne R, Perera R, Moher D, et al. Better reporting of interventions: template for intervention description and replication (TIDieR) checklist and guide. BMJ 2014 Mar 07;348:g1687. [doi: 10.1136/bmj.g1687] [Medline: 24609605] [ ] 31. Michie S, Ashford S, Sniehotta FF, Dombrowski SU, Bishop A, French DP. A refined taxonomy of behaviour change techniques to help people change their physical activity and healthy eating behaviours: the CALO-RE taxonomy. Psychol Health 2011 Nov;26(11):1479-1498. [doi: 10.1080/08870446.2010.540664] [Medline: 21678185] 31. Michie S, Ashford S, Sniehotta FF, Dombrowski SU, Bishop A, French DP. A refined taxonomy of behaviour change techniques to help people change their physical activity and healthy eating behaviours: the CALO-RE taxonomy. Psychol Health 2011 Nov;26(11):1479-1498. [doi: 10.1080/08870446.2010.540664] [Medline: 21678185] ; ( ) [ ] [ ] 32. Jessen-Winge C, Ilvig PM, Jonsson H, Fritz H, Lee K, Christensen JR. Obesity treatment: a role for occupational therapists? Scand J Occup Ther 2020 Jan 16:1-8. [doi: 10.1080/11038128.2020.1712472] [Medline: 31944148] 32. Jessen-Winge C, Ilvig PM, Jonsson H, Fritz H, Lee K, Christensen JR. Obesity treatment: a role for occupational therapists? Scand J Occup Ther 2020 Jan 16:1-8. [doi: 10.1080/11038128.2020.1712472] [Medline: 31944148] 33. Fayers P, Machin D. Quality of Life: The Assessment, Analysis and Interpretation of Patient-reported Outcomes. JMIR Res Protoc 2020 | vol. 9 | iss. 6 | e19172 | p. 12 (page number not for citation purposes) Please cite as: Brandt CJ, Christensen JR, Lauridsen JT, Nielsen JB, Søndergaard J, Sortsø C Evaluation of the Clinical and Economic Effects of a Primary Care Anchored, Collaborative, Electronic Health Lifestyle Coaching Program in Denmark: Protocol for a Two-Year Randomized Controlled Trial JMIR Res Protoc 2020;9(6):e19172 URL: http://www.researchprotocols.org/2020/6/e19172/ doi: 10.2196/19172 PMID: 32584260 Abbreviations BCT: behavior change technique DKK: Danish Krones HbA1c: hemoglobin A1c LIVA: long-term Lifestyle change InterVention and eHealth Application QOL: quality of life RCT: randomized controlled trial SF-12: 12-item Short Form Survey SMART model: specific, measurable, attainable, relevant, timely http://www.researchprotocols.org/2020/6/e19172/ JMIR Res Protoc 2020 | vol. 9 | iss. 6 | e19172 | p. 11 (page number not for citation purposes) JMIR RESEARCH PROTOCOLS Brandt et al Edited by G Eysenbach; submitted 06.04.20; peer-reviewed by J Alvarez Pitti, L Quinlan; comments to author 29. version received 12.05.20; accepted 14.05.20; published 25.06.20 ©Carl J Brandt, Jeanette Reffstrup Christensen, Jørgen T Lauridsen, Jesper Bo Nielsen, Jens Søndergaard, Camilla Sortsø. Originally published in JMIR Research Protocols (http://www.researchprotocols.org), 25.06.2020. This is an open-access article distributed under the terms of the Creative Commons Attribution License (https://creativecommons.org/licenses/by/4.0/), which permits unrestricted use, distribution, and reproduction in any medium, provided the original work, first published in JMIR Research Protocols, is properly cited. The complete bibliographic information, a link to the original publication on http://www.researchprotocols.org, as well as this copyright and license information must be included. http://www.researchprotocols.org/2020/6/e19172/ http://www.researchprotocols.org/2020/6/e19172/ http://www.researchprotocols.org/2020/6/e19172/ XSL•FO RenderX
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The genetic basis of natural variation in mushroom body size in Drosophila melanogaster
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ARTICLE Received 8 Jul 2015 | Accepted 4 Nov 2015 | Published 11 Dec 2015 The genetic basis of natural variation in mushroom body size in Drosophila melanogaster Liesbeth Zwarts1,2,*, Lies Vanden Broeck1,2,*, Elisa Cappuyns1,2, Julien F. Ayroles3,w, Michael M. Magwire3,w, Veerle Vulsteke1,2, Jason Clements1,2, Trudy F.C. Mackay3 & Patrick Callaerts1,2 Liesbeth Zwarts1,2,*, Lies Vanden Broeck1,2,*, Elisa Cappuyns1,2, Julien F. Ayroles3,w, Michael M. Magwire3,w, Veerle Vulsteke1,2, Jason Clements1,2, Trudy F.C. Mackay3 & Patrick Callaerts1,2 Genetic variation in brain size may provide the basis for the evolution of the brain and complex behaviours. The genetic substrate and the selective pressures acting on brain size are poorly understood. Here we use the Drosophila Genetic Reference Panel to map polymorphic variants affecting natural variation in mushroom body morphology. We identify 139 genes and 39 transcription factors and confirm effects on development and adult plasticity. We show correlations between morphology and aggression, sleep and lifespan. We propose that natural variation in adult brain size is controlled by interaction of the environment with gene networks controlling development and plasticity. 1 KU Leuven—University of Leuven, Department of Human Genetics, Laboratory of Behavioral and Developmental Genetics, B-3000 Leuven, Belgium. 2 VIB Center for the Biology of Disease, B-3000 Leuven, Belgium. 3 Department of Biological Sciences, Program in Genetics and W. M. Keck Center for Behavioral Biology, North Carolina State University, Raleigh, North Carolina, 27695-7614, USA. * These authors contributed equally to this work. w Present address: Harvard Society of Fellows, 78 Mount Auburn St, Cambridge, Massachsetts, 02138, USA (J.F.A.); Syngenta, 3054 E. Cornwallis Road, Research Triangle Park, North Carolina, 27709, USA (M.M.M.). Correspondence and requests for materials should be addressed to P.C. (email: patrick.callaerts@cme.vib-kuleuven.be). 1 NATURE COMMUNICATIONS | 6:10115 | DOI: 10.1038/ncomms10115 | www.nature.com/naturecommunications NATURE COMMUNICATIONS | DOI: 10.1038/ncomms10115 ARTICLE T he brain plays a central role in controlling the social interactions of animals and their interactions with the environment. Visual, auditory, olfactory, tactile and gustatory sensory stimuli are integrated by the brain and result in a behavioural response appropriate for the context. Key higher order brain centres for integration and processing of sensory information are the mammalian cerebral cortex and the insect mushroom bodies (MBs). The size of the cerebral cortex and the MBs has been regarded as a proxy for cognitive ability and behavioural plasticity. For instance, the social brain hypothesis states that the evolution of the large brain size of primates is driven by the requirement to live in large groups1. Results N l Natural variation in mushroom body morphometry. We assessed morphology of the MB a and b lobes in 40 DGRP lines. These lobes are straightforward to visualize and we have previously optimized their morphometric analysis17–19. Animals of similar age and kept under constant environmental conditions were used throughout the study to minimize experience- dependent effects of mushroom body parameters (see Materials and Methods for more details). Surprisingly, we found gross morphological defects in 31 of the lines (77.5%), including thin lobes, short lobes, missing lobes, abnormal lobes (such as defasciculation and general malformation or misguidance) and fusion of b lobes. Some of the phenotypes were highly penetrant in certain lines, while others were seen more sporadically (Fig. 1; Supplementary Data 1). We attribute these gross morphological defects to fixation of recessive mutations affecting MB architecture. We quantified subtle variations in MB morphology by measuring the length and width of the a and b lobes17–19. All four traits were significantly variable, with broad sense heritabilities of respectively 0.274 and 0.376 for the length and width of the a lobes; and 0.123 and 0.313 for the length and width of the b lobes (Fig. 2a; Supplementary Data 2). All four traits are positively correlated with each other (Supplementary Data 3). Variation in brain size in the wild has been studied using two complementary approaches: interspecific comparative studies of the relationship between brain size and behavioural and environmental factors, and analyses of adaptive phenotypic plasticity5. Comparison of MBs in a broad spectrum of insects reveals big differences in size6,7. These size differences depend at least in part on significantly expanded neuroblast numbers. Drosophila MBs are derived from a total of eight MB neuroblasts, while Apis MBs are produced by four neuroblast clusters each consisting of 500 neuroblasts2,8. Thus, changes in developmental programmes are likely contributors to MB size differences. MB size in the adult insect also displays profound plasticity. Calyx volumes have been shown to be associated with age, sex and dominance behaviour in different paper wasp species9. In honeybees, experience modulates both dendritic spine morphology in the calyx and neuropil volume6,10. In ants, MB volumes vary between sexes and casts, and these volume changes are task dependent11,12. In Drosophila, MB fibre number has been related to age, sex and experience13,14. pp y These DGRP lines have been extensively tested in various behavioural paradigms, enabling us to identify possible MB morphological correlates with behaviours. Results N l We assessed the correlations (r) for each MB parameter and aggressive behaviour, copulation latency, fitness, startle response, ethanol resistance, starvation resistance, lifespan, chill coma recovery and sleep traits20–22. All behavioural data were male specific except for mating and fitness traits, for which both sexes were pooled. We found significant negative correlations between aggression and a lobe length (r ¼  0.410, P ¼ 0.009), b lobe width and fitness (r ¼  0.322, P ¼ 0.042), b lobe length and night time sleep (r ¼  0.323, P ¼ 0.044), a lobe width with the number of sleep bouts during the day (r ¼  0.315, P ¼ 0.047) and b lobe length with the number of sleep bouts during the night (r ¼  0.361, P ¼ 0.023; Fig. 2b–f; Supplementary Data 4). Although MBs have been shown to be involved in the regulation of aggression and sleep, this is, to our knowledge, the first demonstration that natural variation in MB morphology is associated with these traits19,23–26. The Drosophila MBs consist of B2,500 Kenyon cells projecting their axons rostroventrally through the peduncle, where at the MB heel they form distinct lobes8. All MB neurons are derived from eight MB neuroblasts and are subdivided in three groups: the a/b and a’/b’ neurons with neurites that project to a medial and a vertical lobe, and the g neurons that only project medially. The g neurons arise during early larval stages and initially project both medially and vertically. The g neurons are remodelled during pupal stages to form their characteristic medial MB lobe. The a’/b’ and a/b neurons develop during late larval and pupal stages to form their respective lobes8. In the current study, we use the inbred, sequenced lines of the Drosophila Genetic Reference Panel (DGRP)15,16 to demonstrate considerable natural genetic variation in length and width of the a and b MB lobes that is associated with variation in behavioural traits, and to perform genome wide association (GWA) analyses as a genetic screen to identify candidate genes affecting MB size. We identify the top candidate genes affecting MB size as those which have significantly associated genetic variants located within the gene and that are expressed in the MB neurons. In addition, we identify transcription factor-binding motifs that might be affected by variants in putative regulatory gene regions associated with MB size. The genetic basis of natural variation in mushroom body size in Drosophila melanogaster By analogy, it was proposed that the large MBs in insects such as bees, wasps and ants are also driven by sociality2. However, the observation that solitary bee, wasp and ant species also have large MBs puts this notion in doubt and rather suggests that a common ancestor of these species had large MBs thereby providing the neural substrate on which sociality could evolve2,3. Other solitary insects with large MBs include cockroaches, herbivorous scarab beetles and some butterfly species4. Variation in brain size and MB size in particular is of great interest to understand the evolution of the brain and the mechanisms that govern this. The genetic substrate and the selective pressures acting on brain size as a quantitative trait are poorly defined. T and transcription factors in MB development and plasticity by knocking down their expression in the MBs during development and as adults using RNA interference (RNAi). We thus identify genes with known and unknown functions in MB development and plasticity; suggesting that the genes required to form these structures also cause naturally occurring quantitative genetic variation in size, and that GWA analyses of natural variation is an efficient gene discovery tool. NATURE COMMUNICATIONS | 6:10115 | DOI: 10.1038/ncomms10115 | www.nature.com/naturecommunications Results N l γ α β β′ α′ 8 8 % α lobe phenotypes α normal α thin α short α missing α abnorma 859 852 820 799 786 774 765 732 730 714 712 707 705 639 517 514 486 437 427 399 391 380 379 375 365 362 360 358 357 335 324 315 313 307 306 304 303 301 208 0 20 40 60 80 100 % β lobe phenotypes β normal β thin β short β missing β fusion β abnormal 0 20 40 60 80 100 859 852 820 799 786 774 765 732 730 714 712 707 705 639 517 514 486 437 427 399 391 380 379 375 365 362 360 358 357 335 324 315 313 307 306 304 303 301 208 Figure 1 | Variation in gross MB defects in the 40 DGRP lines. (a–h) Anti-FasII staining visualizing the ab lobes of the MBs in the adult brain of 3–7 day old males of the 40 DGRP lines (Scale bar, 50 mm). (a) Scheme representing the different MB lobes in the adult brain (b) DGRP–639 males show thin ab lobes. (c) DGRP–705 males show missing a lobes (d) DGRP–517 show thin a lobes and missing b lobes. (e) DGRP–707 males show defasciculation of ab lobes and abnormal guidance of b lobes. (f) DGRP–730 males show b lobe fusion. (g) DGRP–799 males show missing b lobes and abnormal guidance and outgrowth of a lobes (h) DGRP–303 males show thin and abnormally formed b lobes. (i,j) Quantification of variation in gross MB defects in the 40 DGRP lines (N ¼ 20 hemispheres). (i) a lobe defects. (j) b lobe defects. protein 63E (Eip63E), Ecdysone-induced protein 75B (Eip75B), JIL-1) and two are involved in adult MB function (slowpoke (slo), pumilio (pum))28–37. No role in MB development or function has been reported for the remaining 127 genes. We performed gene ontology enrichment analyses to place the candidate genes into biological context38. Individual gene ontology categories and clusters were enriched for genes involved in development, morphogenesis, metamorphosis and behaviour (Supplementary Data 7 and 8). variants associated with b lobe width (Supplementary Data 5). On average, 62% of the variants were associated with genes (variants in the coding sequence, introns and the 30 and 50 untranslated region (UTR)); the remainder was intergenic (variants outside the transcribed region of an annotated gene) (Fig. 2g). NATURE COMMUNICATIONS | 6:10115 | DOI: 10.1038/ncomms10115 | www.nature.com/naturecommunications Results N l We functionally validate the role of candidate genes GWA analyses of mushroom body morphological variation. We performed single marker GWA analyses for the four genetically variable traits (length and width of the a and b lobes). At a reporting P value threshold of Po10  5, we identified variants in annotated genes, as well as variants in intergenic regions (not located in an annotated gene) associated with MB morphology27. The former variants implicate candidate genes affecting MB size, while the latter could potentially contain regulatory motifs indicative of transcription factor- binding sites regulating these traits. We identified 104 variants associated with a lobe length, 109 variants associated with a l obe width, 90 variants associated with b lobe length and 138 NATURE COMMUNICATIONS | 6:10115 | DOI: 10.1038/ncomms10115 | www.nature.com/naturecommunications 2 ARTICLE NATURE COMMUNICATIONS | DOI: 10.1038/ncomms10115 γ α β β′ α′ % β lobe phenotypes % α lobe phenotypes α normal α thin α short α missing α abnormal β normal β thin β short β missing β fusion β abnormal 859 852 820 799 786 774 765 732 730 714 712 707 705 639 517 514 486 437 427 399 391 380 379 375 365 362 360 358 357 335 324 315 313 307 306 304 303 301 208 0 20 40 60 80 100 0 20 40 60 80 100 859 852 820 799 786 774 765 732 730 714 712 707 705 639 517 514 486 437 427 399 391 380 379 375 365 362 360 358 357 335 324 315 313 307 306 304 303 301 208 riation in gross MB defects in the 40 DGRP lines. (a–h) Anti-FasII staining visualizing the ab lobes of the MBs in the adult brain of males of the 40 DGRP lines (Scale bar, 50 mm). (a) Scheme representing the different MB lobes in the adult brain (b) DGRP–639 males lobes. (c) DGRP–705 males show missing a lobes (d) DGRP–517 show thin a lobes and missing b lobes. (e) DGRP–707 males show n of ab lobes and abnormal guidance of b lobes. (f) DGRP–730 males show b lobe fusion. (g) DGRP–799 males show missing b lobes and dance and outgrowth of a lobes (h) DGRP–303 males show thin and abnormally formed b lobes. (i,j) Quantification of variation in gross MB 40 DGRP lines (N ¼ 20 hemispheres). (i) a lobe defects. (j) b lobe defects. NATURE COMMUNICATIONS | DOI: 10.1038/ncomms10115 s of association with MB traits (all four traits, a and b lobe a and b lobe width, a lobe width and length, b width ngth) (Supplementary Data 9). Of these 39 candidate iption factors, longitudinals lacking (lola), tailless (tll) and nscription factor 1 (ftz-f1) have been previously shown involved in MB development or function17,41,42 In summary, we identified 139 candidat candidate transcription factors associated wi variation in MB lobes. Although many of these in development, morphogenesis and metamor genes and four transcription factors have been to act in the MBs Night bout number (sleep bouts/ nigth) Day bout number (sleep bouts/ day) Night time sleep (min.) Reproductive fitness (wt/ mutant ratio) Aggression (encounters/ 2 min) β length (a.u.) β length (a.u.) β width (a.u.) α width (a.u.) α length (a.u.) β width α width β length α length Intergenic 5′ UTR Coding 0 50 # associated variants 100 150 Intronic 1.0 0.7 0.6 Normalized measurements 0.5 0.4 0.10 0.05 100 80 60 40 20 0 0.0 0.1 0.6 0.7 0.5 0.8 0.6 0.4 0.2 0.1 0.10 20 15 10 400 200 0 –200 0.4 0.5 –400 5 0 –5 10 5 0 0.4 0.5 –5 –10 –15 0.05 β width β length α width α length 0.0 0.0 DGRP_208 DGRP_301 DGRP_303 DGRP_304 DGRP_306 DGRP_307 DGRP_313 DGRP_315 DGRP_324 DGRP_335 DGRP_357 DGRP_358 DGRP_360 DGRP_362 DGRP_365 DGRP_375 DGRP_379 DGRP_380 DGRP_391 DGRP_399 DGRP_427 DGRP_437 DGRP_486 DGRP_514 DGRP_517 DGRP_555 DGRP_639 DGRP_705 DGRP_707 DGRP_712 DGRP_714 DGRP_730 DGRP_732 DGRP_765 DGRP_774 DGRP_786 DGRP_799 DGRP_820 DGRP_852 DGRP_859 | The 40 lines of the DGRP show variation in MB morphology correlated with different behaviours. (a) Observed variatio the 40 lines of the DGRP (N ¼ 20 hemispheres, Mean±s.e.m.). (b) a-lobe length is negatively correlated with aggression (Pe 09, N ¼ 20). (c) b-lobe width is negatively correlated with fitness (Pearson’s r ¼  0.322; P ¼ 0.042, N ¼ 20). (d) b-lobe le ed with night time sleep (Pearson’s r ¼  0.323; P ¼ 0.044, N ¼ 20). (e) a-lobe width is negatively correlated with the num he day (Pearson’s r ¼  0.315; P ¼ 0.047, N ¼ 20). (f) b-lobe length is negatively correlated with the number of sleep bout n’s r ¼  0.361; P ¼ 0.023, N ¼ 20). (g) Genomic locations of variants associated with different MB morphology traits. NATURE COMMUNICATIONS | DOI: 10.1038/ncomms10115 Aggression (encounters/ 2 min) α length (a.u.) 100 80 60 40 20 0 0.0 0.1 0.6 0.7 0.5 Reproductive fitness (wt/ mutant ratio) β width (a.u.) 1.0 0.8 0.6 0.4 0.2 0.1 0.0 0.0 Day bout number (sleep bouts/ day) β width (a.u.) α width (a.u.) 0.10 20 15 10 5 0 –5 0.05 Night time sleep (min.) β length (a.u.) 400 200 0 –200 0.4 0.5 –400 Night bout number (sleep bouts/ nigth) β length (a.u.) 10 5 0 0.4 0.5 –5 –10 –15 Intergenic 5′ UTR Coding 0 50 # associated variants 100 150 Intronic β width β length α width α length Figure 2 | The 40 lines of the DGRP show variation in MB morphology correlated with different behaviours. (a) Observed variation in MB morphology traits in the 40 lines of the DGRP (N ¼ 20 hemispheres, Mean±s.e.m.). (b) a-lobe length is negatively correlated with aggression (Pearson’s r ¼  0.410; P ¼ 0.009, N ¼ 20). (c) b-lobe width is negatively correlated with fitness (Pearson’s r ¼  0.322; P ¼ 0.042, N ¼ 20). (d) b-lobe length is negatively correlated with night time sleep (Pearson’s r ¼  0.323; P ¼ 0.044, N ¼ 20). (e) a-lobe width is negatively correlated with the number of sleep bouts during the day (Pearson’s r ¼  0.315; P ¼ 0.047, N ¼ 20). (f) b-lobe length is negatively correlated with the number of sleep bouts during the night (Pearson’s r ¼  0.361; P ¼ 0.023, N ¼ 20). (g) Genomic locations of variants associated with different MB morphology traits. patterns of association with MB traits (all four traits, a and b lobe length, a and b lobe width, a lobe width and length, b width and length) (Supplementary Data 9). Of these 39 candidate transcription factors, longitudinals lacking (lola), tailless (tll) and ftz transcription factor 1 (ftz-f1) have been previously shown to be involved in MB development or function17,41,42. Dissatisfaction (dsf) and lethal of scute (l(1)sc) are expressed in the MBs43,44. Abdominal B (Abd-B) and hunchback (hb) interact with pathways with a previously described function in MB development or function45,46. Many of the other transcription factors are involved in (neuro-) developmental processes, but have no known role in the MBs. In summary, we identified 139 candidate genes and 39 candidate transcription factors associated with morphological variation in MB lobes. NATURE COMMUNICATIONS | DOI: 10.1038/ncomms10115 β width α width β length α length 0.7 0.6 Normalized measurements 0.5 0.4 0.10 0.05 DGRP_208 DGRP_301 DGRP_303 DGRP_304 DGRP_306 DGRP_307 DGRP_313 DGRP_315 DGRP_324 DGRP_335 DGRP_357 DGRP_358 DGRP_360 DGRP_362 DGRP_365 DGRP_375 DGRP_379 DGRP_380 DGRP_391 DGRP_399 DGRP_427 DGRP_437 DGRP_486 DGRP_514 DGRP_517 DGRP_555 DGRP_639 DGRP_705 DGRP_707 DGRP_712 DGRP_714 DGRP_730 DGRP_732 DGRP_765 DGRP_774 DGRP_786 DGRP_799 DGRP_820 DGRP_852 DGRP_859 Night bout number (sleep bouts/ nigth) Day bout number (sleep bouts/ day) Night time sleep (min.) Reproductive fitness (wt/ mutant ratio) Aggression (encounters/ 2 min) β length (a.u.) β length (a.u.) β width (a.u.) α width (a.u.) α length (a.u.) β width α width β length α length Intergenic 5′ UTR Coding 0 50 # associated variants 100 150 Intronic 1.0 0.7 0.6 Normalized measurements 0.5 0.4 0.10 0.05 100 80 60 40 20 0 0.0 0.1 0.6 0.7 0.5 0.8 0.6 0.4 0.2 0.1 0.10 20 15 10 400 200 0 –200 0.4 0.5 –400 5 0 –5 10 5 0 0.4 0.5 –5 –10 –15 0.05 β width β length α width α length 0.0 0.0 DGRP_208 DGRP_301 DGRP_303 DGRP_304 DGRP_306 DGRP_307 DGRP_313 DGRP_315 DGRP_324 DGRP_335 DGRP_357 DGRP_358 DGRP_360 DGRP_362 DGRP_365 DGRP_375 DGRP_379 DGRP_380 DGRP_391 DGRP_399 DGRP_427 DGRP_437 DGRP_486 DGRP_514 DGRP_517 DGRP_555 DGRP_639 DGRP_705 DGRP_707 DGRP_712 DGRP_714 DGRP_730 DGRP_732 DGRP_765 DGRP_774 DGRP_786 DGRP_799 DGRP_820 DGRP_852 DGRP_859 Figure 2 | The 40 lines of the DGRP show variation in MB morphology correlated with different behaviours. (a) Observed variation in MB morphology traits in the 40 lines of the DGRP (N ¼ 20 hemispheres, Mean±s.e.m.). (b) a-lobe length is negatively correlated with aggression (Pearson’s r ¼  0.410; P ¼ 0.009, N ¼ 20). (c) b-lobe width is negatively correlated with fitness (Pearson’s r ¼  0.322; P ¼ 0.042, N ¼ 20). (d) b-lobe length is negatively correlated with night time sleep (Pearson’s r ¼  0.323; P ¼ 0.044, N ¼ 20). (e) a-lobe width is negatively correlated with the number of sleep bouts during the day (Pearson’s r ¼  0.315; P ¼ 0.047, N ¼ 20). (f) b-lobe length is negatively correlated with the number of sleep bouts during the night (Pearson’s r ¼  0.361; P ¼ 0.023, N ¼ 20). (g) Genomic locations of variants associated with different MB morphology traits. Results N l g g We mapped 39 candidate genes associated with a lobe length, 37 with a lobe width, 35 with b lobe length and 54 with b lobe width. These comprised 139 unique genes, as 18 genes were associated with two MB traits and four were associated with three mushroom body traits (Supplementary Data 6). Six of the candidate genes are known to regulate MB development (starry night (stan), frizzled (fz), Protostome-specific GEF (PsGEF), Protein tyrosine phosphatase 10D (Ptp10D), misshapen (msn), vein (vn)), four act in pathways that modulate MB development but have themselves never been linked to MB development (APP-like protein interacting protein 1 (Aplip1), Ecdysone-induced To assess whether variants in non-coding regions that are associated with MB size could be in regulatory regions, we used the Multiple EM for Motif Elicitation tool to identify recurring motifs for these variants for each of the genetically variable traits39. We selected the three most significantly recurring motifs for each trait (Fig. 3). We then used the TOMTOM motif comparison tool to identify the transcription factor(s) most likely to bind to these motifs40, and categorized them based on their 3 ARTICLE NATURE COMMUNICATIONS | DOI: 10.1038/ncomms10115 NATURE COMMUNICATIONS | 6:10115 | DOI: 10.1038/ncomms10115 | www.nature.com/naturecommunications NATURE COMMUNICATIONS | DOI: 10.1038/ncomms10115 (a) Motifs associated with a lobe length (motif 1: P ¼ 6,9 E-014; motif 2 P ¼ 5,4 E-010; motif 3: P ¼ 4,9 E-002). (b) Motifs associated with a lobe width (motif 1: P ¼ 2,6 E-015; motif 2 P ¼ 3,6 E-006; motif 3: P ¼ 2,5 E-012). (c) Motifs associated with b lobe length (motif 1: P ¼ 2,0 E-018; motif 2 P ¼ 3,2 E-010; motif 3: P ¼ 3,2 E-009). (d) Motifs associated with b lobe width (motif 1: P ¼ 4,1 E-014; motif 2 P ¼ 7,9 E-013; motif 3: P ¼ 1,4 E-005) A total of 264 lines, containing enhancer sequences of 26 genes of the total 139 candidate genes, were present in the FlyLight database; of these, 44 drove expression in the MBs. Note that this may deviate from the actual number as the FlyLight lines may not always be a complete representation of the real expression pattern (own unpublished observations for the eyeless gene). In total, we found a total of 20 unique genes which showed expression in the MBs. We included pum as a candidate gene for functional validation because it is known to be expressed in the MB and play a role in synaptic plasticity in the adult brain, although a FlyLight line was not available37. We also used the FlyLight database to determine MB expression for the candidate transcription factors, of which 44 lines, containing enhancer sequences of 21 genes of the total 39 candidate transcription factors, were present in the FlyLight database (Supplementary Data 10). Thirty-two of these lines showed MB expression. In total these represented 17 unique transcription factors. We verified the MB expression of all lines by driving green fluorescent protein (GFP)–CD8 expression with the different GAL4 lines followed by anti-GFP immunostaining (Supplementary Data 10), and confirmed all but one (acj6). In addition, we determined that all enhancer sequences in the FlyLight lines corresponded to the reported gene by means of PCR (Supplementary Data 10). In summary, we confirmed MB expression of 20 candidate genes and 16 candidate transcription factors associated with one or more MB traits, the large majority of which are novel with respect to a role in MB function. We used targeted RNAi knockdown in the MBs using the OK107-Gal4 driver to validate the role of the candidate genes and transcription factors in MB morphology (Supplementary Data 10). NATURE COMMUNICATIONS | DOI: 10.1038/ncomms10115 Although many of these genes are involved in development, morphogenesis and metamorphosis, only eight genes and four transcription factors have been previously shown to act in the MBs. Functional validation analyses. We hypothesized that the most promising candidates for functional validation would be candidate genes that are expressed in the MBs. Therefore, we used the FlyLight database to restrict the number of candidate genes for functional validation tests to those with MB expression47. NATURE COMMUNICATIONS | 6:10115 | DOI: 10.1038/ncomms10115 | www.nature.com/naturecommunications 4 ARTICLE NATURE COMMUNICATIONS | DOI: 10.1038/ncomms10115 2 1 1 3 2 4 5 6 7 8 9 10 11 12 13 14 15 0 0 Bits 2 1 1 3 2 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20 1 3 2 4 5 6 7 8 9 1011 12 13 14 15 16 17 18 19 20 1 3 2 4 5 6 7 8 9 1011 12 13 14 15 16 17 18 19 20 1 3 2 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 16 17 18 19 20 1 3 2 4 5 6 7 8 9 1011 12 13 14 15 16 17 18 19 20 0 Bits 2 1 Bits 0 2 1 Bits 0 2 1 Bits 0 2 1 Bits 2 1 1 3 2 4 5 6 7 8 9 10 11 12 13 14 15 0 0 Bits 2 1 1 3 2 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20 1 3 2 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 1 3 2 4 5 6 7 8 9 1011 12 13 14 15 16 17 18 19 20 1 3 2 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20 1 3 2 4 5 6 7 8 9 1011 12 13 14 15 16 17 18 19 20 0 Bits 2 1 Bits 0 2 1 Bits 0 2 1 Bits 0 2 1 Bits gure 3 | Recurring transcription factor-binding motifs in non-coding sequences with variants associated with MB parameters. NATURE COMMUNICATIONS | DOI: 10.1038/ncomms10115 (d) Motifs associated with b lobe width (motif 1: P ¼ 4,1 E-014; motif 2 P ¼ 7,9 E-013; motif 3: P ¼ 1,4 E-005) ATURE COMMUNICATIONS | DOI: 10.1038/ncomms10115 ARTICLE 2 1 1 3 2 4 5 6 7 8 9 10 11 12 13 14 15 0 0 Bits 2 1 1 3 2 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20 1 3 2 4 5 6 7 8 9 1011 12 13 14 15 16 17 18 19 20 1 3 2 4 5 6 7 8 9 1011 12 13 14 15 16 17 18 19 20 1 3 2 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20 1 3 2 4 5 6 7 8 9 1011 12 13 14 15 16 17 18 19 20 0 Bits 2 1 Bits 0 2 1 Bits 0 2 1 Bits 0 2 1 Bits 2 1 1 3 2 4 5 6 7 8 9 10 11 12 13 14 15 0 0 Bits 2 1 1 3 2 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20 1 3 2 4 5 6 7 8 9 1011 12 13 14 15 16 17 18 19 20 1 3 2 4 5 6 7 8 9 1011 12 13 14 15 16 17 18 19 20 0 Bits 2 1 Bits 0 2 1 Bits 0 1 3 2 4 5 6 7 8 9 1011 12 13 14 15 16 17 18 19 20 1 3 2 4 5 6 7 8 9 1011 12 13 14 15 16 17 18 19 20 2 1 Bits 0 2 1 Bits 1 3 2 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20 1 3 2 4 5 6 7 8 9 1011 12 13 14 15 16 17 18 19 20 0 2 1 Bits 0 2 1 Bits 16 17 18 19 2 1 1 3 2 4 5 6 7 8 9 10 11 12 13 14 15 0 Bits 2 1 1 3 2 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20 0 Bits 0 1 3 2 4 5 6 7 8 9 1011 12 13 14 15 16 17 18 19 20 2 1 Bits 1 3 2 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 0 2 1 Bits 0 1 3 2 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 1 3 2 4 5 6 7 8 9 1011 12 13 14 15 16 17 18 19 20 2 1 Bits 0 2 1 Bits 1 3 2 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20 1 3 2 4 5 6 7 8 9 1011 12 13 14 15 16 17 18 19 20 0 2 1 Bits 0 2 1 Bits Figure 3 | Recurring transcription factor-binding motifs in non-coding sequences with variants associated with MB parameters. NATURE COMMUNICATIONS | DOI: 10.1038/ncomms10115 (a) Motifs associated th a lobe length (motif 1: P ¼ 6,9 E-014; motif 2 P ¼ 5,4 E-010; motif 3: P ¼ 4,9 E-002). (b) Motifs associated with a lobe width (motif 1: P ¼ 2,6 E-015; otif 2 P ¼ 3,6 E-006; motif 3: P ¼ 2,5 E-012). (c) Motifs associated with b lobe length (motif 1: P ¼ 2,0 E-018; motif 2 P ¼ 3,2 E-010; motif 3: ¼ 3,2 E-009). NATURE COMMUNICATIONS | 6:10115 | DOI: 10.1038/ncomms10115 | www.nature.com/naturecommunications ARTICLE 60 genes. OK107-Gal4 driven knockdown of Eip75B, Mrtf and ftz-f1 resulted in lethality, therefore these genes could not be evaluated for MB phenotypes. For the remaining genes, we evaluated gross as well as subtle MB phenotypes of the RNAi knockdown genotypes compared to the control. No control animals had gross MB abnormalities, but 24 of the 57 remaining genes tested showed gross defects in MB morphology. These defects included thin and missing a lobes and thin, short, fused and missing b lobes (Fig. 4; Supplementary Data 11). A total of 10 genes had more subtle, quantitative effects on MB size. misshapen (msn) affected all four traits; lola affected a lobe length and width and b lobe length, and slamdance (sda) affected a lobe width and b lobe length. crooked legs (crol), pou domain motif 3 (pdm3) and bric a brac 1 (bab1) specifically affected a lobe length and tailup (tup), jim, lethal (3) neo8 (l(3)neo8) and trachealess (trh) specifically affected a lobe width (Fig. 5). In many insect species, the MB is a dynamic structure in the adult brain, able to change in an experience-dependent msn sda lov Ca- Lkr tup dsx cg7386 Antp pdm3 sima cg33557 I(3)neo38 Kr jim rn I(1)sc da sens-2 zen trh lola NFAT Abd-B msn sda lov Ca- Lkr tup dsx cg7386 Antp pdm3 sima cg33557 I(3)neo38 Kr jim rn I(1)sc da sens-2 zen trh lola NFAT Abd-B 0 20 % α lobe phenotypes 40 60 80 100 α normal α thin α short α missing β normal β thin β short β missing β fusion 0 20 % β lobe phenotypes 40 60 80 100 Ai-mediated knockdown of the identified genes and transcription factors results in gross MB defects. (a–d) Anti-FasII stainin ab lobes of the MBs in the adult brain of 3–7 day old males (scale bar, 50 mm) (a) UAS-RNAi-AbdBTRIP35647, OK107-Gal4 CG33557VDRC23517, OK107-Gal4 (c) UAS-RNAi-lolaTRIP35721, OK107-Gal4 (d) UAS-RNAi-sdaTRIP 37494, OK107-Gal4. (e,f) Quantifica oss MB defects on RNAi-mediated knockdown (N ¼ 20 hemispheres). (e) a lobe defects. (f) b lobe defects. NATURE COMMUNICATIONS | DOI: 10.1038/ncomms10115 This driver is expressed in all MB neuroblasts, ganglion mother cells and neurons from embryonic stages onwards48. For the candidate genes we focused on the genes that are expressed in the MBs themselves, for the transcription factors we analysed all 39 genes. We tested one RNAi line for each of the 5 NATURE COMMUNICATIONS | DOI: 10.1038/ncomms10115 ARTICLE NATURE COMMUNICATIONS | DOI: 10.1038/ncomms10115 NATURE COMMUNICATIONS | DOI: 10.1038/ncomms10115 NATURE COMMUNICATIONS | DOI: 10.1038/ncomms10115 bab1 pdm3 lola crol msn OK107-Gal4/+ trh l(3)neo38 rn tup sda CG7918 lola lola Kr msn msn OK107-Gal4/+ OK107-Gal4/+ lola msn OK107-Gal4/+ sda **** **** **** **** * * ** ** * 0.0 0.0 0.1 β lobe length (a.u.) α lobe length (a.u.) 0.2 0.2 0.3 0.4 0.4 0.6 0.5 0.00 0.02 0.04 0.06 0.08 0.10 0.00 0.02 0.04 0.06 0.08 0.10 β lobe width (a.u.) α lobe width (a.u.) * * * *** **** **** Figure 5 | Significant alterations in MB morphology traits upon RNAi-mediated knockdown of the identified genes during development. (a) a lobe length. (b) a lobe width. (c) b lobe length. (d) b lobe width. (Kruskall–Wallis tests followed by Dunn’s post hoc tests; *Po0.05; **Po0.01; ***Po0.001; ****Po0.0001; N ¼ 20, Mean±s.e.m.). bab1 pdm3 lola crol msn OK107-Gal4/+ trh l(3)neo38 rn tup sda CG7918 lola msn OK107-Gal4/+ **** **** * ** ** 0.0 α lobe length (a.u.) 0.2 0.4 0.6 0.00 0.02 0.04 0.06 0.08 0.10 α lobe width (a.u.) * * * *** **** **** trh l(3)neo38 rn tup sda CG7918 lola msn OK107-Gal4/+ 0.00 0.02 0.04 0.06 0.08 0.10 α lobe width (a.u.) * * * *** **** **** bab1 pdm3 lola crol msn OK107-Gal4/+ O **** **** * ** ** 0.0 α lobe length (a.u.) 0.2 0.4 0.6 lola msn OK107-Gal4/+ sda **** * * 0.0 0.1 β lobe length (a.u.) 0.2 0.3 0.4 0.5 lola Kr msn OK107-Gal4/+ **** 0.00 0.02 0.04 0.06 0.08 0.10 β lobe width (a.u.) β lobe width (a.u.) Figure 5 | Significant alterations in MB morphology traits upon RNAi-mediated knockdown of the identified genes during development. (a) a lobe length. (b) a lobe width. (c) b lobe length. (d) b lobe width. (Kruskall–Wallis tests followed by Dunn’s post hoc tests; *Po0.05; **Po0.01; ***Po0.001; ****Po0.0001; N ¼ 20, Mean±s.e.m.). Of the 139 unique candidate genes, only eight have been previously reported to be involved in MB morphology or function28–30,32–35,37. Furthermore, more than one-third of the polymorphisms associated with variation in MB morphology were located in intergenic regions. We hypothesized that these intergenic regions, as well as other non-coding regions, would contain binding sites for transcription factors regulating MB morphology. Analysis of recurring motifs allowed us to select 39 putative binding transcription factors. NATURE COMMUNICATIONS | DOI: 10.1038/ncomms10115 Support for this hypothesis comes from our observation that we identified pum, which is known for its role in plasticity in the adult MBs, as a candidate gene37. We could not include pum in the expression analysis since no FlyLight lines were available, but we did include it in our plasticity analysis as a positive control. To determine whether the candidate genes act in adult MB plasticity, we crossed RNAi lines targeting these genes with OK107-Gal4 in combination with a TubP- Gal80TS transgene to restrict the RNAi-mediated knockdown to adult stages by elevating the temperature to 29 C. We only performed these analyses for the candidate genes. We identified eight genes that modulate adult MB plasticity (Fig. 6). pum and hedgehog (hh) affect plasticity in a lobe length and width and b lobe width and jim lovell (lov) affects plasticity of a and b lobe width. The other genes have specific effects on plasticity: slamdance (sda) and doublesex-Mab related 99B (dmrt99B) for a lobe length; bubblegum (bgm) for b lobe length; and spire (spir) and schlank for b lobe width. ARTICLE NATURE COMMUNICATIONS | 6:10115 | DOI: 10.1038/ncomms10115 | www.nature.com/naturecomm msn sda lov Ca- Lkr tup dsx cg7386 Antp pdm3 sima cg33557 I(3)neo38 Kr jim rn I(1)sc da sens-2 zen trh lola NFAT Abd-B g β normal β thin β short β missing β fusion 0 20 % β lobe phenotypes 40 60 80 100 msn sda lov Ca- Lkr tup dsx cg7386 Antp pdm3 sima cg33557 I(3)neo38 Kr jim rn I(1)sc da sens-2 zen trh lola NFAT Abd-B 0 20 % α lobe phenotypes 40 60 80 100 α normal α thin α short α missing msn sda lov Ca- Lkr tup dsx cg7386 Antp pdm3 sima cg33557 I(3)neo38 Kr jim rn I(1)sc da sens-2 zen trh lola NFAT Abd-B msn sda lov Ca- Lkr tup dsx cg7386 Antp pdm3 sima cg33557 I(3)neo38 Kr jim rn I(1)sc da sens-2 zen trh lola NFAT Abd-B 0 20 % α lobe phenotypes 40 60 80 100 α normal α thin α short α missing β normal β thin β short β missing β fusion 0 20 % β lobe phenotypes 40 60 80 100 % β lobe phenotypes % α lobe phenotypes Figure 4 | RNAi-mediated knockdown of the identified genes and transcription factors results in gross MB defects. (a–d) Anti-FasII staining visualizing the ab lobes of the MBs in the adult brain of 3–7 day old males (scale bar, 50 mm) (a) UAS-RNAi-AbdBTRIP35647, OK107-Gal4 (b) UAS-RNAi-CG33557VDRC23517, OK107-Gal4 (c) UAS-RNAi-lolaTRIP35721, OK107-Gal4 (d) UAS-RNAi-sdaTRIP 37494, OK107-Gal4. (e,f) Quantification of variation in gross MB defects on RNAi-mediated knockdown (N ¼ 20 hemispheres). (e) a lobe defects. (f) b lobe defects. NATURE COMMUNICATIONS | 6:10115 | DOI: 10.1038/ncomms10115 | www.nature.com/naturecommunications 6 6 ARTICLE NATURE COMMUNICATIONS | 6:10115 | DOI: 10.1038/ncomms10115 | www.nature.com/naturecommunications NATURE COMMUNICATIONS | DOI: 10.1038/ncomms10115 Four of these had a known role in the MBs, including lola which was linked to all four MB traits, providing a proof of concept for our approach17; the other transcription factors were not known to affect MB morphology. We showed that the large majority of identified genes and transcription factors for which FlyLight lines are available indeed show expression in the MBs. Furthermore, we validated a functional role for these genes in MB development. Knockdown of many of the identified genes resulted in variation in MB morphology, ranging from sporadic gross defects to more subtle variations. The observed phenotypes may, however, be an underestimate as some RNAi constructs may not be sufficiently efficient to produce prominent phenotypes. At the same time, some false positives due to off-target effects cannot be excluded. Overall, the prominent MB expression of the identified genes and transcription factors and their causal effects reveal the biological relevance of our analysis and highlight the strength of GWA analyses of natural variation as an efficient gene discovery tool. manner6,9,13,14. Thus, it is possible that the candidate genes and transcription factors do not influence MB development per se, but rather adult plasticity. Support for this hypothesis comes from our observation that we identified pum, which is known for its role in plasticity in the adult MBs, as a candidate gene37. We could not include pum in the expression analysis since no FlyLight lines were available, but we did include it in our plasticity analysis as a positive control. To determine whether the candidate genes act in adult MB plasticity, we crossed RNAi lines targeting these genes with OK107-Gal4 in combination with a TubP- Gal80TS transgene to restrict the RNAi-mediated knockdown to adult stages by elevating the temperature to 29 C. We only performed these analyses for the candidate genes. We identified eight genes that modulate adult MB plasticity (Fig. 6). pum and hedgehog (hh) affect plasticity in a lobe length and width and b lobe width and jim lovell (lov) affects plasticity of a and b lobe width. The other genes have specific effects on plasticity: slamdance (sda) and doublesex-Mab related 99B (dmrt99B) for a lobe length; bubblegum (bgm) for b lobe length; and spire (spir) and schlank for b lobe width. manner6,9,13,14. Thus, it is possible that the candidate genes and transcription factors do not influence MB development per se, but rather adult plasticity. NATURE COMMUNICATIONS | DOI: 10.1038/ncomms10115 α lobe width (a.u.) 0.00 0.02 0.04 0.06 0.08 **** ** ** repo-Gal4; tubP-Gal80TS 29 °C repo-Gal4; tubP-Gal80TS 18 °C pum 18 °C pum 29 °C lov 29 °C lov 18 °C hh 29 °C hh 18 °C * repo-Gal4; tubP-Gal80TS 29 °C repo-Gal4; tubP-Gal80TS 18 °C sda 29 °C sda 18 °C pum 29 °C pum 18 °C hh 29 °C hh 18 °C dmrt99b 29 °C dmrt99b 18 °C 0.0 0.2 α lobe length (a.u.) 0.4 0.6 re re **** * ** * po-Gal4; tubP-Gal80TS 29 °C po-Gal4; tubP-Gal80TS 18 °C spir 29 °C spir 18 °C schlank 29 °C schlank 18 °C pum 29 °C pum 18 °C lov 29 °C lov 18 °C hh 18 °C hh 29 °C β lobe width (a.u.) 0.00 0.02 0.04 0.06 0.08 **** **** ** * * r r repo-Gal4; tubP-Gal80TS 29 °C repo-Gal4; tubP-Gal80TS 18 °C bgm 18 °C bgm 29 °C g ( ) β lobe length (a.u.) 0.0 0.1 0.2 0.3 0.4 0.5 * Figure 6 | Significant alterations in MB morphology traits on RNAi-mediated knockdown of the identified genes in the adult MBs. (a) a lobe length. (b) a lobe width. (c) b lobe length. (d) b lobe width. (Kruskall–Wallis tests followed by Mann–Whitney tests with a Bonferroni correction; *Po0.05; **Po0.01; ***Po0.001; ****Po0.0001, N ¼ 20, Mean±s.e.m.) Red bars represent flies switched to 29 C after eclosion and 4 days before dissection, blue bars represent control flies kept at 18 C. develop completely independently of each other. However, different variants or knockdown of different genes can have a or b lobe-specific effects, arguing for at least partially independent development within one neuropil. Branch-specific effects have been previously reported for RhoGAPp190 (ref. 56). This protein is important for dorsal branch stability both during development and in the adult brain. Interestingly, this protein and two of its interactors, Integrin and Src, have both been implicated in learning and memory56. Hence, it was hypothesized that RhoGap signalling could play a role in adult brain plasticity underlying behavioural changes56. Of note, two of the genes we identified, psGEF and CG30440, are involved in Rho signalling. fact that 19 of the identified genes and transcription factors are also candidate genes for aggressive behaviour18,26. MB size has also been shown to be correlated with aggressive behaviour in wasps, suggesting a conservation of the role of MB in aggression across species9. NATURE COMMUNICATIONS | DOI: 10.1038/ncomms10115 The MBs have previously been implicated in the regulation of sleep and many other behaviours important for survival, such as olfaction, interpretation of visual input and learning and memory23,58,59. We find correlations of MB structure with sleep and fitness. Interestingly, many of the variants that we identified have been reported to be associated with both sleep and fitness traits in the DGRP (22 with sleep, 12 with fitness traits)20,60. We propose that the changes in structure reflect changes in MB function affecting these traits. Interestingly, sleep and fitness traits have also been associated with alterations in brain size in humans61. p g g Increases in brain volumes, including cortex and hippocampus, have been associated with enriched environments and learning in many species6. MBs are known to play a prominent role in multiple behaviours. We show that morphometric variations in this neuropil correlate with changes in aggression, fitness and sleep, implicating natural variation in MB morphology in behavioural differences. It remains to be determined whether the morphological differences are causally linked to the variation in behaviour. Complex behaviours and MB morphology are known to be influenced by pleiotropic genes affecting distinct processes, and thus the two sets of observations could be independent consequences of the action of pleiotropic genes18,19,21. However, it is equally possible that the observed changes in MBs represent a direct physical correlate that forms the basis of behavioural alterations. Lobe-specific morphological differences have been shown to underlie different aspects of memory formation57. Our current work confirms a previously reported correlation between the length of the MB a lobe and aggressive behaviour18, thereby demonstrating that this relation is robust and independent of genetic background. The relationship between MB structure and aggression is further supported by the Changes in adult MBs have been observed in many insects. The mechanisms underlying these alterations are unknown. In certain insects, including crickets, neurogenesis of kenyon cells in the adult brain has been shown. However, in Drosophila and honeybees, this process is absent and can thus not explain the observed plasticity in MB morphometry6,62. Alterations in MB lobe morphometry are reminiscent of metamorphosis in both honeybees and Drosophila. During metamorphosis, MBs are remodelled through MB fibre outgrowth and regression independent of cell body proliferation or death13. We propose that a similar process of fibre shedding and regrowth could form the basis of MB volume changes during adulthood. NATURE COMMUNICATIONS | 6:10115 | DOI: 10.1038/ncomms10115 | www.nature.com/naturecommunications ARTICLE ARTICLE Discussion A l i f Analysis of the genomic architecture of the DGRP panel highlighted extensive natural variation in the genomes of these flies16. These natural variations have been associated with multiple behaviours20,49,50. Furthermore, natural variation in volumes of brain regions, as well as in neuron numbers has been observed in humans and mice51,52. However, this is the first (to our knowledge) systematic analysis of natural variation in brain structures. We show that the DGRP exhibits variation in MB morphology with broad sense heritabilities ranging from 12 to 38%, which correlates with behavioural variation. In many lines, this variation is characterized by profound morphological differences. In humans and primates, overall brain size has been reported to be highly heritable, however, the reported heritability of the size of different substructures ranges from o5% to 480% (refs 53,54). In addition to our analysis of the developmental roles of the candidate genes in the MBs, we performed the first systematic study of the genetic basis of variation in adult brain morpho- metry. We showed that our approach is valid to identify genes involved in structural plasticity in the MB. We investigated 22 genes, of which eight showed significant effects on adult MB morphology. Interestingly, pum, which is known for its role in behavioural and synaptic plasticity and is expressed in the MBs, had large effects37. We conclude that pum is also required for adult MB structural plasticity. In mice, different brain regions are not constrained by developmental programmes and can thus evolve independently of other regions or overall brain size55. We focus on branches within one neuropil that derive from one neuron. The different MB traits are correlated, suggesting that these branches do not Our GWA analyses identified many variants that are associated with variation in MB morphology, allowing us to identify genes and putative transcription factors involved in MB development. 7 NATURE COMMUNICATIONS | DOI: 10.1038/ncomms10115 NATURE COMMUNICATIONS | DOI: 10.1038/ncomms10115 repo-Gal4; tubP-Gal80TS 29 °C repo-Gal4; tubP-Gal80TS 18 °C sda 29 °C sda 18 °C pum 29 °C pum 18 °C hh 29 °C hh 18 °C dmrt99b 29 °C dmrt99b 18 °C repo-Gal4; tubP-Gal80TS 29 °C repo-Gal4; tubP-Gal80TS 18 °C spir 29 °C spir 18 °C schlank 29 °C schlank 18 °C pum 29 °C pum 18 °C lov 29 °C lov 18 °C hh 18 °C hh 29 °C repo-Gal4; tubP-Gal80TS 29 °C repo-Gal4; tubP-Gal80TS 18 °C bgm 18 °C bgm 29 °C 0.0 0.2 α lobe length (a.u.) β lobe length (a.u.) 0.0 0.1 0.2 0.3 0.4 0.5 α lobe width (a.u.) β lobe width (a.u.) 0.4 0.6 0.00 0.02 0.04 0.06 0.08 0.00 0.02 0.04 0.06 0.08 **** **** **** ** ** ** * * repo-Gal4; tubP-Gal80TS 29 °C repo-Gal4; tubP-Gal80TS 18 °C pum 18 °C pum 29 °C lov 29 °C lov 18 °C hh 29 °C hh 18 °C **** * * ** * Figure 6 | Significant alterations in MB morphology traits on RNAi-mediated knockdown of the identified genes in the adult MBs. (a) a lobe length. (b) a lobe width. (c) b lobe length. (d) b lobe width. (Kruskall–Wallis tests followed by Mann–Whitney tests with a Bonferroni correction; *Po0.05; **Po0.01; ***Po0.001; ****Po0.0001, N ¼ 20, Mean±s.e.m.) Red bars represent flies switched to 29 C after eclosion and 4 days before dissection, blue bars represent control flies kept at 18 C. ARTICLE We used a nominal P valueo10  5 as the reporting threshold for nominating candidate genes for functional validation. We annotated the site class of each significant variant as genic (variants in coding sequences, introns and UTR) or non-coding (variants outside the transcribed region of an annotated gene, UTR and introns)27. p We report the first systematic analysis of the genetic basis of natural variation in brain structures in Drosophila. Our approach offers an unbiased identification of candidate genes involved in both development and adult plasticity. We provide insights in the genetic mechanisms underlying these variations, as well as in the biological relevance of these morphological changes in the light of behavioural alterations. The overall genetic architecture of variation in brain structure and other complex traits in Drosophila is very similar to high resolution GWAS in humans and involves a large number of loci with relatively small effect size. Furthermore, epistasis and pleiotropy have also been demonstrated to be conserved features of the genes involved in complex traits67. However, our results are different from the situation in humans where ‘missing heritability’ is frequently seen in studies of complex phenotypic traits68. We suspect that the main differences between our study and GWAS in human populations are that (1) we have used full sequence data; (2) we have stringently controlled the environment; (3) we have measured multiple individuals per genotype, thus improving the accuracy in estimating the true genetic value of each line; and (4) under a strictly additive model, the genetic variance of a population of inbred lines is twice that of the outbred population from which they were derived. Identification of putative transcription factors. We inferred possible regulatory functions of variants associated with MB size located in non-coding regions. We analysed 40 basepairs up- and down-stream of each of these variants as this size is likely to span possible transcription factor-binding sites70. We entered these sequences in the Multiple EM for Motif Elicitation tool (version 4.9.0), separately for each MB trait, to identify shared motifs associated with each trait39. We selected the three most significant motifs (Po0.05) with an occurrence of zero or one per sequence. We then used the TOMTOM Motif Comparison Tool to compare the significant motifs with a database of known Drosophila motifs and to predict putative transcription factors (Po0.05) binding to these motifs40. ARTICLE We then classified the transcription factors based on their association with MB traits: all four traits, b and a lobe length, b and a lobe width, a lobe width and length, b lobe width and length. Finally, we selected the most significant predicted transcription factors from each group for further analysis. Expression and functional analyses. We used the FlyLight database69 to analyze the expression patterns of the candidate genes and transcription factors. We checked the availability of reporter lines in the FlyLight database. We included all transcription factors in this analysis. For genic variants we selected genes expressed in the MB for further analyses. We verified all FlyLight line inserts using PCR. The forward primer was vector specific (50-AAATAGGGGTTCCGCGCACAT-30) and reverse primers were made against the relevant fragments for each line (Supplementary Data 12). We verified MB expression of all FlyLight candidate genes described as showing MB expression, as well as for all available candidate transcription factor lines using immunohistochemistry (anti-GFP). We performed MB specific, RNAi-mediated knockdown of the selected genes and transcription factors using OK107-Gal4 (Supplementary Data 10). For experiments without tubP-Gal80TS,, dissected males were between 4 and 7 days old and kept at 25 C. OK107-Gal4 was crossed to the RNAi empty vector progenitor strain to obtain heterozygous control males. For experiments with tubP-Gal80TS, males were kept at 18 C during development and switched to 29 C after 1–3 days after eclosion and 4 days before dissection. Control males were kept at 18 C throughout. For each condition, we analysed 20 hemispheres. The effect of RNAi- mediated knockdown on MB parameters during development was statistically analysed using non-parametric Kruskall–Wallis tests followed by Dunn’s post hoc tests. All lines were compared with the heterozygous y1,v1;OK107-Gal4 line. The effects of RNAi-mediated knockdown on MB parameters in the adult brain were statistically analysed using non-parametric Kruskall–Wallis tests followed by Mann–Whitney tests with a Bonferroni correction. Each genotype at 29 C was compared with the same genotype at 18 C. To control for possible effects due to the temperature shift, we used heterozygous y1,v1;OK107-Gal4; tubP-Gal80TS flies at 18 C and shifted to 29 C as a control. Methods Fl t k Fly stocks and husbandry. Flies were reared on standard cornmeal-agar-molasses Drosophila medium with a 12:12 light-dark cycle. For each cross, we used four to five virgin females and two males to obtain comparable levels of offspring density. Flies without tubP-Gal80TS were maintained at 25 C. Flies with the tubP-Gal80TS allele were kept at 18 C during development and switched to 29 C 1–3 days after eclosion and 4 days before dissecting. All flies were between 3 and 7 days old at the time of dissection. We used the first 40 DGRP lines for which full sequencing data were available. Stocks from the Janelia Farm FlyLight Project, the TRIP collection, OK107-Gal4 and tubP-Gal80TS were obtained from the Bloomington stock center (Bloomington, IN, USA)69. KK and GD RNAi lines and their respective co-isogenic controls were ordered from the Vienna Drosophila Resource Center (Vienna, Austria). Immunohistochemistry. Adult brains from male flies were dissected and processed for immunohistochemistry. Mouse monoclonal anti-fasciclin 2 antibody (1:200; Developmental Studies Hybridoma Bank, University of Iowa, IO, USA) was used to visualize MB a and b lobes17–19,26. Anti-GFP (1:500) was obtained from Abcam, Cambridge, USA. Immunostainings were documented with an Olympus BX61 epifluorescence microscope equipped with a DP70 digital camera. Confocal imaging was performed using an Olympus FV1000 confocal microscope. Since the possibility existed that fasII expression levels themselves differ between DGRP lines (for example, due to effects of SNPs on fasII regulation) we adjusted fluorescence intensities whenever needed so that unambiguous measurements could be made. Overall, we never observed lobe-specific changes in FasII expression levels or any other difference that could impair accurately measuring mushroom body lobe parameters. NATURE COMMUNICATIONS | DOI: 10.1038/ncomms10115 Previously, it has been hypothesized that such processes form the mechanistic basis of plasticity in odour templates in the MB63,64. However, many other processes could be involved in morphometric or volumetric changes in adult MB. These include changes in the size and number of terminal branches, swelling of the involved axons or axonal branches, as well as spine formation and NATURE COMMUNICATIONS | 6:10115 | DOI: 10.1038/ncomms10115 | www.nature.com/naturecommunications 8 NATURE COMMUNICATIONS | DOI: 10.1038/ncomms10115 NATURE COMMUNICATIONS | 6:10115 | DOI: 10.1038/ncomms10115 | www.nature.com/naturecommunications ARTICLE retraction13,65. In addition, non-neuronal alterations, such as swelling of glia, could be contributing factors. Our data provide a first insight into the genetic mechanisms underlying structural plasticity in the adult MB. We identified genes with a variety of different functions, suggesting a complex interplay between different processes influencing MB morphology. Identification of spir, an actin nucleation protein involved in cytoskeleton organization, and hh, shown to modulate adult brain regeneration, can argue for remodelling due to fibre outgrowth66. On the other hand, identification of genes involved in synaptic plasticity, such as pum, can argue that volumetric change can be due to local remodelling of synapses on present axons37. Quantitative genetic analyses. We partitioned the variation in the length and width of the a and b MB lobes using random effects factorial analysis of variance models of form Y ¼ L þ H þ L  H þ e, where L denotes DGRP line, H is hemisphere and e the within line variance. We computed the variance components (s2) for each of these terms using restricted maximum likelihood and estimated broad sense heritabilities (H2) as H2 ¼ (sL2 þ sL  H 2 )/(sL2 þ sL  H 2 þ se2). GWA analyses of mushroom body size. We associated the line mean of each of the four MB traits with all segregating sites in the DGRP. We used the analysis of variance model Y ¼ m þ SNP þ e to evaluate each segregating site15, where Y is the phenotype, m is the overall mean, SNP is the genotype and e is the variance among line means within each genotype class. We used a nominal P valueo10  5 as the reporting threshold for nominating candidate genes for functional validation. We annotated the site class of each significant variant as genic (variants in coding sequences, introns and UTR) or non-coding (variants outside the transcribed region of an annotated gene, UTR and introns)27. GWA analyses of mushroom body size. We associated the line mean of each of the four MB traits with all segregating sites in the DGRP. We used the analysis of variance model Y ¼ m þ SNP þ e to evaluate each segregating site15, where Y is the phenotype, m is the overall mean, SNP is the genotype and e is the variance among line means within each genotype class. ARTICLE J., Crocker, A., White, B. H. & Sehgal, A. 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Neurol. 513, 265–291 (2009). 9 NATURE COMMUNICATIONS | 6:10115 | DOI: 10.1038/ncomms10115 | www.nature.com/naturecommunications NATURE COMMUNICATIONS | 6:10115 | DOI: 10.1038/ncomms10115 | www.nature.com/naturecommunications Acknowledgements Reprints and permission information is available online at http://npg.nature.com/ reprintsandpermissions/ We thank the TRiP at Harvard Medical School (NIH/NIGMS R01-GM084947) for providing transgenic RNAi fly stocks and/or plasmid vectors used in this study. This work was supported by VIB funding and FWO grants (G065408.N10 and G078914N) to PC and National Institute of Health grants R01 GM45146 and R01 GM076083 to TFCM. L.V.B. is the recipient of a postdoctoral fellowship of the FWO. How to cite this article: Zwarts, L. et al. The genetic basis of natural variation in mushroom body size in Drosophila melanogaster. Nat. Commun. 6:10115 doi: 10.1038/ncomms10115 (2015). 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Nature 461, 747–753 (2009). 10 NATURE COMMUNICATIONS | 6:10115 | DOI: 10.1038/ncomms10115 | www.nature.com/naturecommunications ARTICLE NATURE COMMUNICATIONS | DOI: 10.1038/ncomms10115 Additional information 69. Jenett, A. et al. A GAL4-driver line resource for Drosophila neurobiology. Cell Rep. 2, 991–1001 (2012). Supplementary Information accompanies this paper at http://www.nature.com/ naturecommunications Author contributions This work is licensed under a Creative Commons Attribution 4.0 International License. The images or other third party material in this article are included in the article’s Creative Commons license, unless indicated otherwise in the credit line; if the material is not included under the Creative Commons license, users will need to obtain permission from the license holder to reproduce the material. To view a copy of this license, visit http://creativecommons.org/licenses/by/4.0/ L.Z., L.V.B. designed the experiments, measured the data, analysed the results and wrote the manuscript. J.F.A., M.M.M. performed the GWAS. E.C., V.V. and J.C. assisted in performing the experiments. T.F.C.M. assisted in designing the project, interpreting the GWAS data and writing the manuscript. P.C. designed the project, assisted in data interpretation and writing the manuscript. 11 NATURE COMMUNICATIONS | 6:10115 | DOI: 10.1038/ncomms10115 | www.nature.com/naturecommunications