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https://openalex.org/W2152143769
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https://pp.bme.hu/ar/article/download/27/27
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English
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The orthogonal grid as the planned urban fabric
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Periodica polytechnica. Architecture
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cc-by
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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?”
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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
| 2,014
|
cc-by
| 3,893
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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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English
| null |
Bioorthogonally Cross‐Linked Hyaluronan–Laminin Hydrogels for 3D Neuronal Cell Culture and Biofabrication
|
Advanced healthcare materials/Advanced Healthcare Materials
| 2,022
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cc-by
| 12,970
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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
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Acta Biomater. 2019, 95, 269. 2102097 (15 of 16) © 2022 The Authors. Advanced Healthcare Materials published by Wiley-VCH GmbH Adv. Healthcare Mater. 2022, 2102097 www.advhealthmat.de www.advhealthmat.de 2102097 (16 of 16) Adv. Healthcare Mater. 2022, 2102097 © 2022 The Authors. Advanced Healthcare Materials published by Wiley-VCH GmbH
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Raw Materials/Excipients/Intermediates/Reagents Specification
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Definitions
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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
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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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Frontiers in cellular and infection microbiology
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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.,
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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,
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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
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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. Nucleic Acids Res. 32, 11–16. doi: 10.1093/nar/gkh152 August 2017 | Volume 7 | Article 385 Frontiers in Cellular and Infection Microbiology | www.frontiersin.org 7
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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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Chem. 2014, 86, 1030–1037. [CrossRef]\n49. Maugi, R.; Salkenova, Z.; Platt, M. Incorporating Peptide Aptamers into Resistive Pulse Sensing. Med. Devices 9. Maugi, R.; Salkenova, Z.; Platt, M. Incorporating Peptide Aptamers into Resistive Pulse Sensing. Med. De\nSens. 2020, 3, 1–7. [CrossRef] 50. Zhu, L.; Xu, Y.; Ali, I.; Liu, L.; Wu, H.; Lu, Z.; Liu, Q. Solid-State Nanopore Single-Molecule Sensing of\nDNAzyme Cleavage Reaction Assisted with Nucleic Acid Nanostructure. ACS Appl. Mater. Interfaces 2018,\n10, 26555–26565. [CrossRef] [PubMed] 51. Liu, G.; Zhang, L.; Dong, D.; Liu, Y.; Li, J. A label-free DNAzyme-based nanopore biosensor for highly\nsensitive and selective lead ion detection. Anal. Methods 2016, 8, 7040–7046. [CrossRef] 52. Liu, N.; Hou, R.; Gao, P.; Lou, X.; Xia, F. Sensitive Zn2+ sensor based on biofunctionalized nanopores:\nVia combination of DNAzyme and DNA supersandwich structures. Analyst 2016, 141, 3626–3629. [CrossRef]\n[PubMed] 53. 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Mfold web server for nucleic acid folding and hybridisation prediction. Nucleic Acids Res. 2003, 31,\n3406–3415. [CrossRef] Publisher’s Note: MDPI stays neutral with regard to jurisdictional claims in published maps and institutional\naffiliations. © 2020 by the authors. Licensee MDPI, Basel, Switzerland. This article is an open access\narticle distributed under the terms and conditions of the Creative Commons Attribution\n(CC BY) license (http://creativecommons.org/licenses/by/4.0/). © 2020 by the authors. Licensee MDPI, Basel, Switzerland. References This article is an open access\narticle distributed under the terms and conditions of the Creative Commons Attribution\n(CC BY) license (http://creativecommons.org/licenses/by/4.0/)."
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Long Time Behavior and Global Dynamics of Simplified Von Karman Plate Without Rotational Inertia Driven by White Noise
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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
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S symmetry
S
S symmetry
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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.) ,
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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∥
õ
s, E
eϵs+R 0
s 2
√¯k|σz(θkω)|∥q∥dk
≤e
ϵs−2
√¯k|σ|∥q∥
õ
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∥
õ
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∥
õ
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∥
õ
sK0ds + eϵ0T1K0
ϵ0
,
M1
=
K1
Γ( 3
2)
µ2√π
! 1
2 Z 0
T1
e
ϵs−2
√
k∥σ|∥q∥
õ
sds + eϵ0T1K2
ϵ0√πµ,
M2
=
K2
Γ( 5
2)
µ2√π
! 1
2 Z 0
T1
e
ϵs−2
√
k∥σ|∥q∥
õ
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
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Multiphysics Ltd: Stohkholm, Sweden, 2008. 1. Kloeden, P.; Eckhard, P. Numerical Solution of Stochastic Differential Equations; Springer: Berlin, Germany, 199 62. Schmalfuss, B. Measure attractors and random attractors for stochastic partial differential equations. Stochastic Anal. Appl. 1999, 17, 1075–1101. [CrossRef] 63. Crauel, H. Random point attractors versus random set attractors. J. Lond. Math. Soc. 2001, 63, 413–427. [CrossRef] 64. Birnir, B. Basic Attractors and Control; Springer: New York, NY, USA, 2015. 65. Adams, R.A.; Fournier, J.J. Sobolev Spaces; Academic Press: Cambridge, MA, USA , 2003. 66. Zheng, S. Nonlinear Evolution Equations; CRC Press: Boca Raton , FL, USA, 2004. 67. Chepyzhov, V.; Vishik, M. A Hausdorff dimension estimate for kernel sections of non-autonomous evolution
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article distributed under the terms and conditions of the Creative Commons Attribution
(CC BY) license (http://creativecommons.org/licenses/by/4.0/).
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https://openalex.org/W2015514484
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https://hess.copernicus.org/articles/14/1021/2010/hess-14-1021-2010.pdf
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English
| null |
Landuse effects on runoff generating processes in tussock grassland indicated by mean transit time estimation using tritium
| null | 2,010
|
cc-by
| 10,606
|
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.:
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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
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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
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by: Cook, P. and Herczeg, A. L., Kluwer Academic Publishers,
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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. American Association of Petroleum Geologist Bulletin,62, 295–300 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. 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. American Association of Petroleum Geologist Bulletin,62, 295–300 2. Avbovbo, A. A (1978). Tertiary lithostrtigraphy of Niger Delta. American Association of Petroleum Geologist Bulletin,62, 295–300 2. Avbovbo, A. A (1978). Tertiary lithostrtigraphy of Niger Delta. American Association of Petroleum Geologist Bulletin,62, 295–300 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. 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. Journal of African Earth Sciences. 35, 433–443 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. Journal of African Earth Sciences. 35, 433–443 8. Edet, A; Ukpong, A. J; Nganje, T (2013). References Hydrochemical studies of Cross River Basin (Southeastern Nigeria) river systems using
cross plots, statistics and water quality index. Eviron. Earth Sci., 70, 3043–3056. 8. Edet, A; Ukpong, A. J; Nganje, T (2013). Hydrochemical studies of Cross River Basin (Southeastern Nigeria) river systems using
cross plots, statistics and water quality index. Eviron. Earth Sci., 70, 3043–3056. 9. Ekwere, A. S., Edet, A., Ukpong, A. J., (2011). Hydrochemistry of the near shore marine bay, Calabar River (South-eastern, Nigeria). RMZ- Materials and Geoenvironment. Volume 58, No.4 pp 421–436. 9. Ekwere, A. S., Edet, A., Ukpong, A. J., (2011). 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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https://openalex.org/W4307836437
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https://arthritis-research.biomedcentral.com/counter/pdf/10.1186/s13075-022-02932-5
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English
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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”
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Arthritis research & therapy
| 2,022
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cc-by
| 762
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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://creativecommons.org/licenses/by/4.0/. The Creative Commons Public Domain Dedication waiver (http://creativeco
mmons.org/publicdomain/zero/1.0/) applies to the data made available in this article, unless otherwise stated in a credit line to the data. 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://creativecommons.org/licenses/by/4.0/. The Creative Commons Public Domain Dedication waiver (http://creativeco
mmons.org/publicdomain/zero/1.0/) applies to the data made available in this article, unless otherwise stated in a credit line to the data.
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W4391047459.txt
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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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en
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Preoperative Ultrasound Guided Botulinum Toxin A Injection for Complex Ventral Wall Hernia Repair: One Tertiary Care Center's Approach
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Deep Blue (University of Michigan)
| 2,024
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cc-by
| 2,755
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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.
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English
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The effect of chronic soluble keratin supplementation in physically active individuals on body composition, blood parameters and cycling performance
|
Journal of the International Society of Sports Nutrition
| 2,018
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cc-by
| 8,801
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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
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acetylcysteine on cycling performance after intensified training. Med Sci
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dietary keratin is metabolized to glutathione and liver taurine in a rat model
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modulates body temperature regulation during exercise in uncompensable
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Hematol. 2003;10:76–87. 16. Zwart A, Van Assendelft O, Bull B, England J, Lewis S, Zijlstra W. Recommendations for reference method for haemoglobinometry in huma
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blood (ICSH standard 1995) and specifications for international
haemiglobinocyanide standard. J Clin Pathol. 1996;49:271. 17. Cohen J: Statistical power analysis for the behavioral sciences. 2 edn. Hillsdale, NJ: Lawrence Erlbaum; 1988. 17. Cohen J: Statistical power analysis for the behavioral sciences. 2 edn. Hillsdale, NJ: Lawrence Erlbaum; 1988. 18. Cermak NM, de Groot LC, Saris WH, van Loon LJ. Protein supplementation
augments the adaptive response of skeletal muscle to resistance-type
exercise training: a meta-analysis. Am J Clin Nutr. 2012;96:1454–64. 18. Cermak NM, de Groot LC, Saris WH, van Loon LJ. Protein supplementation
augments the adaptive response of skeletal muscle to resistance-type
exercise training: a meta-analysis. Am J Clin Nutr. 2012;96:1454–64. 19. 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.
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.
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.
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. References Harber MP, Konopka AR, Undem MK, Hinkley JM, Minchev K, Kaminsky LA,
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and older men. J Appl Physiol. 2012;113:1495–504. 19. Harber MP, Konopka AR, Undem MK, Hinkley JM, Minchev K, Kaminsky LA,
Trappe TA, Trappe S. Aerobic exercise training induces skeletal muscle
hypertrophy and age-dependent adaptations in myofiber function in young
and older men. J Appl Physiol. 2012;113:1495–504. 20. Verdijk LB, Jonkers RA, Gleeson BG, Beelen M, Meijer K, Savelberg HH,
Wodzig WK, Dendale P, van Loon LJ. Protein supplementation before and
after exercise does not further augment skeletal muscle hypertrophy after
resistance training in elderly men. Am J Clin Nutr. 2009;89:608–16. 21. Bagley PJ, Stipanuk MH. 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
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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
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https://openalex.org/W2774383662
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https://www.zora.uzh.ch/id/eprint/160194/1/Sirunyan2018_Article_SearchForTheFlavor-changingNeu.pdf
|
English
| null |
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 Journal of high energy physics/The journal of high energy physics
| 2,018
|
cc-by
| 18,708
|
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
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+lf
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c
+c
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b
+b
tt
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κ
ST(
=1)x20
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ST(
=1)x2.3
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=1)x1.7
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+lf
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c
+c
tt
b
+b
tt
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=1)x3.9
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κ
ST(
=1)x20
Hct
κ
ST(
=1)x2.3
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κ
TT(
=1)x1.7
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κ
TT(
Events / 8.33 GeV
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1500
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2500
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[GeV]
b
b
m
0
50
100
150
200
250
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0.5
1
1.5
Data
+lf
tt
c
+c
tt
b
+b
tt
other
=1)x3.9
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κ
ST(
=1)x20
Hct
κ
ST(
=1)x2.3
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κ
TT(
=1)x1.7
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κ
TT(
Events / 0.07
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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
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Lepton charge
-1
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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
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κ
TT( Events / 0.01
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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
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[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
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κ
TT(
=1)x1.7
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κ
TT( Events / 0.07
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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)
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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)
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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)
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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)
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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)
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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)
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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)
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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)
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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.). JHEP06(2018)102 Open Access. This article is distributed under the terms of the Creative Commons
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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
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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
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, E. Kuznetsova
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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 "Kurchatov Institute", 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
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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. Dobson, T. du Pree, M. D¨unser, N. Dupont, A. Elliott-Peisert,
P. Everaerts, F. Fallavollita, G. Franzoni, J. Fulcher, W. Funk, D. Gigi, A. Gilbert, K. Gill,
F. Glege, D. Gulhan, J. Hegeman, V. Innocente, A. Jafari, P. Janot, O. Karacheban20,
J. Kieseler, V. Kn¨unz, A. Kornmayer, M.J. Kortelainen, M. Krammer1, C. Lange, P. Lecoq,
C. Louren¸co, M.T. Lucchini, L. Malgeri, M. Mannelli, A. Martelli, F. Meijers, J.A. Merlin,
S. Mersi, E. Meschi, P. Milenovic46, F. Moortgat, M. Mulders, H. Neugebauer, J. Ngadiuba,
S. Orfanelli, L. Orsini, L. Pape, E. Perez, M. Peruzzi, A. Petrilli, G. Petrucciani, A. Pfeiffer,
M. Pierini, F.M. Pitters, D. Rabady, A. Racz, T. Reis, G. Rolandi47, M. Rovere, H. Sakulin,
C. Sch¨afer, C. Schwick, M. Seidel, M. Selvaggi, A. Sharma, P. Silva, P. Sphicas48, A. Stakia,
J. Steggemann, M. Stoye, M. Tosi, D. Treille, A. Tsirou, V. Veckalns49, M. Verweij,
W.D. Zeuner J. Kieseler, V. Kn¨unz, A. Kornmayer, M.J. Kortelainen, M. S. Mersi, E. Meschi, P. Milenovic46, F. 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,
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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
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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. Williams, W.J. Womersley Imperial College, London, United Kingdom Imperial College, London, United Kingdom G. Auzinger, R. Bainbridge, P. Bloch, J. Borg, S. Breeze, O. Buchmuller, A. Bundock,
S. Casasso, M. Citron, D. Colling, L. Corpe, P. Dauncey, G. Davies, M. Della Negra,
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A. Shtipliyski, S. Summers, A. Tapper, K. Uchida, M. Vazquez Acosta64, T. Virdee17,
N. Wardle, D. Winterbottom, J. Wright, S.C. Zenz G. Auzinger, R. Bainbridge, P. Bloch, J. Borg, S. Breeze, O. Buchmuller, A. Bundoc S. Casasso, M. Citron, D. Colling, L. Corpe, P. Dauncey, G. Davies, M. Della Negr JHEP06(2018)102 V. Palladino, M. Pesaresi, D.M. Raymond, A. Richards, A. Rose, E. Scott, C. Seez,
A. Shtipliyski, S. Summers, A. Tapper, K. Uchida, M. Vazquez Acosta64, T. Virdee17,
N. Wardle, D. Winterbottom, J. Wright, S.C. Zenz Brunel University, Uxbridge, United Kingdom
J.E. Cole, P.R. Hobson, A. Khan, P. Kyberd, A. Morton, I.D. Reid, L. Teodorescu, S. Zahid Baylor University, Waco, U.S.A. Baylor University, Waco, U.S.A. A. Borzou, K. Call, J. Dittmann, K. Hatakeyama, H. Liu, N. Pastika, C. Smith A. Borzou, K. Call, J. Dittmann, K. Hatakeyama, H. Liu, N. Pastika, C. Smith Catholic University of America, Washington DC, U.S.A. R. Bartek, A. Dominguez The University of Alabama, Tuscaloosa, U.S.A. A. Buccilli, S.I. Cooper, C. Henderson, P. Rumerio, C. West The University of Alabama, Tuscaloosa, U.S.A. A. Buccilli, S.I. Cooper, C. Henderson, P. Rumerio, C. West Boston University, Boston, U.S.A. D. Arcaro, A. Avetisyan, T. Bose, D. Gastler, D. Rankin, C. Richardson, J. Rohlf, L. Sulak,
D. Zou Boston University, Boston, U.S.A. D. Arcaro, A. Avetisyan, T. Bose, D. Gastler, D. Rankin, C. Richardson, J. Rohlf, L. Sulak,
D. Zou Brown University, Providence, U.S.A. Brown University, Providence, U.S.A. Brown University, Providence, U.S.A. G. Benelli, D. Cutts, M. Hadley, J. Hakala, U. Heintz, J.M. Hogan, K.H.M. Kwok, E. Lair G. Benelli, D. Cutts, M. Hadley, J. Hakala, U. Heintz, J.M. Hogan, K.H.M. Kwok, E. Laird,
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G. Landsberg, J. Lee, Z. Mao, M. Narain, J. Pazzini, S. Piperov, S. Sagir, R. Syarif, D. Yu University of California, Davis, Davis, U.S.A. R. Band, C. Brainerd, R. Breedon, D. Burns, M. Calderon De La Barca Sanchez,
M. Chertok, J. Conway, R. Conway, P.T. Cox, R. Erbacher, C. Flores, G. Funk, W. Ko,
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Mccoll, S. Regnard, D. Saltzberg, C. Schnaible, V. Valuev University of California, Riverside, Riverside, U.S.A. E. Bouvier, K. Burt, R. Clare, J. Ellison, J.W. Gary, S.M.A. Ghiasi Shirazi, G. Hanson,
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J.P. Cumalat, W.T. Ford, F. Jensen, A. Johnson, M. Krohn, S. Leontsinis, E. Macdonald,
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R Y h A. Ackert, T. Adams, A. Askew, S. Hagopian, V. Hagopian, K.F. Johnson, T. Kolber G. Martinez, T. Perry, H. Prosper, A. Saha, A. Santra, V. Sharma, R. Yohay Massachusetts Institute of Technology, Cambridge, U.S.A. Loukas, N. Marinelli, F. Meng, C. Mueller, Y. Musienko38, M. Planer, K. Lannon, W. Li, N. Loukas, N. Marinelli, F. Meng, C. Mueller, Y. Musienko38, M. Plane A. Reinsvold, R. Ruchti, P. Siddireddy, G. Smith, S. Taroni, M. Wayne, A. Wightman,
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A. Kalogeropoulos, D. Lange, J. Luo, D. Marlow, K. Mei, I. Ojalvo, J. Olsen, C. Palmer,
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A. Kalogeropoulos, D. Lange, J. Luo, D. Marlow, K. Mei, I. Ojalvo, J. Olsen, C. Palmer,
P. Pirou´e, D. Stickland, C. Tully Massachusetts Institute of Technology, Cambridge, U.S.A. D. Abercrombie, B. Allen, V. Azzolini, R. Barbieri, A. Baty, G. Bauer, R. Bi, S. Brandt,
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A. Levin, P.D. Luckey, B. Maier, A.C. Marini, C. Mcginn, C. Mironov, S. Narayanan, P. Harris, D. Hsu, M. Hu, Y. Iiyama, G.M. Innocenti, M. Klute, D. Kovalskyi, Y.-J. Lee,
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Y. Kubota, Z. Lesko, J. Mans, S. Nourbakhsh, N. Ruckstuhl, R. Rusack, J. Turkewitz,
M.A. Wadud University of Mississippi, Oxford, U.S.A. J.G. Acosta, S. Oliveros JHEP06(2018)102 University of Nebraska-Lincoln, Lincoln, U.S.A. E. Avdeeva, K. Bloom, D.R. Claes, C. Fangmeier, F. Golf, R. Gonzalez Suarez, R. Ka-
malieddin, I. Kravchenko, J. Monroy, J.E. Siado, G.R. Snow, B. Stieger State University of New York at Buffalo, Buffalo, U.S.A. J. Dolen, A. Godshalk, C. Harrington, I. Iashvili, D. Nguyen, A. Parker, S. Rappoccio,
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moto, R. Teixeira De Lima, T. Wamorkar, B. Wang, A. Wisecarver, D. Wood G. Alverson, E. Barberis, C. Freer, A. Hortiangtham, A. Massironi, D.M. Morse, T. Ori-
moto, R. Teixeira De Lima, T. Wamorkar, B. Wang, A. Wisecarver, D. Wood Northwestern University, Evanston, U.S.A. S. Bhattacharya, O. Charaf, K.A. Hahn, N. Mucia, N. Odell, M.H. Schmitt, K. Sung,
M. Trovato, M. Velasco University of Notre Dame, Notre Dame, U.S.A. R. Bucci, N. Dev, M. Hildreth, K. Hurtado Anampa, C. Jessop, D.J. Karmgard, N. Kellams,
K. Lannon, W. Li, N. Loukas, N. Marinelli, F. Meng, C. Mueller, Y. Musienko38, M. Planer, R. Bucci, N. Dev, M. Hildreth, K. Hurtado Anampa, C. Jessop, D.J. Karmgard, N. Kellam R. Bucci, N. Dev, M. Hildreth, K. Hurtado Anampa, C. Jessop, D.J. Karmgard, N. Kellams,
K. Lannon, W. Li, N. University of Puerto Rico, Mayaguez, U.S.A.
S. Malik, S. Norberg University of Puerto Rico, Mayaguez, U.S.A. S. Malik, S. Norberg University of Puerto Rico, Mayaguez, U.S.A. S. Malik, S. Norberg Purdue University, West Lafayette, U.S.A. A. Barker, V.E. Barnes, S. Das, S. Folgueras, L. Gutay, M. Jones, A.W. Jung, A. Khati-
wada, D.H. Miller, N. Neumeister, C.C. Peng, H. Qiu, J.F. Schulte, J. Sun, F. Wang,
R. Xiao, W. Xie – 33 – Purdue University Northwest, Hammond, U.S.A. T. Cheng, N. Parashar, J. Stupak Rice University, Houston, U.S.A. Z. Chen, K.M. Ecklund, S. Freed, F.J.M. Geurts, M. Guilbaud, M. Kilpatrick, W. Li,
B. Michlin, B.P. Padley, J. Roberts, J. Rorie, W. Shi, Z. Tu, J. Zabel, A. Zhang University of Rochester, Rochester, U.S.A. A. Bodek, P. de Barbaro, R. Demina, Y.t. Duh, T. Ferbel, M. Galanti, A. Garcia-Bellido,
J. Han, O. Hindrichs, A. Khukhunaishvili, K.H. Lo, P. Tan, M. Verzetti JHEP06(2018)102 The Rockefeller University, New York, U.S.A. R. Ciesielski, K. Goulianos, C. Mesropian Rutgers, The State University of New Jersey, Piscataway, U.S.A. Rutgers, The State University of New Jersey, Piscataway, U.S.A. A. Agapitos, J.P. Chou, Y. Gershtein, T.A. G´omez Espinosa, E. Halkiadakis, M. Heindl,
E. Hughes, S. Kaplan, R. Kunnawalkam Elayavalli, S. Kyriacou, A. Lath, R. Montalvo,
K. Nash, M. Osherson, H. Saka, S. Salur, S. Schnetzer, D. Sheffield, S. Somalwar, R. Stone,
S. Thomas, P. Thomassen, M. Walker University of Tennessee, Knoxville, U.S.A. University of Tennessee, Knoxville, U.S.A. A.G. Delannoy, J. Heideman, G. Riley, K. Rose, S. Spanier, K. Thapa A.G. Delannoy, J. Heideman, G. Riley, K. Rose, S. Spanier, K. Thapa Texas A&M University, College Station, U.S.A. O. Bouhali72, A. Castaneda Hernandez72, A. Celik, M. Dalchenko, M. De Mattia, A. Del-
gado, S. Dildick, R. Eusebi, J. Gilmore, T. Huang, T. Kamon73, R. Mueller, Y. Pakhotin,
R. Patel, A. Perloff, L. Perni`e, D. Rathjens, A. Safonov, A. Tatarinov, K.A. Ulmer Texas Tech University, Lubbock, U.S.A. Texas Tech University, Lubbock, U.S.A. N. Akchurin, J. Damgov, F. De Guio, P.R. Dudero, J. Faulkner, E. Gurpinar, S. Kunori, N. Akchurin, J. Damgov, F. De Guio, P.R. Dudero, J. Faulkner, E. Gurpinar, S. Kunori,
K. Lamichhane, S.W. Lee, T. Mengke, S. Muthumuni, T. Peltola, S. Undleeb, I. Volobouev,
Z. Wang K. Lamichhane, S.W. Lee, T. Mengke, S. Muthumuni, T. Peltola, S. Undleeb, I. Volobouev,
Z. Wang Z. Wang Vanderbilt University, Nashville, U.S.A. Vanderbilt University, Nashville, U.S.A. S. Greene, A. Gurrola, R. Janjam, W. Johns, C. Maguire, A. Melo, H. Ni, K. University of Puerto Rico, Mayaguez, U.S.A.
S. Malik, S. Norberg Padeken, Vanderbilt University, Nashville, U.S.A. S. Greene, A. Gurrola, R. Janjam, W. Johns, C. Maguire, A. Melo, H. Ni, K. Padeken,
P. Sheldon, S. Tuo, J. Velkovska, Q. Xu S. Greene, A. Gurrola, R. Janjam, W. Johns, C. Maguire, A. Melo, H. Ni, K. Padeke
P. Sheldon, S. Tuo, J. Velkovska, Q. Xu University of Virginia, Charlottesville, U.S.A. M.W. Arenton, P. Barria, B. Cox, R. Hirosky, M. Joyce, A. Ledovskoy, H. Li, C. Neu,
T. Sinthuprasith, Y. Wang, E. Wolfe, F. Xia Wayne State University, Detroit, U.S.A. R. Harr, P.E. Karchin, N. Poudyal, J. Sturdy, P. Thapa, S. Zaleski University of Wisconsin - Madison, Madison, WI, U.S.A. University of Wisconsin - Madison, Madison, WI, U.S.A. University of Wisconsin - Madison, Madison, WI, U.S.A. M. Brodski, J. Buchanan, C. Caillol, D. Carlsmith, S. Dasu, L. Dodd, S. Duric, B. Gomber,
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R. Loveless, V. Rekovic, T. Ruggles, A. Savin, N. Smith, W.H. Smith, N. Woods M. Brodski, J. Buchanan, C. Caillol, D. Carlsmith, S. Dasu, L. Dodd, S. Duric, B. Gomb M. Brodski, J. Buchanan, C. Caillol, D. Carlsmith, S. Dasu, L. Dodd, S. Duric, B. Gomber,
M. Grothe, M. Herndon, A. Herv´e, U. Hussain, P. Klabbers, A. Lanaro, A. Levine, K. Long,
R. Loveless, V. Rekovic, T. Ruggles, A. Savin, N. Smith, W.H. Smith, N. Woods M. Grothe, M. Herndon, A. Herv´e, U. Hussain, P. Klabbers, A. Lanaro, A. Levine, K. Long, R. Loveless, V. Rekovic, T. Ruggles, A. Savin, N. Smith, W.H. Smith, N. Woods R. Loveless, V. Rekovic, T. Ruggles, A. Savin, N. Smith, W.H. Smith, N. University of Puerto Rico, Mayaguez, U.S.A.
S. Malik, S. 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
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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). 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,
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pharmacotherapy. Respirology. 2017;22(5):861-873. https://doi. org/10.1111/resp.13079 18
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Fatores de risco para lesão renal aguda em pacientes hospitalizados com COVID-19
|
Brazilian Journal of Nephrology
| 2,023
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cc-by
| 7,776
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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
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fisiopatológicos que explicam a interação pulmão-
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M, et al. Incidence, risk factors and outcome of acute kidney
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English
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CXCI.—The action of cold concentrated hydrochloric acid on starch and maltose
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Journal of the Chemical Society. Transactions
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public-domain
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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.
|
https://openalex.org/W3033618516
|
https://europepmc.org/articles/pmc7348165?pdf=render
|
English
| null |
Thermosensitive heparin‐poloxamer hydrogel encapsulated bFGF and NGF to treat spinal cord injury
|
Journal of Cellular and Molecular Medicine
| 2,020
|
cc-by
| 9,529
|
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,
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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/s41401-019-0338-1 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
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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
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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-
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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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Stress-Response Protein RBM3 Attenuates the Stem-like Properties of Prostate Cancer Cells by Interfering with CD44 Variant Splicing
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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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Estimating the number of genetic mutations (hits) required for carcinogenesis based on the distribution of somatic mutations
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PLOS computational biology/PLoS computational biology
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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
ð 1Þ
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 PhðmÞ
k
ð2Þ PðmÞ PkðmÞ Pkðm 1Þ
ð1Þ ð1Þ PkðmÞ 1 ½1 PhðmÞ
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 ð 1Þ
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 ð 1Þ
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 ð 1Þ
iþ1
h
i
! G i
G
m ðm hÞ, representing 4. Probability of h hits: Ph m
ð Þ ¼ phðmÞ
pðmÞ ¼ 1 Ph
i¼1 ð 1Þ
iþ1
h
i
! G i
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. 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) 15 / 19 PLOS Computational Biology | https://doi.org/10.1371/journal.pcbi.1006881
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English
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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
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pp. 577–581, May 2017. 102123 VOLUME 9, 2021 VOLUME 9, 2021 Z. Huang et al.: Hyperspectral Anomaly Detection With MRW JIAN XIAO received the Ph.D. degree from the
Huazhong University of Science and Technology,
China, in 2015. He is currently a Senior Engineer
with the State Grid Hunan Electric Power Corpora-
tion Ltd., Research Institute, Changsha, China. His
research interests include 3D visual reconstruction
and image classification. [62] Y. Yuan, C. Li, J. Kim, W. Cai, and D. D. Feng, ‘‘Reversion correction
and regularized random walk ranking for saliency detection,’’ IEEE Trans. Image Process., vol. 27, no. 3, pp. 1311–1322, Mar. 2018. [63] X. Zhang, G. Wen, and W. 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
=
Ã
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 =
Ã
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 =
Ã
1 −N2
α
µ
1 −2π N
N2
¶+!+
. We then obtain: pSD
N2 =
Ã
1 −N2
α
µ
1 −2π N
N2
¶+!+
. We then obtain:
pSD
N2 =
Ã
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. This evidence suggests how institutions (in this case electoral rules) evolve even rather quickly
in response to changes in the environment and raises questions about empirical evidence that holds
electoral institutions as exogenous. 41The lack of pre-1980 observations for most components of SIND limit our analysis to the simple static model. 31 References [1] Aghion, Philippe, Alberto Alesina, and Francesco Trebbi (2004) “Endogenous Political Insti-
tutions” Quarterly Journal of Economics, 119, May, 565- 612. [2] Aghion, Philippe and Patrick Bolton (2003) “Incomplete Social Contracts” Journal of the
European Economic Association,1, 38-67. [3] Alesina, Alberto, Reza Baqir, and Caroline Hoxby (2004) “Political Jurisdictions in Heteroge-
neous Communities” Journal of Political Economy, 112, April, 348-396. [4] Alesina, Alberto and Howard Rosenthal (1995) Partisan Politics, Divided Government, and
the Economy (Cambridge University press, Cambridge, UK). [5] Alexander, Gerard (2005) “France: Reform-mongering between Majority Runoffand Pro-
portionality”, in Handbook of Electoral System Choice, by Josep M. Colomer (ed.) (Palgrave
MacMillan, New York, N.Y.) [6] Alt, James E. and Robert C. Lowry (1994) “Divided Government, Fiscal Institutions and
Budget Deficits: Evidence from the States” American Political Science Review, 89, December,
811-828. [7] Amy, Douglas J. (1993) Real Choices / New Voices: The Case for Proportional Representation
Elections in the United States (Columbia University Press, New York, NY). [8] Amy, Douglas J. (2002, second edition) Real Choices / New Voices: The Case for Proportional
Representation Elections in the United States ( Columbia University Press, New York, NY). [9] Arellano, Manuel and Stephen Bond (1991) “Some Tests of Specification for Panel Data: Monte
Carlo Evidence and an Application to Employment Equations” Review of Economics Studies,
58, January, 277-297. [10] Baqir, Reza (2002) “Districting and Government Overspending” Journal of Political Economy,
110, December, 1318-1354. [11] Berry, Barbara L., and Thomas R. Dye (1979) “The Discriminatory Effects of At-Large Elec-
tions”. Florida State University Law Review 7, 85-122. [12] Bohn, Henning and Robert P. Inman (1996) “Balanced Budget Rules and Public Deficits:
Evidence from US States” Carnegie Rochester Conference on Public Policies, 13-76. 32 [13] Buchanan, James M. and Gordon Tullock (1962) The Calculus of Consent: Logical Foundations
of Constitutional Democracy (University of Michigan Press, Ann Arbor, MI). [14] Cole, Leonard A. (1976) Blacks in Power: A Comparative Study of Black and White Elected
Officials (Princeton University Press, Princeton, NJ). [15] Colomer, Josep M. (2005) Handbook of Electoral System Choice, (Palgrave MacMillan, New
York, N.Y.) [16] Cox, Gary W. and Johnatan N. Katz (2002) Elbridge Gerry’s Salamander (Cambridge Uni-
versity press, Cambridge, UK). [17] Cutler, David, Edward Glaeser, and Jacob Vigdor (1999) “The Rise and Decline of the Amer-
ican Ghetto”, Journal of Political Economy, 107, June, 455-506. References [18] DeSantis, Victor and Tari Renner “Minority and Gender Representation In American County
Legislatures: The Effect of Election Systems” in Rule, Wilma and Joseph F. Zimmerman (eds.)
(1992) United States Electoral Systems (Greenwood Press, New York, US). [19] Eple, Dennis and Thomas Romer (1991) “Mobility and Redistribution” Journal of Political
Economy, 99, August, 828-858. [20] Friedman, John N. and Richard Holden (2005) “Towards a Theory of Optimal Partisan Ger-
rymandering” Mimeograph, Harvard University. [21] Grofman, Bernard, Lisa Handley, and Richard Niemi (1992) Minority Representation and the
Quest for Voting Equality (Cambridge University Press, New York, NY). [22] Hacker, Andrew (1992) Two nations: Black and White, Separate, Hostile, Unequal (Scribner’s,
New York, US). [23] Hayek, Friedrich A. (1960) The Constitution of Liberty (University of Chicago Press, Chicago,
Ill). [24] Huckfeld, Robert, and Carol Weitzel Kohfeld (1989) Race and the Decline of Class in American
Politics (University of Illinois Press, Urbana, Ill). [25] Imbs, Jean and Romain Wacziarg (2003) “Stages of Diversification” American Economic Re-
view, 93, March, 63-86. 33 33 [26] Karning, Albert K. and Susan Welch (1982) “Electoral Structure and Black Representation
on City Councils” Social Science Quarterly, 63, March, 99-114. [27] Kousser, Morgan J. (1999) Color-blind Injustice: Minority Voting Rights and the Undoing of
the Second Reconstruction (University of North Carolina Press, Chapel Hill, NC). [28] Kreuzer, Marcus (2005) “Germany: Partisan Engineering of Personalized Proportional Rep-
resentation”, in Handbook of Electoral System Choice, by Josep M. Colomer (ed.) (Palgrave
MacMillan, New York, N.Y.) [29] Lijphart, Arend (1994) Electoral Systems and Party Systems: a Study of 27 Democracies
(Oxford University Press, New York, NY). [30] Mulligan, Casey B., Richard Gil, and Xavier Sala-i-Martin (2004) “Do Democracies Have
Different Public Policies than Nondemocracies?” Journal of Economic Perspectives, 18, winter,
51-74. [31] Myrdal, Gunnar (1944) An American Dilemma (Harper & Row Publishers, New York, NY). [32] Pande, Rohini (2003) “Can Mandate Political Representation Increase Policy Influence for
Disadvantaged Minorities? Theory and Evidence from India” American Economic Review,
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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,
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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
|
https://europepmc.org/articles/pmc6769445?pdf=render
|
English
| null |
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
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)
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. In contrast to the mutations of the exonuclease activity, the PolgATyr955Cys
mutation does increase the frequency of the oxidative DNA damage marker 8-OHdG by approximately
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GNT1128381 and GNT1162553, a Stafford Fox Senior Research Fellowship to S.Z. and a University of Queensland
International Scholarship to A.H. Acknowledgments: We thank colleagues of the Zuryn laboratory for discussions and comments. We apologize to
the many authors with articles on the subject of this review that we were not able to discuss or cite because of
space restrictions. Conflicts of Interest: The authors declare no conflict of interest. Conflicts of Interest: The authors declare no conflict of interest. 8. 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
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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
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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
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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
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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. Komusanac, I.; Brindley, G.; Fraile, D.; Walsh, C. Wind Energy in Europe in 2019—Trends and Statistics; Wind Europe:
Brussels, Belgium, 2020. g
2. Gautam, D.; Goel, L.; Ayyanar, R.; Vittal, V.; Harbour, T. Control strategy to mitigate the impact of reduced inertia due to
doubly
fed
induction
generators
on
large
power
systems. IEEE
Trans. Power
Syst. 2011,
26,
214–224,
doi:10.1109/TPWRS.2010.2051690. 3. Mullane, A.; O’Malley, M. The inertial response of induction‐machine‐based wind turbines. IEEE Trans. Power Syst. 2005, 20,
1496–1503, doi:10.1109/TPWRS.2005.852081. 4. Holdsworth, L.; Ekanayake, J.B.; Jenkins, N. Power system frequency response from fixed speed and doubly fed induction
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g, Y.; Blaabjerg, F. On the Inertia of Future More‐Electronics Power Systems. IEEE J. Emerg. Sel. Top. Power
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Electron. 2019, 7, 2130–2146, doi:10.1109/JESTPE.2018.2877766. 6. ENTSO‐E. Rate of Change of Frequency (RoCoF) Withstand Capability; European Network of Transmission System Operation for
Electricity: Brussels, Belgium, 2018. y
g
7. Uijlings, W. RoCoF An Independent Analysis on the Ability of Generators to Ride through Rate of Change of Frequency Values up to 2
Hz/s; Report DNV KEMA Energy & Sustainability; London, UK February 2013. 7. Uijlings, W. RoCoF An Independent Analysis on the Ability of Generators to Ride through Rate of Chan
Hz/s; Report DNV KEMA Energy & Sustainability; London, UK February 2013. p
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y
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8. Tamrakar, U.; Shrestha, D.; Maharjan, M.; Bhattarai, B.P.; Hansen, T.M.; Tonkoski, R. Virtual Inertia: Current Trends and
Future Directions. Appl. Sci. 2017, 7, 1–29, doi:10.3390/app7070654. pp
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9. Morren, J.; Haan, S.W.H. de; Kling, W.L.; Ferreira, J.A. Wind Turbines Emulating Inertia and Supporting Primary Frequency
Control. IEEE Trans. Power Syst. 2006, 21, 433–434, doi:10.1109/TPWRS.2005.861956. 10. Durrant, M.; Werner, H.; Abbott, K. Model of a VSC HVDC terminal attached to a weak AC system. In Proceedings of the
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orno, M.; Lundberg, S. Input‐admittance calculation and shaping for controlled voltage‐source converters
tron. 2007, 54, 3323–3334, doi:10.1109/TIE.2007.904022. 11. Harnefors, L.; Bongiorno, M.; Lundberg, S. Input‐admittance calculation and shaping for controlled v
IEEE Trans. Ind. Electron. 2007, 54, 3323–3334, doi:10.1109/TIE.2007.904022. 12. 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
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14. Beck, H.P.; Hesse, R. Virtual synchronous machine. In Proceedings of the 2007 9th International Conference on Electrical
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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
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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
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22. Malinowski, M.; Kazmierkowski, M.P.; Bernet, S. New Simple Active Damping of Resonance in Three‐Phase PWM Converter
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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
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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: ,
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)
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
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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
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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
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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
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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
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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
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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
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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
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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
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Levelling the playing field for the international migration of nurses: the India English Language Programme
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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://creativecommons.org/licenses/by/4.0/. The Creative Commons Public Domain Dedication waiver (http://creativeco
mmons.org/publicdomain/zero/1.0/) applies to the data made available in this article, unless otherwise stated in a credit line to the data. 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://creativecommons.org/licenses/by/4.0/. The Creative Commons Public Domain Dedication waiver (http://creativeco
mmons.org/publicdomain/zero/1.0/) applies to the data made available in this article, unless otherwise stated in a credit line to the data. 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/bitstream/
handle/10665/250368/9789241511131-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/migration/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/default-source/searo/india/publications/review-of-inter
national-migration-of-nurses-from-the-state-of-kerala--india-.pdf?sfvrsn=
524dffc1_2. Accessed 14 Mar 2023 . •
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House of Commons Library; 2021. 1. Baker C. NHS staff from overseas: statistics. Briefing paper 7783. London:
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national placements on nurses’ personal and professional lives: literature
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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/default/files/PP212-Clemens-
Dempster-Ethical-recruitment-health-workers-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/default/files/PP212-Clemens-
Dempster-Ethical-recruitment-health-workers-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/government/publications/code-
of-practice-for-the-international-recruitment-of-health-and-social-care-
personnel/code-of-practice-for-the-international-recruitment-of-health-
and-social-care-personnel-in-england#WHO-safeguard-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://
committees.parliament.uk/publications/2675/documents/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-content/uploads/2020/03/The-NHS-nursi
ng-workforce.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 •
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English
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Acoustic adaptation to dynamic background conditions with asynchronous transformations
|
Computer speech & language
| 2,017
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cc-by
| 11,262
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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. This shows how the proposed training regime
can work even with a very loose knowledge of the background situation for initialisation, which makes this tech-
nique especially suitable for the most complex situations where the acoustics are unknown. Finally, other work has shown that asynchronous background modelling can be used for other tasks beyond ASR,
as for instance identifying the genre of broadcast shows (Saz et al., 2014). This opens possibilities for future appli-
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Multilocus sequence typing (MLST), porA and flaA typing of Campylobacter jejuni isolated from cats attending a veterinary clinic
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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://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 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′ GGATGACACTTTTCG
GAGC 3′; reverse: 3′ CATTGTAGCACGTGTGTC 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
GGCTTGAAATTTGCTTG 3′; reverse: 3′ GCTTGG
TGCGGATTGTAAA 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
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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. PLoS ONE. 2015;10(12):e0144976. petting zoo animals for use in exposure assessments. PLoS ONE. 2015;10(12):e0144976. 14. ESR. Annual surveillance report 2003. New Zealand: The Institute of
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This work did not involve animals. 20. Mohan V. Faeco-prevalence of Campylobacter jejuni in urban wild birds
and pets in New Zealand. BMC Res Notes. 2015;8:1. Funding g
We would like to acknowledge financial support from the Massey University
Post Graduate Research Fund. 21. Mohan V, Stevenson MA, Marshall JC, French NP. Characterisation by
multilocus sequence and porA and flaA typing of Campylobacter jejuni
isolated from samples of dog faeces collected in one city in New Zealand. N Z Vet J. 2017;65(4):209–13. Availability of data and materials The datasets generated during and/or analysed during the current study are
available from the corresponding author on reasonable request. The datasets generated during and/or analysed during the current study are
available from the corresponding author on reasonable request. y
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bacter species and neutrophilic inflammatory bowel disease in cats. J Vet
Intern Med. 2016;30(4):996–1001. •
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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
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Sistem Informasi Administrasi Desa Sejati Kecamatan Rambah Hilir Menggunakan Framework Laravel
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G-Tech
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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 …
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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´. Funding acquisition: Julianne K. Baarbe´, Paul Yielder, Heidi Haavik, Michael W. R. Holmes,
Bernadette Ann Murphy. 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. References 1. Knox JJ, Hodges PW (2005) Changes in head and neck position affect elbow joint position sense. Experimental Brain Research 165: 107–113. https://doi.org/10.1007/s00221-005-2293-y PMID:
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plasticity and function. Molecular psychiatry 22: 1274. Supporting information S1 Table. CBI data for all participants. 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. (XLSX) 15 / 19 PLOS ONE | https://doi.org/10.1371/journal.pone.0193413
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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
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Patient-reported outcome measures used to improve youth mental health services: a systematic review
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Journal of patient-reported outcomes
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© 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://creativecommons.org/licenses/by/4.0/. 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-
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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
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| 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
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| 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
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| 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
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| 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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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
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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
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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
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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
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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
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Catestatin and vasostatin concentrations in healthy dogs
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Acta veterinaria Scandinavica
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© 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. No significant correlation between plasma
CST and VS, as well as saliva CST could be found indi-
cating that separate interpretation of the different CgA
epitopes from either saliva or plasma is mandatory. 5. Jitpean S, Stridsberg M, Pettersson A, Höglund OV, Holst BS, Hagman
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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
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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
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Evaluation of an outbred mouse model for Francisella tularensis vaccine development and testing
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PloS one
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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
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PubMed Central PMCID: PMCPMC2953512. 18 / 18
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A Context-Aware and Self-Adaptation Strategy for Cloud Service Selection and Configuration in Run-Time
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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
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Applications, 1, 7-10. Gan, D. (2003). Diabetes atlas (2nd ed.). International Diabetes Federation, Brussels. García-Galán, J., Trinidad, P., Rana, O. F., & Ruiz-Cortés, A. (2016). Automated configuration support for
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clouds: a Berkeley view of cloud computing. Technical Report No. UCB/ EECS-2009-28, University of
California, Berkley. Clements, P., & Northrop, L. (2002). Software product lines: practices and patterns. 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
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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://creativecommons.org/licenses/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. Bailey KM, Houde ED (1989) Predation on eggs and larvae of \nmarine fishes and the recruitment problem. Adv Mar Biol \n25:1–83 Code availability The software SYSTAT Ver 13 is pub-\nlicly available, (https://www.statcon.de/shop/en/software/stati\nstics/systat) and was used for most graphics. R version 4.1.2 \nwas used to test the maturity schedules of males and females \nbetween latitudes using the packages: tidyr, dplyr, DHARMa, \neffects, multcomp, emmeans, outliers, ggplot2 and ggiraph; the \ncode used is available on request. Growth models were done in \nEXCEL (Ver 2102; Build # 13,801.21004) and multiple itera-\ntions were run using Solver to vary parameters of the models \nwith the objective of minimising variances. Boehlert G, Kappenman R (1980) Variation of growth with \nlatitude in two species of rockfish (Sebastes pinniger and \nS. diploproa) from the Northeast Pacific Ocean. Mar Ecol \nProg Ser 3:1–10 Boulcott P, Wright PJ (2008) Critical timing for reproductive \nallocation in a capital breeder: evidence from sandeels. Aquat Biol 3:31–40 Cappo M, Kelley R (2001) Connectivity in the Great Barrier \nReef World Heritage Area: an overview of pathways and \nprocesses. In: Wolanski E (ed) Oceanographic Processes \nof Coral Reefs: Physical and Biological Links in the Great \nBarrier Reef. CRC Press, Boca Raton, pp 161–187i Declarations Chen Y, Paloheimo JE (1994) Estimating fish length and age \nat 50% maturity using a logistic type model. Aquat Sci \n56:206–219. https://doi.org/10.1007/BF00879965 Ethics approval Animal Ethics: permit for samples collected \nfor aging fish A1487 and GBRMPA Permit numbers G06/202 \n34.1 and G10/332 39.1. Animal Ethics for reproductive samples \n(A1808) and GBRMPA permit number G13/35909.1. Choat JH, Robertson DR (2002) Age-based studies. In: Sale \nPF (ed) Coral reef fishes: dynamics and diversity in a \ncomplex ecosystem. 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Mar Ecol Prog Ser \n295:245–256 Houde ED (1989) Comparative growth, mortality, and energet-\nics of marine fish larvae: temperature and implied latitudi-\nnal effects. Fish Bull 87:471–495 Rogers PJ, Geddes M, Ward TM (2003) Blue sprat Spratel-\nloides robustus (Clupeidae: Dussumieriinae): a temperate \nclupeoid with a tropical life history strategy? Mar Biol \n142:809–824 Johannes RE (1978) Reproductive strategies of coastal marine \nfishes in the tropics. Environ Biol Fishes 3:65–84f Jones GP (1986) Food availability affects growth in a coral reef \nfish. Oecologia 70:136–139 Ruiz-Abierno A, Márquez-Fariás JF, Trápaga-Roig M, Hueter \nRE (2021) Length at maturity of two pelagic sharks Ruiz-Abierno A, Márquez-Fariás JF, Trápaga-Roig M, Hueter \nRE (2021) Length at maturity of two pelagic sharks 1 \nol.: (0 3\n123456789) 476 Environ Biol Fish (2022) 105:461–476 pilchards, sprats, shads, anchovies and wolf-herrings, vol \n7. Part 1 - Chirocentridae, Clupeidae and Pristigasteridae. FAO Fisheries Synopsis, Rome, pp 305–579i (Isurus paucus and Carcharhinus longimanus) found off \nnorthern Cuba. Bull Mar Sci 97:77–88 Schmidt-Nielsen K (1997) Animal physiology: adaptation \nand environment, 5th edn. Cambridge University Press, \nCambridge Williams DM, Hatcher A (1983) Structure of fish communities \non outer slopes of inshore, mid-shelf and outer shelf reefs \nof the Great Barrier Reef. Mar Ecol Prog Ser 10:239–250i g\nSebens KP (1987) The ecology of indeterminate growth in ani-\nmals. Annu Rev Ecol Syst 18:371–407 Williams DMB (1982) Patterns in the distribution of fish com-\nmunities across the Central Great Barrier Reef. Competing interests The authors declare no competing inter-\nests. Coral \nReefs 1:35–43 Stearns SC (1976) Life history characteristics: a review of the \nideas. Q Rev Biol 51:3–47 Systat (2009) SYSTAT ver. 13 for Windowsf Williams DMB, Dixon P, English S (1988) Cross-shelf distri-\nbution of copepods and fish larvae across the central Great \nBarrier Reef. Mar Biol 99:577–589 Systat (2009) SYSTAT ver. 13 for Windowsf Udy J, Gall M, Longstaff B et al (2005) Water quality moni-\ntoring: a combined approach to investigate gradients of \nchange in the Great Barrier Reef, Australia. Mar Pollut \nBull 51:224–238f Barrier Reef. Mar Biol 99:577–589 Wilson DT, Meekan MG (2002) Growth-related advantages for \nsurvival to the point of replenishment in the coral reef fish \nStegastes partitus (Pomacentridae). Mar Ecol Prog Ser \n231:247–260 von Bertalanffy L (1938) A quantitative theory of organic \ngrowth (inquiries on growth laws II). Hum Biol \n10:181–213 Wolanski E (2001) Physical and biological links in the Great \nBarrier Reef. CRC Press, Australiai Walther GR, Post E, Convey P et al (2002) Ecological \nresponses to recent climate change. Nature 416:389–395 Yamahira K, Conover DO (2002) Intra- vs interspecific lati-\ntudinal variation in growth: adaptation to temperature or \nseasonality. Ecology 83:1252–1262 Wenger AS, Johansen JL, Jones GP (2012) Increasing sus-\npended sediment reduces foraging, growth and condi-\ntion of a planktivorous damselfish. J Exp Mar Biol Ecol \n428:43–48 Publisher’s note Springer Nature remains neutral with regard \nto jurisdictional claims in published maps and institutional \naffiliations. Whitehead PJP, Nelson GJ, Wongratana T (1988) FAO Spe-\ncies Catalogue. Clupeoid fishes of the world. In: An anno-\ntated and illustrated catalogue of the herrings, sardines, 1 \nVol:. ( 1 3\n(1234567890)"
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Face Tracking in the Compressed Domain
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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
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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
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domain,” in Proceedings of IEEE International Conference on
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in images: a survey,” IEEE Transactions on Pattern Analysis and
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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
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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
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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.
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ANXIETY LEVEL OF MIDWIFERY CLINICAL STUDENTS DURING COVID-19 PANDEMIC
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Indonesian Midwifery and Health Sciences Journal
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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
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@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
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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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Carolina Digital Repository (University of North Carolina at Chapel Hill)
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cc-by
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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
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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
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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). Images were PLOS Pathogens | www.plospathogens.org July 2014 | Volume 10 | Issue 7 | e1004291 9 Role of pDC in HIV-1 Replication and Immunopathogenesis (2008)
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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://creativeco
mmons.org/licenses/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
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monocyte NU/81.2 monocyte 22653/14
momΦ NU/81.2
momΦ 22653/14
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5
10
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monocyte NU/81.2 monocyte 22653/14
momΦ NU/81.2
momΦ 22653/14
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monocyte NU/81.2 monocyte 22653/14
momΦ NU/81.2
momΦ 22653/14
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monocyte NU/81.2 monocyte 22653/14
momΦ NU/81.2
momΦ 22653/14
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monocyte NU/81.2 monocyte 22653/14
momΦ NU/81.2
momΦ 22653/14
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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-
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J, Aleixo A, Allan G, Leitão A, Martins CL (2003) Expres-
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R, Archibald A, Lowden S, Dixon LK (2006) Macrophage tran-
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and Vaccines for Terrestrial Animals. 1067–1081. http://www.oie. int/fileadmin/Home/eng/Health_standards/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:
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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:
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Could Vocational Education Benefit From Augmented Reality and Hypervideo Technologies? An Exploratory Interview Study
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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. Further studies are
needed for developing applications that meet the needs expressed by the educators, as well
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sign and evaluation of a hypervideo environment to support veterinary surgery learning. Exploring Augmented Reality and Hypervideo in VET https://doi.org/10.1186/s12912-019-0342-2 Wüller, H., Behrens, J., Garthaus, M., Marquard, S., & Remmers, H. (2019). A scoping review of aug
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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.
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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
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Philosophical transactions - Royal Society. Biological sciences
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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
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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. (II/85 069)
from the Volkswagen Foundation ‘European Platform for Life
Sciences, Mind Sciences and Humanities’ and a European Research
Council Starting Investigator Award (ERC-2012-STG GA313755)
(to A.F.). Y.P. was supported by an Economic and Social Research
Council fellowship (grant no. ES/K009400/1). Acknowledgements. We are grateful to Anjali Bhat, Yvonne Blake, Lisette
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Serious Games and Gamification for Mental Health: Current Status and Promising Directions
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Frontiers in psychiatry
| 2,017
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cc-by
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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. Studies should explore and report engagement
as well as effectiveness and provide sufficient detail regarding
dynamics used, to allow others to build on their work.h Biofeedback-Based Gamesh Quality game develop-
ment requires specialist skills, and meeting user preferences may
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review and meta-analysis. 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
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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,
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Diagnosis, and Treatment. New York: Springer (2013). January 2017 | Volume 7 | Article 215 Frontiers in Psychiatry | www.frontiersin.org
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Kartet og terrenget: Israel, Palestina og norsk utenrikspolitikk
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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
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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
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via Elimination of ROS and Induction of Neurite Outgrowth. Oxidative Med. Cell. Longev. 2022, 2022, 1 61. Pangestuti, R.; Shin, K.-H.; Kim, S.-K. Anti-Photoaging and Potential Skin Health Benefits of Seaweeds. Mar. Drugs 2021, 19, 172. [CrossRef] Disclaimer/Publisher’s Note: The statements, opinions and data contained in all publications are solely those of the individual
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people or property resulting from any ideas, methods, instructions or products referred to in the content.
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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
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teaching and research institutions in France or
abroad, or from public or private research centers. Distributed under a Creative Commons Attribution 4.0 International License 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)
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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
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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
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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
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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
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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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Research Square (Research Square)
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cc-by
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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;
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Novel Ampeloviruses Infecting Cassava in Central Africa and the South-West Indian Ocean Islands
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Viruses
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cc-by
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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
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teaching and research institutions in France or
abroad, or from public or private research centers. Distributed under a Creative Commons Attribution 4.0 International License 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.
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33. Rubio, L.; Guerri, J.; Moreno, P. Genetic variability and evolutionary dynamics of viruses of the family Closteroviridae. Front. Microbiol. 2013, 4, 151. [CrossRef] 34. Li, X.H.; Heaton, L.A.; Morris, T.J.; Simon, A.E. Turnip crinkle virus defective interfering RNAs intensify viral symptoms and are
generated de novo. Proc. Natl. Acad. Sci. USA 1989, 86, 9173–9177. [CrossRef] [PubMed] 35. Bar-Joseph, M.; Mawassi, M. The defective RNAs of Closteroviridae. Front. Microbiol. 2013, 4, 132. [CrossRef]
36. White, K.A.; Morris, T.J. RNA determinants of junction site selection in RNA virus recombinants and defective interfering RNAs. RNA 1995, 1, 1029–1040. 37. Rubio, L.; Yeh, H.-H.; Tian, T.; Falk, B.W. A Heterogeneous Population of Defective RNAs Is Associated with Lettuce infectious
yellows virus. Virology 2000, 271, 205–212. [CrossRef] 38. Eliasco, E.; Livieratos, I.C.; Müller, G.; Guzman, M.; Salazar, L.F.; Coutts, R.H.A. Sequences of defective RNAs associated with
potato yellow vein virus. Arch. Virol. 2005, 151, 201–204. [CrossRef] 38. Eliasco, E.; Livieratos, I.C.; Müller, G.; Guzman, M.; Salazar, L.F.; Coutts, R. potato yellow vein virus. Arch. Virol. 2005, 151, 201–204. [CrossRef] 38. Eliasco, E.; Livieratos, I.C.; Müller, G.; Guzman, M.; Salazar, L.F.; Coutt
potato yellow vein virus. Arch. Virol. 2005, 151, 201–204. [CrossRef] p
y
39. Menzel, W.; Goetz, R.; Lesemann, D.E.; Vetten, H.J. Molecular characterization of a closterovirus from ca
as a German isolate of Carrot yellow leaf virus. Arch. Virol. 2009, 154, 1343–1347. [CrossRef] [PubMed] 40. Mongkolsiriwattana, C.; Chen, A.Y.; Ng, J.C. Replication of Lettuce chlorosis virus (LCV), a crinivirus in the family Closteroviridae,
is accompanied by the production of LCV RNA 1-derived novel RNAs. Virology 2011, 420, 89–97. [CrossRef]
Š 41. Massart, S.; Candresse, T.; Gil, J.; Lacomme, C.; Predajna, L.; Ravnikar, M.; Reynard, J.-S.; Rumbou, A.; Saldarelli, P.; Škori´c, D.;
et al. A Framework for the Evaluation of Biosecurity, Commercial, Regulatory, and Scientific Impacts of Plant Viruses and Viroids
Identified by NGS Technologies. Front. Microbiol. 2017, 8, 45. [CrossRef] [PubMed]
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The Influence of Service Quality and Price on the Interest of Commuterline KRL Passengers
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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
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SERVQUAL model. Pacific Business Review International, 8(2), 82–88. Retrieved from
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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
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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
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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
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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
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https://openalex.org/W4362415279
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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
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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
| null | 2,023
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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.
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Penerapan Resource Allocation dan Levelling tenaga Kerja Pada Proyek Konveksi
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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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https://openalex.org/W2605032941
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http://www.pegegog.net/index.php/pegegog/article/download/pegegog.2017.007/pegegog.2017.007D
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Turkish
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A qualitative study about enriching programming and algorithm teaching with flipped classroom approach
|
Eğitim ve Öğretim/Eğitim ve öğretim
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cc-by
| 11,284
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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,
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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
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improves learning outcomes in a large introductory biology class. CBE Life Sciences Education, 9(4),
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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
| 2,023
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cc-by
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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
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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
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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
| null |
Improving fermentation of Saccharina latissima and Alaria esculenta silages with additives for preserving biomass and antioxidants
|
Journal of applied phycology
| 2,021
|
cc-by
| 10,270
|
* 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-
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Marrying Up by Marrying Down: Status Exchange between Social Origin and Education in the United States
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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
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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
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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
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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). An earlier
version of this article was presented at the 2012 Population Association of America meetings in San Francisco, CA. We are grateful to Aaron Gullickson for helpful comments and advice. Supplementary Material Refer to Web version on PubMed Central for supplementary material. Discussion and Conclusion This result suggests that exchange marriage is not
merely an auxiliary to homogamy—as an alternative way of achieving balance between
partners—but rather that men and women utilize exchange marriage to adjust their resource
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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
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https://openalex.org/W2520303206
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https://www.jpep.endocrinology.org.ua/index.php/1/article/download/477/379
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BODY COMPOSITION AND METABOLIC FEATURES OF POLYCYSTIC OVARY SYNDROME PATIENTS WITH NORMAL BODY WEIGHT
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Problemi endokrinnoï patologìï
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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
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544. 15. Vygorskij
MJa. Spravochnik
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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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https://www.nature.com/articles/srep15934.pdf
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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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Scientific reports
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cc-by
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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. After extraction with ethyl acetate (3 x 10 mL), the organic layers were
combined and dried over anhydrous Na2SO4. www.nature.com/scientificreports/ The pure product was obtained by flash column chroma-
tography on silica gel (petroleum: ethyl acetate = 50:1 - 5:1). References
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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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English
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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
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World journal of surgical oncology
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cc-by
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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://creativecommons.org/licenses/by/4.0/. The Creative Commons Public Domain Dedication waiver (http://creativeco
mmons.org/publicdomain/zero/1.0/) applies to the data made available in this article, unless otherwise stated in a credit line to the data. Abstract Background 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
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to the material. If material is not included in the article’s Creative Commons licence and your intended use is not permitted by statutory
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mmons.org/publicdomain/zero/1.0/) applies to the data made available in this article, unless otherwise stated in a credit line to the data. 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
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1056/NEJMoa1917346. 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/NEJMoa1606774. 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/
jamaoncol.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/
jamaoncol.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/NEJMoa1712126. 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/10.1097/00000421-200008000-00011. 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/labinvest.
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/labinvest.
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/NEJMoa1510665. 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/NEJMoa1816047. 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/
anticanres.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/10.1159/000479960. 25. Nozawa Y, Oka Y, Oosugi J, Takemura S. •
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https://figshare.com/articles/journal_contribution/Supplementary_Figure_S6_from_Localized_Immunotherapy_via_Liposome-Anchored_Anti-CD137_IL-2_Prevents_Lethal_Toxicity_and_Elicits_Local_and_Systemic_Antitumor_Immunity/22396916/1/files/39842624.pdf
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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. Sustainable development in Bali is
strongly characterized by sustainability of sacred places and its spiritual
properties. Adoption of Balinese spiritual culture in the hotel’s premises, implies
that the hotels’ effort in sustaining Bali is not merely physical but also the
metaphysical aspects of their business. Spiritual wellbeing creates harmony and
productivity for their holistic needs in sustaining their livelihood as Balinese. 24
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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. Thus, with the glutamatergic
circuits data, for instance, we would be able to determine
which circuits are more likely to be affected by anoxia in Funding This research was partly supported by Tokyo Biochemical
Research Foundation (TBRF) (Grant No. TBRF-RF 21-135) and
AMED (Grant No. JP21gm6110028). Nomenclature This review used the nomenclature for the forebrain and
midbrain from the turtle brain atlas written by Powers and
Reiner (1980) and for the rhombencephalon from the atlas
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LMNA p.R482W mutation related to FPLD2 alters SREBP1-A type lamin interactions in human fibroblasts and adipose stem cells
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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-
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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://
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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
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Teng. 2015. Complex event extraction using drum.
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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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https://openalex.org/W4256474096
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https://bmcinfectdis.biomedcentral.com/counter/pdf/10.1186/s12879-021-05771-y
|
English
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Critically ill patients with diabetes and Middle East respiratory syndrome: A multi-center observational study
|
Research Square (Research Square)
| 2,020
|
cc-by
| 7,824
|
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
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826004, India. 3Intensive Care Department, Ministry of National Guard Health
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Sulaiman Al-Habib Group Hospitals, Riyadh, Saudi Arabia. 5Military Medical
Services, Ministry of Defense, Prince Sultan Military Medical City, Riyadh,
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bin Abdulaziz University for Health Sciences, King Abdullah International
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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
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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
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S H
bi h W B tt t J C ll
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Open Access
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C):74-6. doi:10.1016/j.cplett.2013.01.028 [59] Porret E, Sancey L, Martín-Serrano A, Montañez MI, Seeman
R, Yahia-Ammar A, et al. Hydrophobicity of Gold Nanoclusters
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of Materials 2017;29(17):7497-506. doi:10.1021/acs.chemma-
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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
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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;
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data extraction and analysis; SHL coordinated all aspects of the study and
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evaluation of classification systems for stillbirth. BMC Pregnancy Childbirth. 2009;9:24.
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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
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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
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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. Acknowledgements The authors acknowledge funding received from the Social Sciences and Humanities Research Council [grant
number 435-2016-1440] and the in-kind contributions of their respective institutions. We also thank the research
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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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Social Determinants of Hypertension
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Arquivos Brasileiros de Cardiologia
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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
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Hard And Soft QCD Physics In ATLAS
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EPJ web of conferences
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cc-by
| 4,665
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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
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(2014)
2014 00 0
Conferences
EP Web of
J
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ep conf
j
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30 DOI: 10.1051/
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⃝Owned by the authors, published by EDP Sciences, 2014
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(2014)
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EP Web of
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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]
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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
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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
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0.4
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Ratio 900 GeV / 7 TeV
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> 100 MeV
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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
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0.4
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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]
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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]
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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
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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
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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++
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and after (right) applying a splitting and filtering algorithm based on the jet substructure characteristics [30]. 0
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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. The author acknowledges the financial support of the work by the DFG research training References [1] ATLAS Collaboration, JINST 3 (2008) S08003. [2] ATLAS Collaboration, New J. Phys. 13 (2011) 053033. [3] ATLAS Collaboration, JHEP 1207 (2012) 19. [4] ATLAS Collaboration, ATL-PHYS-PUB-2011-009, https://cdsweb.cern.ch/record/1363300. [5] ATLAS C ll b
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Xi 1203 0419 [h
] (2012) [4] ATLAS Collaboration, ATL-PHYS-PUB-2011-009, https://cdsweb.cern.ch/record/1 [5] ATLAS Collaboration, arXiv:1203.0419 [hep-ex] (2012). [6] ATLAS Collaboration, JHEP 1205 (2012) 157. [6] ATLAS Collaboration, JHEP 1205 (2012) 157. [7] ATLAS Collaboration, Phys. Rev. D 83 (2011) 112001. [7] ATLAS Collaboration, Phys. Rev. D 83 (2011) 112001. [8] ATLAS Collaboration, Eur. Phys. J. C 71 (2011) 1636. [8] ATLAS Collaboration, Eur. Phys. J. C 71 (2011) 1636. [9] M. Cacciari, G. P. Salam and G. Soyez, JHEP 0804 (2008) 063. [10] Rick Field, arXiv:1010.3558v1 [hep-ex] (2010). [10] Rick Field, arXiv:1010.3558v1 [hep-ex] (2010). [11] ATLAS Collaboration, arXiv:1208.0563 (2012). [12] T. Sjostrand, S. Mrenna and P. Z. Skands, JHEP 0605 (2006) 026. [13] ATLAS Collaboration, Phys. Rev. D 86 (2012) 014022. [14] ATLAS Collaboration, arXiv:1112.6297 [hep-ex] (2012), accepted for publication in Phys. Rev. D. [15] ATLAS Collaboration, arXiv:1112.6426 [hep-ex] (2011). 16] B. Malaescu, arXiv:0907.3791 [physics.data-an] (2009). [16] B. Malaescu, arXiv:0907.3791 [physics.data-an] (2009). [17] Z. Nagy, Phys. Rev. D 68 (2003) 094002. 18] S. Alioli, P. Nason, C. Oleari and E. Re, JHEP 1101 (2011) 095. [18] S. Alioli, P. Nason, C. Oleari and E. Re, JHEP 1101 (2011) 095. [19] P. Nason, arXiv:0709.2085 [hep-ph] (2007). [20] G. Corcella et al., JHEP 01, (2001) 010 (2001). [21] ATLAS Collaboration, Eur. Phys. J. C 71 (2011) 1846. [22] ATLAS Collaboration, Eur. Phys. J. C 71 (2011) 1763. [23] H. -L. Lai et al., Phys. Rev. D 82 (2012) 074024. [23] H. -L. Lai et al., Phys. Rev. D 82 (2012) 074024. [24] A. D. Martin, W. J. Stirling, R. S. Thorne and G. Watt, Eur. Phys. J. C 63 (2009) 1 EPJ Web of Conferences [28] ATLAS Collaboration, Eur. Phys. J. C 71 (2011) 1795. [28] ATLAS Collaboration, Eur. Phys. J. C 71 (2011) 1795. [29] ATLAS Collaboration, arXiv:1206.5369 [hep-ex] (2012). [29] ATLAS Collaboration, arXiv:1206.5369 [hep-ex] (2012). [30] ATLAS Collaboration, JHEP 1205 (2012) 128. [30] ATLAS Collaboration, JHEP 1205 (2012) 128. [31] ATLAS Collaboration, ATLAS-CONF-2012-065, https://cdsweb.cern.ch/record/1459530. [31] ATLAS Collaboration, ATLAS-CONF-2012-065, https://cdsweb.cern.ch/record/1459530. 32] S. D. Ellis and D. E. Soper, Phys. Rev. D 48 (1993) 3160. [32] S. D. Ellis and D. E. Soper, Phys. Rev. D 48 (1993) 3160. [33] S. Catani, Y. L. Dokshitzer, M. Seymour, and B. Webber, Nucl. Phys. B 406 (1993) 187. [33] S. Catani, Y. L. Dokshitzer, M. Seymour, and B. Webber, Nucl. Phys. B 406 (1993) 187. 34] Y. L. Dokshitzer, G. Leder, S. Moretti, and B. Webber, 1125 JHEP 9708 (1997) 001. [34] Y. L. Dokshitzer, G. Leder, S. Moretti, and B. Webber, 1125 JHEP 9708 (1 35] M. Wobisch and T. Wengler, arXiv:hep-ph/9907280 [hep-ph] (1993). [35] M. Wobisch and T. Wengler, arXiv:hep-ph/9907280 [hep-ph] (1993). 00030-p.8
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English
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The Effect of 3-Thiopheneacetic Acid in the Polymerization of a Conductive Electrotextile for Use in Biosensor Development
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Biosensors
| 2,013
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cc-by
| 4,823
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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. In Principles of Bacterial Detection:
Biosensors, Recognition Receptors and Microsystems; Zourob, M., Elwary, S., Turner, A., Eds.;
Springer Science + Business Media LLC: New York, NY, USA, 2008; pp. 341–371. 6. Gregory, R.V.; Kimbrell, W.C.; Kuhn, H.H. Electrically conductive non-metallic textile coatings. J. Ind. Textil. 1991, 20, 167–175. 7. Heisey, C.L.; Wightman, J.P.; Pittman, E.H.; Kuhn, H.H. Surface and adhesion properties of
polypyrrole-coated textiles. Textil. Res. J. 1993, 63, 247–256. 8. Kuhn, H.H.; Kimbrell, W.C. Method for Making Electrically Conductive Textile Materials. U.S. Patent 5,030,508, July 1991. 9. Kuhn, H.H.; Kimbrell, W.C.; Fowler, J.E.; Barry, C.N. Properties and applications of conductive
textiles. Synthetic Met. 1993, 57, 3707–3712. 10. Granato, F.; Scampicchio, M.; Bianco, A.; Mannino, S.; Bertarelli, C.; Zerbi, G. Disposable
electrospun electrodes based on conducting nanofibers. Electroanalysis 2008, 20, 1374–1377. 11. 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://openalex.org/W4224945207
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https://chimia.ch/chimia/article/download/2022_303/5303
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English
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Multi-electron Transfer by U(ɪɪ) and Masked U(ɪɪ) Complexes
|
Chimia
| 2,022
|
cc-by
| 6,234
|
§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. This
allowed us to demonstrate for the first time the unambiguous mon-
uranium four-electron transfer to a substrate. Acknowledgements
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from
the
Swiss
National
Science
Foundation grant number 200021_178793 and the Ecole Polytechnique
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License CC BY 4.0. The material may not
be used for commercial purposes. The license is subject to the CHIMIA terms and conditions:
(https://chimia.ch/chimia/about).i This is an Open Access article under the
terms of the Creative Commons Attribution
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English
| null |
Detection of Cyanotoxins in Lake Torment (Nova Scotia, Canada)
|
Environmental problems
| 2,019
|
cc-by
| 3,530
|
© 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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English
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Azelnidipine prevents cardiac dysfunction in streptozotocin-diabetic rats by reducing intracellular calcium accumulation, oxidative stress and apoptosis
|
Cardiovascular diabetology
| 2,011
|
cc-by
| 8,507
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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,
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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-
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(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. Cardiovascular Diabetology 2011, 10:97
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2011 10:97. doi:10.1186/1475-2840-10-97
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Submit your manuscript at
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and take full advantage of:
• Convenient online submission
• Thorough peer review
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• Immediate publication on acceptance
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Submit your manuscript at
www.biomedcentral.com/submit Submit your next manuscript to BioMed Central
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antioxidant enzymes, and inflammatory markers in the heart of
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Excisional Biopsy of Breast
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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
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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
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Model-Based Magnetization Transfer Imaging Markers to Characterize Patients and Asymptomatic Gene Carriers in Huntington’s Disease
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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
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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)
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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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English
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Fundamental limits and non-reciprocal approaches in non-Hermitian quantum sensing
|
Nature communications
| 2,018
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cc-by
| 17,423
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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
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(
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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
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018-06477-7. p
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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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English
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Assortative Mating on Ancestry-Variant Traits in Admixed Latin American Populations
|
Frontiers in genetics
| 2,019
|
cc-by
| 12,148
|
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. All authors read
and approved the final manuscript. For each significant polygenic phenotype of interest, we identified
the ancestry component related to mate choice by calculating
the ancestry homozygosity (AHanc
phenotype) for all genes for each
ancestry at the given phenotype. The ancestry homozygosity was
calculated as: AHanc
phenotype =
X
g ∈genes in the phenotype
obsanc
g
−expanc
g
expanc
g
! Gene Sets for Polygenic Phenotypes 95% confidence
intervals for each gene, meta-gene AMI values, significance
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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
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Real-time observation of the intravalley spin-flip process in single-layer WS<sub>2</sub>
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EPJ web of conferences
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cc-by
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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
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5012 ,
(201
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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
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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
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Web of Conferences
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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
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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
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(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
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article distributed under the terms and conditions of the Creative Commons Attribution
(CC BY) license (http://creativecommons.org/licenses/by/4.0/).
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The 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
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Li
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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:
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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
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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
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https://openalex.org/W3209818527
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https://www.frontiersin.org/articles/10.3389/fimmu.2021.749504/pdf
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English
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Nlrx1-Regulated Defense and Metabolic Responses to Aspergillus fumigatus Are Morphotype and Cell Type Specific
|
Frontiers in immunology
| 2,021
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cc-by
| 11,726
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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. Human
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absence of any commercial or financial relationships that could be construed as a
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jem.20161031 Publisher’s Note: All claims expressed in this article are solely those of the authors
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the publisher, the editors and the reviewers. Any product that may be evaluated in
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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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Evaluating differences in milk production, reproductive performance, and survival associated with vaginal discharge characteristics and fever in postpartum dairy cows
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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-
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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
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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,
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power calculations before the evaluation of associations
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production in VD 5 cows and surprisingly, VD 5 cows
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moval from the herd compared with counterparts without Cows with VD 5 had reduced milk production com-
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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
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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
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and emerging uterine pathogens, and evaluating their association
with metritis and fever in dairy cows. Theriogenology 114:25–33. https://doi.org/10.1016/j.theriogenology.2018.03.016. Lima, F. S., L. F. Greco, R. S. Bisinotto, E. S. Ribeiro, N. M. Martinez,
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endometrial mRNA expression of proinflammatory cytokines and
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j.theriogenology.2015.07.004. de Oliveira, E. B., F. Cunha, R. Daetz, C. C. Figueiredo, R. C. Chebel,
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tating dairy cows. J. Dairy Sci. 103:7377–7391. https://doi.org/10
.3168/jds.2019-18028. Lima, F. S., A. Vieira-Neto, J. A. Snodgrass, A. De Vries, and J. E. P. Santos. 2019. Economic comparison of systemic antimicrobial
therapies for metritis in dairy cows. J. Dairy Sci. 102:7345–7358. https://doi.org/10.3168/jds.2018-15383. Dickson, M. J., R. L. Piersanti, R. Ramirez-Hernandez, E. B. De Olivei-
ra, J. V. Bishop, T. R. Hansen, Z. Ma, K. C. C. Jeong, J. E. P. Santos,
I. M. Sheldon, J. Block, and J. J. Bromfield. 2020. Figueiredo et al.: VAGINAL DISCHARGE IN DAIRY COWS Experimentally
induced endometritis impairs the developmental capacity of bovine
oocytes. Biol. Reprod. 103:508–520. https://doi.org/10.1093/biolre/
ioaa069. Lima, F. S., A. Vieira-Neto, G. S. Vasconcellos, R. D. Mingoti, E. Karakaya, E. Solé, R. S. Bisinotto, N. Martinez, C. A. Risco, K. N. Galvão, and J. E. Santos. 2014. Efficacy of ampicillin trihydrate
or ceftiofur hydrochloride for treatment of metritis and subsequent
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10.3168/jds.2013-7569. Drillich, M., O. Beetz, A. Pfützner, M. Sabin, H. J. Sabin, P. Kutzer, H. Nattermann, and W. Heuwieser. 2001. Evaluation of a systemic anti-
biotic treatment of toxic puerperal metritis in dairy cows. J. Dairy Sci. 84:2010–2017. https://doi.org/10.3168/jds.S0022-0302(01)74644-9. j
Lomb, J., D. M. Weary, K. E. Mills, and M. A. G. von Keyserlingk. 2018. Effects of metritis on stall use and social behavior at the lying stall. J. Dairy Sci. 101:7471–7479. https://doi.org/10.3168/jds.2017-14149. Dubuc, J., T. F. Duffield, K. E. Leslie, J. S. Walton, and S. J. LeBlanc. 2010. Risk factors for postpartum uterine diseases in dairy cows. J. Dairy Sci. 93:5764–5771. https://doi.org/10.3168/jds.2010-3429. Lora, I., M. Massignani, A. Stefani, and F. Gottardo. 2021. Potential ben-
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.3168/jds.2020-18643. Figueiredo, C. C., V. R. Merenda, E. B. de Oliveira, F. S. Lima, R. C. Chebel, K. N. Galvão, J. E. P. Santos, and R. S. Bisinotto. 2021. Failure of clinical cure in dairy cows treated for metritis is associ-
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A. Miyamoto, Y. Kobayashi, and T. g
j
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, CONCLUSIONS Characteristics of vaginal discharge observed within
the first 2 wk postpartum were associated with differ-
ences in reproductive and productive performances and
removal from the herd. Cows that had VD 5 (treated
according to each dairy herd protocol) had inferior re-
productive performance, illustrated by reduced adjusted
proportions of cows that resumed ovarian cyclicity, re-
ceived at least 1 AI, and established pregnancy by 300
DIM compared with cows that displayed clear mucus,
mucopurulent, or purulent vaginal discharge. In addi-
tion, a greater proportion of cows that had VD 5 were
removed from the herd and had decreased milk produc-
tion compared with their counterparts. Fever was not
associated with changes in reproductive or productive
performance in cows with VD 5; however, a greater ad-
justed proportion of cows without fever were removed
from the herd compared with nonfebrile cows. In conclu- Bartlett, P. C., J. H. Kirk, M. A. Wilke, J. B. Kaneene, and E. C. Mather. 1986. Metritis complex in Michigan Holstein-Friesian
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the regeneration of endometrial glands in dairy cows. JDS Commun. 4:400–405. https://doi.org/10.3168/jdsc.2022-0338. Piccardi, M., G. Romero, G. Veneranda, E. Castello, D. Romero, M. Balzarini, and G. A. Bó. 2016. Effect of puerperal metritis on repro-
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parturition on ovarian dominant follicle selection and follicle growth
and function in cattle. Reproduction 123:837–845. https://doi.org/10
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and J. J. Bromfield. 2019. Persistent effects on bovine granulosa
cell transcriptome after resolution of uterine disease. Reproduction
158:35–46. https://doi.org/10.1530/REP-19-0037. Sicsic, R., T. Goshen, R. Dutta, N. Kedem-Vaanunu, V. Kaplan-Shabtai,
Z. Pasternak, Y. Gottlieb, N. Y. Shpigel, and T. Raz. 2018. Microbial
communities and inflammatory response in the endometrium differ
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emann, R. C. Bicalho, R. O. Gilbert, S. Rodriguez Zas, C. M. Sea-
bury, G. Rosa, and W. W. Thatcher. 2020. Early-lactation diseases
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Sci. 103:10560–10576. https://doi.org/10.3168/jds.2019-17951. t. Res. 49:77. https://doi.org/10.1186/s13567-018-0570-6 Silva, T. V., E. B. de Oliveira, J. Pérez-Báez, C. A. Risco, R. C. Chebel,
F. Cunha, R. Daetz, J. E. P. Santos, F. S. Lima, K. C. Jeong, and K. N. Galvão. 2021. Economic comparison between ceftiofur-treated and
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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.
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(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
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https://www.nature.com/articles/ncomms10115.pdf
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The genetic basis of natural variation in mushroom body size in Drosophila melanogaster
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Nature communications
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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
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ATURE COMMUNICATIONS | DOI: 10.1038/ncomms10115
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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
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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
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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
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